81_FR_47210 81 FR 47071 - Energy Conservation Program: Test Procedures for Certain Categories of General Service Lamps

81 FR 47071 - Energy Conservation Program: Test Procedures for Certain Categories of General Service Lamps

DEPARTMENT OF ENERGY

Federal Register Volume 81, Issue 139 (July 20, 2016)

Page Range47071-47084
FR Document2016-17135

This supplemental notice of proposed rulemaking (SNOPR) proposes to establish test procedures for certain categories of general service lamps (GSLs) to support the ongoing energy conservation standards rulemaking. Specifically, this rulemaking proposes new test procedures for determining the initial lumen output, input power, lamp efficacy, power factor, and standby mode power of GSLs that are not integrated light-emitting diode (LED) lamps, compact fluorescent lamps (CFLs), or general service incandescent lamps (GSILs). This SNOPR revises the previous proposed test procedures for GSLs by referencing Illuminating Engineering Society (IES) LM-79-08 for the testing of non- integrated LED lamps. The U.S. Department of Energy (DOE) is also proposing to clarify references to the existing lamp test methods and sampling plans for determining the represented values of integrated LED lamps, CFLs, and GSILs.

Federal Register, Volume 81 Issue 139 (Wednesday, July 20, 2016)
[Federal Register Volume 81, Number 139 (Wednesday, July 20, 2016)]
[Proposed Rules]
[Pages 47071-47084]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-17135]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2016-BT-TP-0005]
RIN 1904-AD64


Energy Conservation Program: Test Procedures for Certain 
Categories of General Service Lamps

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

ACTION: Supplemental notice of proposed rulemaking.

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SUMMARY: This supplemental notice of proposed rulemaking (SNOPR) 
proposes to establish test procedures for certain categories of general 
service lamps (GSLs) to support the ongoing energy conservation 
standards rulemaking. Specifically, this rulemaking proposes new test 
procedures for determining the initial lumen output, input power, lamp 
efficacy, power factor, and standby mode power of GSLs that are not 
integrated light-emitting diode (LED) lamps, compact fluorescent lamps 
(CFLs), or general service incandescent lamps (GSILs). This SNOPR 
revises the previous proposed test procedures for GSLs by referencing 
Illuminating Engineering Society (IES) LM-79-08 for the testing of non-
integrated LED lamps. The U.S. Department of Energy (DOE) is also 
proposing to clarify references to the existing lamp test methods and 
sampling plans for determining the represented values of integrated LED 
lamps, CFLs, and GSILs.

DATES: DOE will accept comments, data, and information regarding this 
SNOPR no later than August 19, 2016. See section V, ``Public 
Participation,'' for details.

ADDRESSES: Any comments submitted must identify the SNOPR for Test 
Procedures for Certain Categories of General Service Lamps, and provide 
docket number EERE-2016-BT-TP-0005 and/or regulatory information number 
(RIN) 1904-AD64. Comments may be submitted using any of the following 
methods:
    1. Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    2. Email: [email protected]. Include the docket number EERE-
2016-BT-TP-0005 and/or RIN 1904-AD64 in the subject line of the 
message.
    3. Mail: Ms. Lucy deButts, U.S. Department of Energy, Building 
Technologies Office, Mailstop EE-5B, 1000 Independence Avenue SW., 
Washington, DC, 20585-0121. If possible, please submit all items on a 
CD, in which case it is not necessary to include printed copies.
    4. Hand Delivery/Courier: Ms. Lucy deButts, U.S. Department of 
Energy, Building Technologies Office, 950 L'Enfant Plaza SW., Suite 
600, Washington, DC, 20024. Telephone: (202) 586-2945. If possible, 
please submit all items on a CD, in which case it is not necessary to 
include printed copies.
    For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section V of this SNOPR, 
``Public Participation.''
    Docket: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at www.regulations.gov. 
All documents in the docket are listed in the www.regulations.gov 
index. However, some documents listed in the index, such as those 
containing information that is exempt from public disclosure, may not 
be publicly available.
    A link to the docket Web page can be found at https://www.regulations.gov/#!docketDetail;D=EERE-2016-BT-TP-0005. The docket 
Web page contains simple instructions on how to access all documents, 
including public comments, in the docket. See section V, ``Public 
Participation,'' for information on how to submit comments through 
www.regulations.gov.
    For further information on how to submit a comment or review other 
public comments and the docket, contact Ms. Lucy deButts at (202) 287-
1604 or by email: [email protected].

FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-2J, 1000 Independence Avenue SW., Washington, 
DC, 20585-0121. Telephone: (202) 287-1604. Email: 
[email protected].
    Mr. Pete Cochran, U.S. Department of Energy, Office of the General 
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC, 20585-
0121. Telephone: (202) 586-9496. Email: [email protected].

SUPPLEMENTARY INFORMATION: DOE proposes to incorporate by reference 
into 10 CFR part 430 specific sections of the following industry 
standards:
    (1) IEC 62301 (``IEC 62301-DD''), Household electrical appliances--
Measurement of standby power (Edition 2.0, 2011-01).
    A copy of IEC 62301-DD may be obtained from the International 
Electrotechnical Commission, available from the American National 
Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036, 
(212) 642-4900, or go to http://webstore.ansi.org.
    (2) IES LM-9-09 (``IES LM-9-09-DD''), IES Approved Method for the 
Electrical and Photometric Measurement of Fluorescent Lamps.
    (3) IES LM-20-13, IES Approved Method of Photometry of Reflector 
Type Lamps.
    (4) IES LM-45-15, IES Approved Method for the Electrical and 
Photometric Measurement of General Service Incandescent Filament Lamps.
    (5) IES LM-79-08 (``IES LM-79-08-DD''), IES Approved Method for the 
Electrical and Photometric Measurement of Solid-State Lighting 
Products.
    Copies of IES LM-9-09-DD, IES LM-20-13, IES LM-45-15, and IES LM-
79-08-DD can be obtained from Illuminating Engineering Society of North 
America, 120 Wall Street, Floor 17, New York, NY 10005-4001, or by 
going to www.ies.org/store.
    See section IV.M for a further discussion of these standards.

Table of Contents

I. Authority and Background
II. Synopsis of the Supplemental Notice of Proposed Rulemaking
III. Discussion
    A. Scope of Applicability
    B. Proposed Method for Determining Initial Lumen Output, Input 
Power, Lamp Efficacy, and Power Factor
    C. Laboratory Accreditation

[[Page 47072]]

    D. Effective Date and Compliance Dates
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Description of Materials Incorporated by Reference
V. Public Participation
    A. Submission of Comments
    B. Issues on Which DOE Seeks Comment
    VI. Approval of the Office of the Secretary

I. Authority and Background

    Title III of the Energy Policy and Conservation Act of 1975 (42 
U.S.C. 6291, et seq.; ``EPCA'' or ``the Act'') sets forth a variety of 
provisions designed to improve energy efficiency.\1\ Part B of title 
III, which for editorial reasons was redesignated as Part A upon 
incorporation into the U.S. Code (42 U.S.C. 6291-6309, as codified), 
establishes the ``Energy Conservation Program for Consumer Products 
Other Than Automobiles.'' These consumer products include general 
service lamps, the subject of this supplemental notice of proposed 
rulemaking (SNOPR).
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    \1\ All references to EPCA refer to the statute as amended 
through the Energy Efficiency Improvement Act of 2015, Public Law 
114-11 (April 30, 2015).
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    Under EPCA, the energy conservation program consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. The 
testing requirements consist of test procedures that manufacturers of 
covered products must use as the basis for (1) certifying to DOE that 
their products comply with the applicable energy conservation standards 
adopted under EPCA (42 U.S.C. 6295(s)), and (2) making representations 
about the energy use or efficiency of those products (42 U.S.C. 
6293(c)). Similarly, DOE must use these test procedures to determine 
whether the products comply with any relevant standards promulgated 
under EPCA. (42 U.S.C. 6295(s))
    DOE is developing energy conservation standards for general service 
lamps (GSLs) and published a notice of proposed rulemaking on March 17, 
2016 (March 2016 GSL ECS NOPR). In support of the standards rulemaking, 
DOE has undertaken several rulemakings to amend existing test 
procedures and to adopt new test procedures for GSLs. On July 1, 2016, 
DOE published a final rule adopting test procedures for integrated 
light-emitting diode (LED) lamps. 81 FR 43404 (July 2016 LED TP final 
rule). DOE has proposed to amend test procedures for medium base 
compact fluorescent lamps (MBCFLs) and to adopt test procedures for new 
metrics for all compact florescent lamps (CFLs) including hybrid CFLs 
and CFLs with bases other than a medium screw base. 80 FR 45724 (July 
31, 2015) (July 2015 CFL TP NOPR).
    On March 17, 2016, DOE published a NOPR (March 2016 GSL TP NOPR) 
that proposed test procedures for certain categories of GSLs not 
currently covered under these existing test procedures. 81 FR 14632. 
This SNOPR revises the test procedures proposed in the March 2016 GSL 
TP NOPR by referencing Illuminating Engineering Society (IES) LM-79-08 
for the testing of non-integrated LED lamps. Manufacturers of lamps 
subject to this rulemaking would be required to use these test 
procedures to assess performance relative to any potential energy 
conservation standards the lamps must comply with in the future and for 
any representations of energy efficiency.
    EPCA sets forth the criteria and procedures DOE must follow when 
prescribing or amending test procedures for covered products. EPCA 
provides, in relevant part, that any 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)) Pursuant to this authority, DOE proposes to 
prescribe test procedures for certain categories of GSLs in support of 
the GSL standards rulemaking.

II. Synopsis of the Supplemental Notice of Proposed Rulemaking

    In this SNOPR, DOE proposes test procedures for determining initial 
lumen output, input power, lamp efficacy, power factor, and standby 
mode power for certain categories of GSLs for which DOE does not have 
an existing regulatory test procedure. Based on public comment received 
in response to the March 2016 GSL TP NOPR, DOE proposes to reference 
IES LM-79-08 for the testing of non-integrated LED lamps. DOE's 
proposals for the standby mode test procedure, represented value 
calculations, and certification and rounding requirements remain 
unchanged from the March 2016 GSL TP NOPR. DOE also notes that 
representations of energy use or energy efficiency must be based on 
testing in accordance with this rulemaking, if adopted, beginning 180 
days after the publication of a test procedure final rule.

III. Discussion

A. Scope of Applicability

    GSL is defined by EPCA to include GSILs, CFLs, general service 
light-emitting diode (LED) lamps (including organic LEDs (OLEDs)), and 
any other lamp that DOE determines is used to satisfy lighting 
applications traditionally served by GSILs. (42 U.S.C. 6291(30)(BB)) In 
the March 2016 GSL ECS NOPR, DOE proposed to include in the definition 
for general service lamp a lamp that has an ANSI \2\ base, operates at 
any voltage, has an initial lumen output of 310 lumens or greater (or 
232 lumens or greater for modified spectrum GSILs), is not a light 
fixture, is not an LED downlight retrofit kit, and is used in general 
lighting applications.\3\ 81 FR 14541. This SNOPR proposes test 
procedures for GSLs that are not GSILs, CFLs, or integrated LED lamps.
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    \2\ A lamp base standardized by the American National Standards 
Institute.
    \3\ The definition also specified several exemptions, including: 
General service fluorescent lamps; incandescent reflector lamps; 
mercury vapor lamps; appliance lamps; black light lamps; bug lamps; 
colored lamps; infrared lamps; marine signal lamps; mine service 
lamps; plant light lamps; sign service lamps; traffic signal lamps; 
and medium screw base incandescent lamps that are left-hand thread 
lamps, marine lamps, reflector lamps, rough service lamps, shatter-
resistant lamps (including a shatter-proof lamp and a shatter-
protected lamp), silver bowl lamps, showcase lamps, 3-way 
incandescent lamps, vibration service lamps, G shape lamps as 
defined in ANSI C78.20 and ANSI C79.1-2002 with a diameter of 5 
inches or more, T shape lamps as defined in ANSI C78.20 and ANSI 
C79.1-2002 and that use not more than 40 watts or have a length of 
more than 10 inches, and B, BA, CA, F, G16-1/2, G-25, G30, S, or M-
14 lamps as defined in ANSI C79.1-2002 and ANSI C78.20 of 40 watts 
or less.
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    DOE received comments from China \4\ regarding the scope of 
applicability of this rulemaking. China noted that OLED lamps are 
classified as general service lamps and would be subject to the test 
procedures proposed in the March 2016 GSL TP NOPR. China commented that 
OLED lamps are unique from existing

[[Page 47073]]

lighting technologies, and that International Commission on 
Illumination (CIE) and related researchers are considering developing a 
specialized test method for OLED lamps. China therefore suggested that 
DOE develop specific regulations and test procedures for OLED lamps 
instead of using existing LED lamp test procedures. (China, No. 8 at p. 
1) \5\
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    \4\ DOE received two comments from China, both of which provided 
essentially the same comments regarding the March 2016 GSL TP NOPR. 
(EERE-BT-TP-0005-008 and EERE-BT-TP-0005-0009) For the purpose of 
this SNOPR, DOE provides reference to the first comment submitted by 
China.
    \5\ A notation in this form provides a reference for information 
that is in the docket of DOE's rulemaking to develop test procedures 
for GSLs (Docket No. EERE-2016-BT-TP-0005), which is maintained at 
www.regulations.gov. This notation indicates that the statement 
preceding the reference was made by China, is from document number 8 
in the docket, and appears at page 1 of that document.
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    DOE understands that the current industry practice is to test OLED 
lamps according to IES LM-79-08, a test standard that is applicable to 
solid-state lighting products, including both LED and OLED lamps. In 
this SNOPR, DOE proposes to reference LM-79-08 to determine initial 
lumen output, input power, lamp efficacy, and power factor for OLED 
lamps. If a new test procedure is developed by industry members and/or 
related researchers, DOE will consider it in a future revision of this 
test procedure.
    China commented that in section III.A of the March 2016 GSL TP 
NOPR, DOE referred to its proposed definition of a GSL from the March 
2016 GSL ECS NOPR, which includes lamps with an initial lumen output of 
310 lumens or greater. China noted that in Energy Star Lamps 
Specification V2.0, the lumen range of products used to replace a 25 
watt (W) incandescent lamp is between 250 and 449 lumens. China stated 
that the difference between the proposed definition of GSL in the March 
2016 GSL ECS NOPR and the products covered in the Energy Star Lamps 
Specification V2.0 would cause confusion on how to test lamps with 
lumen outputs less than 310 lumens. Therefore, China suggested that DOE 
clarify the test requirements for lamps below 310 lumens. (China, No. 8 
at p. 1)
    DOE notes that this SNOPR proposes test procedures for GSLs that 
are not GSILs, CFLs, or integrated LED lamps. The March 2016 GSL ECS 
NOPR proposed a definition of GSL that would be limited to products 
with a lumen output of 310 lumens or greater (or 232 lumens or greater 
for modified spectrum general service incandescent lamps). 81 at FR 
14628. DOE recognizes that ENERGY STAR Lamps Specification V2.0 
includes products with a lumen output of less than 310 lumens. To 
determine how such lamps should be evaluated under ENERGY STAR Lamps 
Specification V2.0, interested parties will need to consult the ENERGY 
STAR document.
    China commented that, while section III.B of the March 2016 GSL TP 
NOPR stated that the term GSL includes many types of lamps using 
varying lighting technologies, it understood from the discussion in 
section III.A that halogen lamps were excluded from the definition of 
GSL. China requested clarification on whether the proposed rule would 
cover halogen lamps. (China, No. 8 at p. 1)
    As noted in this preamble, a definition of GSL was proposed in the 
March 2016 GSL ECS NOPR, and that proposed definition does not exclude 
halogen lamps generally. This SNOPR proposes test procedures for other 
incandescent lamps, i.e., incandescent lamps that are GSLs but not 
GSILs. ``Incandescent lamp'' is currently defined, in part, as a lamp 
in which light is produced by a filament heated to incandescence by an 
electric current. 10 CFR 430.2. This description depicts the method of 
producing light in a halogen lamp. In addition, paragraph (1) of the 
definition of ``incandescent lamp'' in 10 CFR 430.2 expressly includes 
tungsten halogen lamps. A halogen lamp (other than a halogen lamp that 
was a GSIL) within the definition of GSL as adopted in the energy 
conservation standards final rule would be subject to the test 
procedures proposed in this SNOPR if adopted. Test procedures for GSILs 
are located in appendix R to subpart B of part 430.
    China commented that section III.B of March 2016 GSL TP NOPR did 
not provide definitions for the eight general purpose lamps mentioned 
in Table III.1, making it difficult to distinguish between ``other non-
incandescent reflector type,'' ``general purpose incandescent,'' 
``compact fluorescent lamps,'' and ``other types of fluorescent 
lamps.'' China recommended that DOE use IEC 61231, which it stated is 
internationally accepted for classifying the types of lamps mentioned 
in Table III.1 of the March 2016 GSL TP NOPR. (China, No. 8 at pp. 1-2)
    Table III.1 of the March 2016 GSL TP NOPR referenced the test 
procedures that would be applicable to GSLs based on lamp technology: 
GSILs, CFLs, integrated LED lamps, other incandescent lamps that are 
not reflector lamps, other incandescent lamps that are reflector lamps, 
other fluorescent lamps, OLED lamps, and non-integrated LED lamps. 81 
FR 14634. DOE notes that definitions for many of these lamp types 
either already exist in 10 CFR 430.2 or were proposed in the March 2016 
GSL ECS NOPR. GSIL is currently defined at 10 CFR 430.2. A definition 
of CFL was proposed to be added to 10 CFR 430.2 in the July 2015 CFL TP 
NOPR. 80 FR at 45739. A definition of integrated LED lamp was recently 
added to 10 CFR 430.2 in the July 2016 LED TP final rule. 81 FR at 
43426. The references to ``other incandescent lamps'' in Table III.1 
were to lamps that meet the definition of GSL (as would be established 
in a GSL standards final rule) that are incandescent lamps other than 
GSILs. A definition of ``reflector lamp'' has been proposed in the 
March 2016 GSL ECS NOPR. 81 FR 14629. Regarding fluorescent lamps, 
reference to ``other fluorescent lamps'' in Table III.1 of the March 
2016 GSL TP NOPR was to fluorescent lamps that meet the definition of 
GSL (to be finalized in the standards final rule) but do not meet the 
definition of CFL (which is another lamp type specifically included in 
the GSL term) or general service fluorescent lamp (which is a lamp type 
specifically excluded from the GSL term). DOE has proposed definitions 
for non-integrated lamp and OLED lamp in the March 2016 GSL ECS NOPR. 
81 FR 14628-14629. Thus, DOE has tentatively determined that all of the 
various kinds of lamps included in this rulemaking have either existing 
or proposed definitions that sufficiently identify which test 
procedures are applicable to each kind of lamp.
    China commented that section III.B of the March 2016 GSL TP NOPR 
includes integrated and non-integrated LEDs, with corresponding test 
procedures. China pointed out that IEC 62838:2015 includes semi-
integrated LEDs as well. China recommended that DOE include semi-
integrated LEDs and their corresponding referenced test procedure. 
(China, No. 8 at p. 2) DOE notes that it has proposed definitions for 
integrated and non-integrated lamps in the March 2016 GSL ECS NOPR. 81 
FR 14628. Under the proposed definitions of integrated lamp and non-
integrated lamp, semi-integrated LEDs would be considered a type of 
non-integrated lamp because, as described in IEC 62838:2015, they 
require the use of some external components.
    China commented that section III.B of the March 2016 GSL TP NOPR 
referenced the integrated LED lamp test procedure in appendix BB of 10 
CFR part 430 subpart B. However, China noted that this appendix is not 
yet published. China recommended that DOE publish the documents 
corresponding to this appendix. (China, No. 8 at p. 2) DOE notes that 
appendix BB of 10 CFR part 430 subpart B, containing the integrated LED 
test

[[Page 47074]]

procedure, was adopted in the July 2016 LED TP final rule. 81 FR at 
43427-43428.

B. Proposed Method for Determining Initial Lumen Output, Input Power, 
Lamp Efficacy, and Power Factor

    As described in section III.A, both the statutory definition and 
proposed regulatory definition of GSL cover many types of lamps using a 
variety of lighting technologies. For several of the included lamp 
types, energy conservation standards and test procedures already exist. 
GSILs are required to comply with the energy conservation standards in 
10 CFR 430.32(x), and test procedures for these lamps are in Appendix R 
to subpart B of 10 CFR part 430. In a separate test procedure 
rulemaking, DOE has proposed to amend the test procedures for MBCFLs 
and to establish new test procedures for all other CFLs. 80 FR 45724. 
Once finalized, the updated and new test procedures will appear at 
appendix W to subpart B of 10 CFR part 430. In addition, DOE recently 
issued test procedures for integrated LED lamps. 81 FR 43404. Although 
integrated LED lamps are not currently required to comply with energy 
conservation standards, DOE has proposed standards for them in the 
March 2016 GSL ECS NOPR. 81 FR 14530. The test procedures for 
integrated LED lamps will be located in new appendix BB to subpart B of 
10 CFR part 430.
    If DOE test procedures already exist or were proposed in an ongoing 
rulemaking (such as for GSILs, CFLs, and integrated LED lamps), DOE 
proposed in the March 2016 GSL TP NOPR to reference those specific 
provisions in the GSL test procedures. For all other GSLs, DOE proposed 
new test procedures, intending to reference the most recently published 
versions of relevant industry standards. 81 FR 14631, 14633. Of the 
proposed test procedures, DOE received comments on those for non-
integrated LED lamps, other fluorescent lamps, and other incandescent 
lamps that are reflector lamps.
    DOE received comments from three stakeholders regarding the 
proposed test procedures for non-integrated LED lamps. Private citizen 
Mat Roundy voiced support for DOE's proposed reference of CIE S 025/
E:2015, stating that requiring manufacturers to use the same standard 
would improve effectiveness when implementing an energy conservation 
standard and promoting energy efficiency. (Roundy, No. 5 at p. 1) 
However, Osram Sylvania, Inc. (OSI) and the National Electrical 
Manufacturers Association (NEMA) commented that, although non-
integrated LED lamps are not within the intended scope of IES LM-79-08, 
it is common industry practice to use IES LM-79-08 to test non-
integrated LED lamps. NEMA and OSI both noted that the test procedure 
for ceiling fan light kits in appendix V1 to subpart B of 10 CFR 430 
directs manufacturers to test other solid-state lighting (SSL) products 
using IES LM-79-08. NEMA and OSI therefore recommended that DOE allow 
manufacturers flexibility in choosing the test procedure for non-
integrated lamps LED lamps. (OSI, No. 3 at p. 2; NEMA, No. 6 at p. 2)
    In proposing test procedures for non-integrated LED lamps in the 
March 2016 GSL TP NOPR, DOE reviewed existing industry standards. In 
its review DOE initially determined that IES LM-79-08 was not intended 
for non-integrated LED lamps given that LM-79-08 states in section 1.1 
that the test method covers ``LED-based SSL products with control 
electronics and heat sinks incorporated, that is, those devices that 
require only AC mains power or a DC voltage power supply to operate.'' 
Non-integrated LED lamps require external electronics; that is, the 
lamps are intended to connect to ballasts/drivers rather than directly 
to the branch circuit through an ANSI base and corresponding ANSI 
standard lamp holder (socket). Because non-integrated LED lamps require 
external electronics, DOE tentatively determined that IES LM-79-08 was 
not appropriate for non-integrated LED lamps, and therefore would not 
be the most relevant industry standard for these lamps.
    Based on the comments received from NEMA and OSI, DOE investigated 
whether IES LM-79-08 is the more relevant test procedure for non-
integrated LED lamps, regardless of the defined scope of the industry 
standard. In addition to the statements made by NEMA and OSI that IES 
LM-79-08 is relied upon by industry to test non-integrated lamps, DOE 
found one manufacturer of these products that states on its Web site 
that the performance specifications it reports are based on testing 
according to IES LM-79-08.\6\ Other manufacturers did not identify the 
test method used. DOE also contacted independent test laboratories to 
determine which test procedure they used. DOE found that the 
laboratories generally used IES LM-79-08 when testing non-integrated 
LED lamps because, even though it does not specifically include them, 
the laboratories view IES LM-79-08 as the most applicable industry 
standard. DOE preliminarily concluded that once it is determined how to 
supply the power to the lamp or on which ballast/driver to operate the 
lamp for testing, there is little difference in testing an integrated 
versus a non-integrated LED lamp. Further, DOE notes that some of these 
products have been tested and the results have been reported in the LED 
Lighting Facts Database and the qualified products list for the 
Lighting Design Lab. Both of these organizations specify IES LM-79-08 
as a test method for all included products.
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    \6\ http://www.maxlite.com/item/lm79?=13PLG24QVLED27.
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    Upon reviewing the available information, DOE has tentatively 
determined that for the testing of non-integrated LED lamps, IES LM-79-
08 is the more relevant industry standard at the present time, as 
compared to CIE S 025/E:2015. Further, DOE has reviewed IES LM-79-08 
and finds it appropriate for testing non-integrated LED lamps for the 
purpose of determining compliance with the applicable energy efficiency 
standards.
    However, because non-integrated LED lamps are not included in the 
applicable scope of this industry standard, DOE finds that additional 
instruction is necessary to ensure consistent and repeatable results. 
Specifically, DOE finds that IES LM-79-08 provides no information on 
which external ballast/driver or power supply to use for testing. After 
reviewing the approaches of independent test laboratories, DOE proposes 
that non-integrated LED lamps be tested according to IES LM-79-08, 
using the manufacturer-declared input voltage and current as the power 
supply. These quantities are typically not reported on the product 
packaging or in manufacturer literature. (DOE noted only two companies 
that do so.) DOE is therefore proposing to revise the requirements for 
certification reports to include these quantities for non-integrated 
LED lamps. While manufacturers usually list compatible ballasts/drivers 
for these products, DOE notes that it is unknown on which ballast/
driver these lamps may operate when installed in the field. 
Furthermore, the test procedure should produce consistent and 
repeatable results. By requiring these lamps to be tested using the 
manufacturer-declared input voltage and current as the power supply, 
DOE's proposed approach is consistent with the industry practice of 
using reference ballasts for non-integrated lamps, such as non-
integrated CFLs and GSFLs. For those products, industry standards (and 
DOE's test procedures) specify electrical settings for reference 
ballasts and each product is tested using those same settings.

[[Page 47075]]

Because industry has not yet developed reference ballast/driver 
settings for non-integrated LED lamps, DOE proposes that the 
manufacturers report the settings that are used. The use of reference 
settings allows for a consistent and comparable assessment of the 
lamp's performance. Therefore, DOE proposes the requirement that non-
integrated LED lamps be tested according to IES LM-79-08, using the 
manufacturer-declared input voltage and current as the power supply. 
DOE requests DOE requests comment on the appropriateness of referencing 
IES LM-79-08 for the testing of non-integrated LED lamps. DOE also 
requests comment on the proposed requirement that manufacturers report 
the settings used for testing, specifically input voltage and current, 
and whether additional settings are needed to ensure consistent, 
repeatable results. Finally, DOE requests comment on whether the 
manufacturer-declared settings should be made available to the public 
so that accurate comparisons across products could be made.
    Regarding the testing of other fluorescent lamps, OSI and NEMA 
commented that testing per sections 4 through 6 of IES LM-9-09 would be 
appropriate for double-ended fluorescent lamps, but questioned whether 
double-ended fluorescent lamps would be subject to the test procedures 
as these lamps would likely be considered general service fluorescent 
lamps, a type of lamp excluded from the definition of GSL. OSI 
suggested that sections 4 through 6 of IES LM-66-14 would be more 
applicable to cite as the test procedure for ``other fluorescent 
lamps.'' Specifically, OSI stated that IES LM-66-14 was the appropriate 
industry standard to reference for the commercially available induction 
lamps meeting the definition of GSL. (OSI, No. 3 at p. 2; NEMA, No. 6 
at p. 3)
    DOE has proposed to define compact fluorescent lamp as an 
integrated or non-integrated single-base, low-pressure mercury, 
electric-discharge source in which a fluorescing coating transforms 
some of the ultraviolet energy generated by the mercury discharge into 
light; the term does not include circline or U shaped fluorescent 
lamps. 80 FR at 45739. This proposed definition of CFL aligns with the 
scope of IES LM-66-14, which states that it describes test procedures 
for obtaining measurements of single-based fluorescent lamps, including 
both electrode and electrodeless (i.e., induction) versions. The 
introduction of IES LM-66-14 states, as does DOE's definition of CFL, 
that it does not include circline or U-shaped fluorescent lamps. Thus, 
DOE has tentatively concluded that lamps meeting DOE's definition of 
CFL will be required to use test procedures in appendix W to subpart B 
of 10 CFR 430, which predominantly references IES LM-66-14 for test 
methods. DOE expects that single-based fluorescent lamps that are GSLs 
will be within the definition of CFL, and thus subject to the test 
procedures that reference IES LM-66-14.
    While DOE is unaware of any lamps currently on the market that 
would be subject to testing as ``other fluorescent lamps,'' test 
procedures must be established for all potentially covered products. To 
address other fluorescent lamps that would not meet the definition of 
CFL but would otherwise be defined as GSLs (i.e., double-ended 
fluorescent lamps), DOE has maintained the reference to IES LM-9-09 in 
this SNOPR.
    OSI and NEMA supported the use of IES LM-20-13 for other 
incandescent lamps that are reflector lamps, but disagreed with 
referencing sections 4 through 8, especially section 7, as well as the 
lack of specific instructions to deviate from IES LM-20-13. OSI and 
NEMA noted that the March 2016 GSL ECS NOPR did not propose any 
requirements for beam angle, beam lumens, center beam candlepower, or 
beam pattern classification (the lamp characteristics measured under 
the test procedures in section 7 of IES LM-20-13) and thus recommended 
omitting reference to this section. NEMA also expressed confusion 
regarding DOE's inclusion of section 7, wondering whether its inclusion 
was an indication that goniophotometer systems may be allowed to 
measure luminous flux. NEMA recommended instead that DOE reference 
Appendix R to subpart B of 10 CFR 430 (test procedures for incandescent 
reflector lamps) for the testing of other incandescent lamps that are 
reflector lamps. (NEMA, No. 6 at p. 3)
    For this SNOPR, DOE again reviewed the referenced sections (i.e., 
sections 4 through 8) of IES LM-20-13. DOE agrees that referencing 
section 7 of LM-20-13 is unnecessary because it addresses the 
measurement of values for which standards have not been proposed, such 
as beam angle, field angle, and beam flux values. Furthermore, section 
7 specifies the use of a goniophotometer. As proposed in the March 2016 
GSL TP NOPR and maintained in this document, the active mode test 
procedure does not allow the use of a goniophotometer. For these 
reasons, the reference to section 7 of IES LM-20-13 has been removed 
from the test procedure in this SNOPR.
    DOE has determined not to reference appendix R for the testing of 
other incandescent lamps that are reflector lamps. DOE notes that the 
content of the referenced sections (sections 4, 5, 6, and 8) of IES LM-
20-13 are consistent with the content of the sections of IES LM-20-94 
referenced in appendix R. However, DOE has chosen not to reference 
Appendix R in order to avoid potential confusion; appendix R is 
applicable to incandescent reflector lamps but these lamps are not 
included in the definition of GSL. Therefore, for GSLs that are other 
incandescent lamps that are reflector lamps, DOE proposes referencing 
sections 4, 5, 6, and 8 of IES LM-20-13.
    DOE did not receive any comments on referring to appendix R for 
general service incandescent lamps, to Appendix BB for integrated LED 
lamps, to IES LM-45-15 for other incandescent lamps that are not 
reflector lamps, or to IES LM-79-08 for OLED lamps. DOE did, however, 
review all references to industry standards to ensure that only 
necessary sections were referenced, as described in the previous 
paragraph. DOE removed all references to sections describing luminous 
intensity and/or color measurements as these are not necessary for the 
metrics covered by the test procedure. DOE also made references to IES 
LM-79-08 consistent with sections referenced in the July 2016 LED TP 
final rule; that is, DOE added a reference to section 1.3 (Nomenclature 
and Definitions) and removed the reference to section 6.0 (Operating 
Orientation). DOE instead specifies the appropriate operating 
orientation directly in appendix DD. DOE requests comment on the 
industry standards and sections of the industry standards referenced.

         Table III.1--Test Procedures for General Service Lamps
------------------------------------------------------------------------
               Lamp type                    Referenced test procedure
------------------------------------------------------------------------
General service incandescent lamps.....  Appendix R to Subpart B of 10
                                          CFR 430.
Compact fluorescent lamps..............  Appendix W to Subpart B of 10
                                          CFR part 430.

[[Page 47076]]

 
Integrated LED lamps...................  Appendix BB to Subpart B of 10
                                          CFR part 430.
Other incandescent lamps that are not    IES LM-45-15, sections 4-6, and
 reflector lamps.                         section 7.1.
Other incandescent lamps that are        IES LM-20-13, sections 4-6, and
 reflector lamps.                         section 8.
Other fluorescent lamps................  IES LM-9-09, sections 4-6, and
                                          section 7.5.
OLED lamps.............................  IES LM-79-08, sections 1.3
                                          (except 1.3[f]), 2.0, 3.0,
                                          5.0, 7.0, 8.0, 9.1 and 9.2.
Non-integrated LED lamps...............  IES LM-79-08, sections 1.3
                                          (except 1.3[f]), 2.0, 3.0,
                                          5.0, 7.0, 8.0, 9.1 and 9.2.
------------------------------------------------------------------------

C. Laboratory Accreditation

    In the March 2016 GSL TP NOPR, DOE proposed to require that testing 
of initial lumen output, input power, lamp efficacy, power factor, and 
standby mode power (if applicable) for GSLs be conducted by test 
laboratories accredited by the National Voluntary Laboratory 
Accreditation Program (NVLAP) or an accrediting organization recognized 
by the International Laboratory Accreditation Cooperation (ILAC). DOE 
tentatively determined that since NVLAP is a member of ILAC, test data 
collected by any laboratory accredited by an accrediting body 
recognized by ILAC would be acceptable. 81 FR 14634. DOE noted that 
under existing test procedure regulations, testing for other regulated 
lighting products (such as general service fluorescent lamps, 
incandescent reflector lamps, and fluorescent lamp ballasts), in 
addition to general service lamps that must already comply with energy 
conservation standards (such as general service incandescent lamps and 
medium base compact fluorescent lamps), must be conducted in a 
similarly accredited facility. 10 CFR 430.25.
    DOE received several comments regarding lab accreditation. OSI and 
NEMA disagreed with what they understood to be DOE's shift from the use 
of test laboratories accredited by NVLAP or an accrediting organization 
recognized by NVLAP, to test laboratories accredited by an 
Accreditation Body that is a signatory member to the International 
Laboratory Accreditation Cooperation (ILAC) Mutual Recognition 
Arrangement (MRA). Citing to a 2013 version of the regulations, NEMA 
commented that the March 2016 GSL TP NOPR did not adequately explain 
why the non-GSL portions of the existing regulation needed to be 
changed. (NEMA, No. 6 at p. 3)
    The comments received suggest that some commenters may not be 
familiar with the current regulatory text with regard to requirements 
for test laboratories. DOE notes that it did not propose to change the 
existing regulation as it relates to non-GSLs, but simply to include 
the testing of GSLs in the existing regulatory provision. The existing 
text in 10 CFR 430.25 states that the enumerated lamp types, including 
general service fluorescent lamps and incandescent reflector lamps 
(which are not general service lamps), must be tested by laboratories 
accredited by ``an Accreditation Body that is a signatory member to the 
International Laboratory Accreditation Cooperation (ILAC) Mutual 
Recognition Arrangement (MRA).'' The discussion regarding NVLAP in the 
preamble to the 2016 March GSL TP NOPR was intended to clarify that 
testing could be conducted by a test laboratory accredited by NVLAP 
given that NVLAP is a signatory member to the ILAC MRA. 81 FR 14634.
    T[Uuml]V S[Uuml]D commented that the proposed language for Sec.  
429.57(b)6, which requires each test report to include an NVLAP 
identification number or other NVLAP-approved identification, 
contradicts Sec.  430.25, which requires testing to be performed in a 
laboratory accredited by an ILAC member. T[Uuml]V S[Uuml]D elaborated 
that this prevents laboratories accredited by, for example, SCC 
(Canada) or DAkks (Germany) from issuing a report with an NVLAP 
identification number unless it has another accreditation with NVLAP. 
T[Uuml]V S[Uuml]D recommended that DOE update the relevant portion of 
Sec.  429.57(b)6 to read, `` . . . ILAC's accreditation bodies 
identification number or other ILAC accreditation bodies--approved 
identification . . . '' (T[Uuml]V S[Uuml]D, No. 2 at p. 1) DOE agrees 
with this comment and is proposing to update the language in Sec.  
429.57(b) to be consistent with Sec.  430.25 and to include the 
recommended text. Similarly, DOE also proposes to update Sec. Sec.  
429.27(b) and 429.35(b) to be consistent with Sec.  430.25.
    UL commented that luminous efficacy results from lamp testing can 
range from +25% to -25% due to variations in laboratory accuracy and 
precision, which represents a significant range in the context of the 
efficacy levels proposed in the March 2016 GSL ECS NOPR. UL further 
commented that NVLAP accreditation is an accepted means to minimize 
variability between different labs. UL noted that NVLAP is an ILAC 
member, but NVLAP also requires participation in the National Institute 
of Standards and Technology (NIST) proficiency-testing program for SSL, 
which assists labs in improving and maintaining measurement accuracy 
and precision. UL recommended that DOE require any lab accredited by an 
ILAC member, other than NVLAP, to participate in the NIST SSL 
proficiency program. UL noted that this has been a requirement of the 
ENERGY STAR SSL program for many years. (UL, No. 4 at p. 2)
    DOE notes that ISO/IEC 17025 states that a laboratory shall have 
quality control procedures for monitoring the validity of tests and 
calibrations undertaken.\7\ This monitoring may include the 
participation in inter-laboratory comparisons or proficiency testing 
programs. Other means may include the regular use of reference 
materials, or replicate tests or calibrations using the same or 
different methods. By these mechanisms a laboratory can provide 
evidence of its competence to its clients, parties and accreditation 
bodies. Participation in proficiency testing is not required to become 
an ILAC signatory. However, ILAC and many of the accreditation bodies 
that are signatories of the MRA encourage participation in proficiency 
testing or inter-laboratory comparisons.\8\ Therefore, DOE has 
tentatively concluded that requiring participation in proficiency 
testing is unnecessary, as the accreditation process is designed to 
ensure the competency of the testing laboratory through a variety of 
mechanisms.
---------------------------------------------------------------------------

    \7\ http://ilac.org/news/ilac-p9062014-published/.
    \8\ http://ilac.org/ilac-mra-and-signatories/purpose/.
---------------------------------------------------------------------------

    NEMA recommended not deleting references to other products and 
applicable test methods, such as the following quoted portion: ``The 
testing for general service fluorescent lamps, general service 
incandescent lamps, and

[[Page 47077]]

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.'' (NEMA, No. 6 at p. 3)
    It appears that in its comments NEMA is referencing a prior version 
of 10 CFR 430.25. An amendment was made to 10 CFR 430.25 on June 5, 
2015. 80 FR 31982. DOE notes that the text cited by NEMA does not 
currently exist in 10 CFR 430.25 and that the testing provisions are 
specified in 10 CFR 430.23.

D. Effective Date and Compliance Dates

    DOE received comments regarding the compliance date proposed in the 
March 2016 GSL TP NOPR. OSI and NEMA commented that the 180-day 
compliance date places an undue burden on manufacturers. OSI and NEMA 
commented that until there is a need to comply with an efficacy 
standard, mandatory testing in CIE S 025 accredited laboratories would 
be an excessive requirement. NEMA commented that this burden is 
exacerbated given that many of the products proposed to be tested to 
CIE S 025 will likely not be compliant with 2020 standards and thus 
will cease manufacture and sales, causing a lost certification/
accreditation investment. (OSI, No. 3 at pp. 3-4; NEMA, No. 6 at pp. 3-
4)
    As discussed in section III.B, DOE is not incorporating CIE S 025 
by reference and therefore tentatively concludes that the compliance 
date will not introduce unnecessary burden. As noted previously, the 
referenced industry standard, IES LM-79-08, represents common industry 
practice for testing non-integrated LED lamps.
    If adopted, the test procedures proposed in this SNOPR for GSLs 
that are not integrated LED lamps, CFLs, or GSILs, would be effective 
30 days after publication in the Federal Register (referred to as the 
``effective date''). Pursuant to EPCA, manufacturers of covered 
products would be required to use the applicable test procedure as the 
basis for determining that their products comply with the applicable 
energy conservation standards. (42 U.S.C. 6295(s)) On or after 180 days 
after publication of a final rule, any representations made with 
respect to the energy use or efficiency of GSLs that are not integrated 
LED lamps, CFLs, and GSILs would be required to be made in accordance 
with the results of testing pursuant to the new test procedures. (42 
U.S.C. 6293(c)(2))
    DOE proposes that after the effective date and prior to the 
compliance date of a GSL test procedure final rule, manufacturers may 
voluntarily begin to make representations with respect to the energy 
use or efficiency of GSLs that are not integrated LED lamps, CFLs, and 
GSILs and when doing so must use the results of testing pursuant to 
that final rule.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (OMB) has determined that test 
procedure rulemakings do not constitute ``significant regulatory 
actions'' under section 3(f) of Executive Order 12866, Regulatory 
Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this 
action was not subject to review under the Executive Order by the 
Office of Information and Regulatory Affairs (OIRA) in the OMB.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IRFA) 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://energy.gov/gc/office-general-counsel.
    DOE reviewed the test procedures for GSLs proposed in this SNOPR 
under the provisions of the Regulatory Flexibility Act and the 
procedures and policies published on February 19, 2003. DOE certifies 
that the proposed rule, if adopted, would not have a significant 
economic impact on a substantial number of small entities. The factual 
basis for this certification is set forth in the following paragraphs.
    The Small Business Administration (SBA) considers a business entity 
to be a small business, if, together with its affiliates, it employs 
less than a threshold number of workers specified in 13 CFR part 121. 
These size standards and codes are established by the North American 
Industry Classification System (NAICS). Manufacturing of GSLs is 
classified under NAICS 335110, ``Electric Lamp Bulb and Part 
Manufacturing.'' The SBA sets a threshold of 1,250 employees or less 
for an entity to be considered as a small business for this category.
    In the March 2016 GSL TP NOPR, to estimate the number of companies 
that could be small businesses that sell GSLs, DOE conducted a market 
survey using publicly available information. DOE's research involved 
information provided by trade associations (e.g., the National 
Electrical Manufacturers' Association) and information from DOE's 
Compliance Certification Management System (CCMS) Database, the 
Environmental Protection Agency's ENERGY STAR Certified Light Bulbs 
Database, LED Lighting Facts Database, previous rulemakings, individual 
company Web sites, SBA's database, and market research tools (e.g., 
Hoover's reports). DOE screened out companies that did not meet the 
definition of a ``small business'' or are completely foreign owned and 
operated. DOE identified approximately 118 small businesses that sell 
GSLs in the United States. 81 FR 14635.
    For this SNOPR, DOE reviewed its estimated number of small 
businesses. DOE updated its list of small businesses by revisiting the 
information sources described in this preamble. DOE screened out 
companies that do not meet the definition of a ``small business,'' or 
are completely foreign owned and operated. DOE determined that nine 
companies are small businesses that maintain domestic production 
facilities for general service lamps.
    In the March 2016 GSL TP NOPR, DOE proposed test procedures for 
determining initial lumen output, input power, lamp efficacy, power 
factor, and standby power of GSLs. DOE noted that several of the lamp 
types included in the definition of general service lamp must already 
comply with energy conservation standards and therefore test procedures 
already existed for these lamps. If DOE test procedures already existed 
or were proposed in an ongoing rulemaking (such as for general service 
incandescent lamps, compact fluorescent lamps, and integrated LED 
lamps), DOE proposed to reference them directly. For all other general 
service lamps, DOE proposed new test procedures in the March 2016 GSL 
TP NOPR. For the new test procedures, DOE proposed to reference the 
most recent versions of relevant industry standards.

[[Page 47078]]

    DOE estimated the testing costs and burden associated with 
conducting testing according to the new test procedures proposed in the 
March 2016 GSL TP NOPR for general service lamps. DOE did not consider 
the costs and burdens associated with DOE test procedures that already 
exist or that have been proposed in other ongoing rulemakings because 
these have been or are being addressed separately. DOE also assessed 
elements (testing methodology, testing times, and sample size) in the 
proposed CFL and integrated LED lamp test procedures that could affect 
costs associated with complying with this rule. Except for lab 
accreditation costs associated with CIE S 025/E:2015, which has been 
replaced with IES LM-79-08, the cost estimates of this SNOPR are the 
same as those determined under the March 2016 GSL TP NOPR. The 
following is an analysis of both in-house and third party testing costs 
associated with this rulemaking.
    In the March 2016 GSL TP NOPR, DOE estimated that the labor costs 
associated with conducting in-house testing of initial lumen output, 
input power, and standby mode power were $41.68 per hour. DOE 
determined that calculating efficacy and power factor of a GSL would 
not result in any incremental testing burden beyond the cost of 
conducting the initial lumen output and input power testing. The cost 
of labor was then calculated by multiplying the estimated hours of 
labor by the hourly labor rate. For lamps not capable of operating in 
standby mode, DOE estimated that testing in-house in accordance with 
the appropriate proposed test procedure would require, at most, four 
hours per lamp by an electrical engineering technician. For lamps 
capable of operating in standby mode, DOE estimated that testing time 
would increase to five hours per lamp due to the additional standby 
mode power consumption test. DOE noted that these estimates are 
representative of the time it would take to test the most labor 
intensive technology, LED lamps. In total, DOE estimated that using the 
test method prescribed in the March 2016 GSL TP NOPR to determine 
initial light output and input power would result in an estimated labor 
burden of $1,670 per basic model of certain GSLs and $2,080 per basic 
model of certain GSLs that can operate in standby mode.
    Because accreditation bodies \9\ impose a variety of fees during 
the accreditation process, including fixed administrative fees, 
variable assessment fees, and proficiency testing fees, DOE included as 
an example the costs associated with maintaining a NVLAP-accredited 
facility or a facility accredited by an organization recognized by 
NVLAP in the March 2016 GSL TP NOPR. In the first year, for 
manufacturers without NVLAP accreditation who choose to test in-house, 
DOE estimated manufacturers on average would experience a maximum total 
cost burden of about $2,210 per basic model tested or $2,630 per basic 
model with standby mode power consumption testing.\10\
---------------------------------------------------------------------------

    \9\ As discussed in section III.D, laboratories can be 
accredited by any accreditation body that is a signatory member to 
the ILAC MRA. DOE based its estimate of the costs associated with 
accreditation on the NVLAP accreditation body.
    \10\ NVLAP costs are fixed and were distributed based on an 
estimate of 28 basic models per manufacturer.
---------------------------------------------------------------------------

    Additionally, DOE requested pricing from independent testing 
laboratories for testing GSLs. DOE estimated the cost for testing at an 
independent laboratory to be up to $1,070 per basic model. This 
estimate included the cost of accreditation as quotes were obtained 
from accredited laboratories.
    DOE received comments from NEMA and OSI regarding the burden of 
testing non-integrated LED lamps in laboratories accredited to CIE 
standard CIE S 025/E:2015. NEMA and OSI commented that the small 
product sector of non-integrated LED lamps did not justify accrediting 
a lab to the CIE standard for such limited testing needs. (OSI, No. 3 
at p. 2; NEMA, No. 6 at p. 2) They noted that the test facilities 
generally used by the lighting industry are not accredited for this 
referenced CIE test method, and would need to obtain and maintain this 
accreditation. OSI and NEMA commented that certifying a lab to CIE S 
025 could cost approximately $10,000.00, which would be burdensome for 
all labs, regardless of size. OSI and NEMA noted that the current cost 
for CIE S 025/E:2015 is $241.00, compared to $25.00 for IES LM-79-08. 
OSI and NEMA further stated that the cost of the normative standards 
associated with CIE S 025/E:2015 must also be considered, including CIE 
84-1989, which costs [euro]98.46 and is not currently available from 
familiar sources. OSI and NEMA believe these costs could be burdensome 
for a small manufacturer. (OSI, No. 3 at pp. 3-4; NEMA, No. 6 at pp. 3-
4)
    As discussed in section III.B, DOE is no longer referencing CIE S 
025 to test non-integrated LED lamps. Instead, DOE proposes to 
reference IES LM-79-08 which is also referenced for the testing of 
integrated LED lamps and OLED lamps. Because labs are already required 
to be accredited to IES LM-79-08 for testing integrated LED lamps per 
DOE's test procedure in Appendix BB and per ENERGY STAR's Lamps 
specification, DOE believes the majority of manufacturers and 
independent laboratories already have this accreditation. Therefore, 
DOE does not believe it is unduly burdensome to manufacturers or 
independent laboratories to be properly accredited to this standard.
    DOE notes that its proposed test procedures directly reference 
existing industry standards that have been approved for widespread use 
by lamp manufacturers and test laboratories. The quantities that are 
directly measured, namely initial lumen output and input power, are 
commonly reported by the manufacturer on product packaging and on 
product specification sheets. Thus, testing for these quantities is 
already being conducted. Additionally, these quantities are required to 
be reported to ENERGY STAR if manufacturers certify the lamps as 
meeting the program requirements. Standby mode power consumption is 
also a reported quantity for the ENERGY STAR program, though it may not 
be a commonly reported value for lamps that are not certified with 
ENERGY STAR. In reviewing the lamps for which DOE proposes new test 
procedures in this rulemaking, DOE notes that very few products can 
operate in standby mode and therefore very few products would be 
required to make representations of standby mode energy consumption. 
Although DOE has proposed the requirement that all testing be conducted 
in accredited laboratories, DOE believes that many manufacturers of 
these products have already accredited their own in-house laboratories 
because they also make products such as general service incandescent 
lamps and medium base compact fluorescent lamps that are required to be 
tested in similarly accredited laboratories.
    In summary, DOE does not consider the test procedures proposed in 
this SNOPR to have a significant economic impact on small entities. The 
final cost per manufacturer primarily depends on the number of basic 
models the manufacturer sells. These are not annual costs because DOE 
does not require manufacturers to retest a basic model annually. The 
initial test results used to generate a certified rating for a basic 
model remain valid as long as the basic model has not been modified 
from the tested design in a way that makes it less efficient or more 
consumptive, which would require a change to the certified rating. If a 
manufacturer has modified a basic model in a way that makes it more 
efficient or less consumptive, new testing is required only if the 
manufacturer wishes to make

[[Page 47079]]

representations of the new, more efficient rating.
    Based on the criteria outlined earlier and the reasons discussed in 
this preamble, DOE tentatively concludes and certifies that the new 
proposed test procedures would not have a significant economic impact 
on a substantial number of small entities, and the preparation of an 
IRFA is not warranted. DOE will transmit the certification and 
supporting statement of factual basis to the Chief Counsel for Advocacy 
of the SBA for review under 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act of 1995

    DOE established regulations for the certification and recordkeeping 
requirements for certain covered consumer products and commercial 
equipment. 10 CFR part 429, subpart B. This collection-of-information 
requirement was approved by OMB under OMB control number 1910-1400.
    DOE requested OMB approval of an extension of this information 
collection for three years, specifically including the collection of 
information proposed in the present rulemaking, and estimated that the 
annual number of burden hours under this extension is 30 hours per 
company. In response to DOE's request, OMB approved DOE's information 
collection requirements covered under OMB control number 1910-1400 
through November 30, 2017. 80 FR 5099 (January 30, 2015).
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor must 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.

D. Review Under the National Environmental Policy Act of 1969

    In this proposed rule, DOE proposes test procedures for certain 
categories of GSLs that will be used to support the ongoing GSL 
standards rulemaking. DOE has determined that this rule falls into a 
class of actions that are categorically excluded from review under the 
National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and 
DOE's implementing regulations at 10 CFR part 1021. Specifically, this 
proposed rule adopts existing industry test procedures for certain 
categories of general service lamps, so it will not affect the amount, 
quality or distribution of energy usage, and, therefore, will not 
result in any environmental impacts. Thus, this rulemaking is covered 
by Categorical Exclusion A6 under 10 CFR part 1021, subpart D. 
Accordingly, neither an environmental assessment nor an environmental 
impact statement is required.

E. Review Under 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 determined that it will 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 this 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.

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal 
agencies the general duty to adhere to the following requirements: (1) 
Eliminate drafting errors and ambiguity; (2) write regulations to 
minimize litigation; (3) provide a clear legal standard for affected 
conduct rather than a general standard; and (4) promote simplification 
and burden reduction. Section 3(b) of Executive Order 12988 
specifically requires that Executive agencies make every reasonable 
effort to ensure that the regulation (1) clearly specifies the 
preemptive effect, if any; (2) clearly specifies any effect on existing 
Federal law or regulation; (3) provides a clear legal standard for 
affected conduct while promoting simplification and burden reduction; 
(4) specifies the retroactive effect, if any; (5) adequately defines 
key terms; and (6) addresses other important issues affecting clarity 
and general draftsmanship under any guidelines issued by the Attorney 
General. Section 3(c) of Executive Order 12988 requires Executive 
agencies to review regulations in light of applicable standards in 
sections 3(a) and 3(b) to determine whether they are met or it is 
unreasonable to meet one or more of them. DOE has completed the 
required review and determined that, to the extent permitted by law, 
the proposed rule meets the relevant standards of Executive Order 
12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a proposed regulatory action resulting in a rule that may cause the 
expenditure 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 a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820; also available 
at http://energy.gov/gc/office-general-counsel. DOE examined this 
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.

[[Page 47080]]

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Public Law 105-277) requires Federal agencies to issue a 
Family Policymaking Assessment for any rule that may affect family 
well-being. This rule will not have any impact on the autonomy or 
integrity of the family as an institution. Accordingly, DOE has 
concluded that it is not necessary to prepare a Family Policymaking 
Assessment.

I. Review Under Executive Order 12630

    DOE has determined, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights'' 53 FR 8859 (March 18, 1988), that this regulation will not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

J. Review Under Treasury and General Government Appropriations Act, 
2001

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

K. Review Under 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 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 significant energy action, the 
agency must give a detailed statement of any adverse effects on energy 
supply, distribution, or use if the regulation is implemented, and of 
reasonable alternatives to the action and their expected benefits on 
energy supply, distribution, and use.
    This regulatory action to propose test procedures for certain 
categories of GSLs 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.

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

    Under section 301 of the Department of Energy Organization Act 
(Public Law 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 test procedures for certain categories of GSLs 
incorporate testing methods contained in certain sections of the 
following commercial standards:
    (1) IES LM-45-15, ``IES Approved Method for the Electrical and 
Photometric Measurement of General Service Incandescent Filament 
Lamps,'' 2015;
    (2) IES LM-20-13, ``IES Approved Method for Photometry of Reflector 
Type Lamps,'' 2013;
    (3) IES LM-79-08, ``Approved Method: Electrical and Photometric 
Measurements of Solid-State Lighting Products,'' 2008;
    (4) IES LM-9-09, ``IES Approved Method for the Electrical and 
Photometric Measurement of Fluorescent Lamps,'' 2009; and
    (5) IEC Standard 62301 (Edition 2.0), ``Household electrical 
appliances--Measurement of standby power,'' 2011.
    DOE 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 both 
the Attorney General and the Chairman of the FTC concerning the impact 
of these test procedures on competition, prior to prescribing a final 
rule.

M. Description of Materials Incorporated by Reference

    In this SNOPR, DOE proposes to incorporate by reference certain 
sections of the test standard published by IEC, titled ``Household 
electrical appliances--Measurement of standby power (Edition 2.0),'' 
IEC 62301-DD. IEC 62301-DD is an industry accepted test standard that 
describes measurements of electrical power consumption in standby mode, 
off mode, and network mode. The test procedures proposed in this SNOPR 
reference sections of IEC 62301-DD for testing standby mode power 
consumption of GSLs. IEC 62301-DD is readily available on IEC's Web 
site at https://webstore.iec.ch/home.
    DOE also proposes to incorporate by reference specific sections of 
the test standard published by IES, titled ``IES Approved Method for 
the Electrical and Photometric Measurement of Fluorescent Lamps,'' IES 
LM-9-09-DD. IES LM-9-09-DD is an industry accepted test standard that 
specifies procedures to be observed in performing measurements of 
electrical and photometric characteristics of fluorescent lamps under 
standard conditions. The test procedures proposed in this SNOPR 
reference sections of IES LM-9-09-DD for performing electrical and 
photometric measurements of other fluorescent lamps. IES LM-9-09-DD is 
readily available on IES's Web site at www.ies.org/store/.
    DOE also proposes to incorporate by reference specific sections of 
the test standard published by IES, titled ``IES Approved Method for 
Photometry of Reflector Type Lamps,'' IES LM-20-13. IES LM-20-13 is an 
industry accepted test standard that specifies photometric test methods 
for reflector lamps. The test procedures proposed in this SNOPR 
reference sections of IES LM-20-13 for performing electrical and 
photometric measurements of other incandescent lamps that are reflector 
lamps. IES LM-20-13 is readily available on IES's Web site at 
www.ies.org/store.
    DOE also proposes to incorporate by reference specific sections of 
the test standard published by IES, titled ``IES Approved Method for 
the Electrical and Photometric Measurement of General Service 
Incandescent Filament Lamps,'' IES LM-45-15. IES LM-45-15 is an 
industry accepted test standard that

[[Page 47081]]

specifies procedures to be observed in performing measurements of 
electrical and photometric characteristics of general service 
incandescent filament lamps under standard conditions. The test 
procedures proposed in this SNOPR reference sections of IES LM-45-15 
for performing electrical and photometric measurements of other 
incandescent lamps that are not reflector lamps. IES LM-45-15 is 
readily available on IES's Web site at www.ies.org/store/.
    DOE also proposes to incorporate by reference specific sections of 
the test standard published by IES, titled ``IES Approved Method for 
the Electrical and Photometric Measurement of Solid-State Lighting 
Products,'' IES LM-79-08-DD. IES LM-79-08-DD is an industry accepted 
test standard that specifies electrical and photometric test methods 
for solid-state lighting products. The test procedures proposed in this 
SNOPR reference sections of IES LM-79-08-DD for performing electrical 
and photometric measurements of OLED lamps and non-integrated LED 
lamps. IES LM-79-08 is readily available on IES's Web site at 
www.ies.org/store.

V. Public Participation

A. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this SNOPR. Interested parties may submit comments, 
data, and other information using any of the methods described in the 
ADDRESSES section at the beginning of this SNOPR.
    Submitting comments via www.regulations.gov. The 
www.regulations.gov Web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to regulations.gov information for which disclosure 
is restricted by statute, such as trade secrets and commercial or 
financial information (hereinafter referred to as Confidential Business 
Information (CBI)). Comments submitted through regulations.gov cannot 
be claimed as CBI. Comments received through the Web site will waive 
any CBI claims for the information submitted. For information on 
submitting CBI, see the Confidential Business Information section.
    DOE processes submissions made through www.regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email, hand delivery, or mail. Comments and 
documents submitted via email, hand delivery, or mail also will be 
posted to www.regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information on a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery, please provide all items on a CD, if feasible. It is not 
necessary to submit printed copies. No facsimiles (faxes) will be 
accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English and free of any defects or viruses. 
Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. 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 via 
email, postal mail, or hand delivery two well-marked copies: One copy 
of the document marked confidential including all the information 
believed to be confidential, and one copy of the document marked non-
confidential with the information believed to be confidential deleted. 
Submit these documents via email or on a CD, if feasible. DOE will make 
its own determination about 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) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

B. Issues on Which DOE Seeks Comment

    Although comments are welcome on all aspects of this proposed 
rulemaking, DOE is particularly interested in comments on the following 
issues.
    (1) DOE requests comment on the appropriateness of referencing IES 
LM-79-08 for the testing of non-integrated LED lamps. DOE also requests 
comment on the proposed requirement that manufacturers report the 
settings used for the testing of non-integrated LED lamps, specifically 
input voltage and current, and whether additional settings are needed 
to ensure consistent, repeatable results. DOE requests comment on 
whether the manufacturer-

[[Page 47082]]

declared settings should be made available to the public so that 
accurate comparisons across products could be made.
    (2) DOE requests comment on the industry standards and sections of 
the industry standards referenced in its proposed test methods.

VI. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Reporting and 
recordkeeping requirements.

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 July 8, 2016.
Steven G. Chalk,
Deputy Assistant Secretary for Operations, Energy Efficiency and 
Renewable Energy.

    For the reasons stated in the preamble, DOE proposes to amend parts 
429 and 430 of chapter II of title 10, Code of Federal Regulations as 
set forth below:

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

0
1. The authority citation for part 429 continues to read as follows:

    Authority:  42 U.S.C. 6291-6317.

0
2. Section 429.27 is amended by revising paragraphs (b)(2)(i), (ii) and 
(iii) to read as follows:


Sec.  429.27  General service fluorescent lamps, general service 
incandescent lamps, and incandescent reflector lamps.

* * * * *
    (b) * * *
    (2) * * *
    (i) General service fluorescent lamps. The testing laboratory's 
ILAC accreditation body's identification number or other approved 
identification assigned by the ILAC accreditation body, production 
dates of the units tested, the 12-month average lamp efficacy in lumens 
per watt (lm/W), lamp wattage (W), correlated color temperature in 
Kelvin (K), and the 12-month average Color Rendering Index (CRI).
    (ii) Incandescent reflector lamps. The testing laboratory's ILAC 
accreditation body's identification number or other approved 
identification assigned by the ILAC accreditation body, production 
dates of the units tested, the 12-month average lamp efficacy in lumens 
per watt (lm/W), and lamp wattage (W).
    (iii) General service incandescent lamps, The testing laboratory's 
ILAC accreditation body's identification number or other approved 
identification assigned by the ILAC accreditation body, production 
dates of the units tested, the 12-month average maximum rate wattage in 
watts (W), the 12-month average minimum rated lifetime (hours), and the 
12-month average Color Rendering Index (CRI).
* * * * *
0
3. Section 429.35 is amended by revising paragraph (b)(2) to read as 
follows:


Sec.  429.35  Bare or covered (no reflector) medium base compact 
fluorescent lamps.

* * * * *
    (b) * * *
    (2) Pursuant to Sec.  429.12(b)(13), a certification report shall 
include the following public product-specific information: The testing 
laboratory's ILAC accreditation body's identification number or other 
approved identification assigned by the ILAC accreditation body, the 
minimum initial efficacy in lumens per watt (lm/W), the lumen 
maintenance at 1,000 hours in percent (%), the lumen maintenance at 40 
percent of rated life in percent (%), the rapid cycle stress test in 
number of units passed, and the lamp life in hours (h).
0
4. Section 429.57 is added to read as follows:


Sec.  429.57  General service lamps.

    (a) Determination of represented value. Manufacturers must 
determine represented values, which includes certified ratings, for 
each basic model of general service lamp in accordance with following 
sampling provisions.
    (1) The requirements of Sec.  429.11 are applicable to general 
service lamps, and
    (2) For general service incandescent lamps, use Sec.  429.27(a);
    (3) For compact fluorescent lamps, use Sec.  429.35(a);
    (4) For integrated LED lamps, use Sec.  429.56(a);
    (5) For other incandescent lamps, use Sec.  429.27(a);
    (6) For other fluorescent lamps, use Sec.  429.35(a); and
    (7) For OLED lamps and non-integrated LED lamps, use Sec.  
429.56(a).
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to general service lamps;
    (2) Values reported in certification reports are represented 
values;
    (3) For general service incandescent lamps, use Sec.  429.27(b);
    (4) For compact fluorescent lamps, use Sec.  429.35(b);
    (5) For integrated LED lamps, use Sec.  429.56(b); and
    (6) For other incandescent lamps, for other fluorescent lamps, for 
OLED lamps and non-integrated LED lamps, pursuant to Sec.  
429.12(b)(13), a certification report must include the following public 
product-specific information: The testing laboratory's ILAC 
accreditation body's identification number or other approved 
identification assigned by the ILAC accreditation body, initial lumen 
output, input power, lamp efficacy, and power factor. For non-
integrated LED lamps, the certification report must also include the 
input voltage and current used for testing.
    (c) Rounding requirements. (1) Round input power to the nearest 
tenth of a watt.
    (2) Round initial lumen output to three significant digits.
    (3) Round lamp efficacy to the nearest tenth of a lumen per watt.
    (4) Round power factor to the nearest hundredths place.
    (5) Round standby mode power to the nearest tenth of a watt.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
5. The authority citation for part 430 continues to read as follows:

    Authority:  42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.

0
6. Section 430.3 is amended by:
0
a. Redesignating paragraph (o)(3) as (o)(4);
0
b. Adding paragraph (o)(3);
0
c. Redesignating paragraph (o)(4) as (o)(5);
0
d. Redesignating paragraph (o)(5) as (o)(7);
0
e. Redesignating paragraph (o)(6) as (o)(9);
0
e. Adding new paragraph (o)(6);
0
f. Redesignating paragraph (o)(8) as (o)(11);
0
g. Adding new paragraph (o)(8);
0
f. Redesignating paragraphs (o)(7) and (o)(9) as (o)(10) and (o)(12); 
and
0
g. Adding paragraphs (o)(13) and (p)(6).
    The additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *

[[Page 47083]]

    (o) * * *
    (3) IES LM-9-09 (``IES LM-9-09-DD''), IES Approved Method for the 
Electrical and Photometric Measurement of Fluorescent Lamps, approved 
January 31, 2009; IBR approved for appendix DD to subpart B, as 
follows:
    (i) Section 4--Ambient and Physical Conditions;
    (ii) Section 5--Electrical Conditions;
    (iii) Section 6--Lamp Test Procedures; and
    (iv) Section 7--Photometric Test Procedures: Section 7.5--
Integrating Sphere Measurement.
* * * * *
    (6) IES LM-20-13, IES Approved Method for Photometry of Reflector 
Type Lamps, approved February 4, 2013; IBR approved for appendix DD to 
subpart B, as follows:
    (i) Section 4--Ambient and Physical Conditions;
    (ii) Section 5--Electrical and Photometric Test Conditions;
    (iii) Section 6--Lamp Test Procedures; and
    (iv) Section 8--Total Flux Measurements by Integrating Sphere 
Method.
* * * * *
    (8) IES LM-45-15, IES Approved Method for the Electrical and 
Photometric Measurement of General Service Incandescent Filament Lamps, 
approved August 8, 2015; IBR approved for appendix DD to subpart B as 
follows:
    (i) Section 4--Ambient and Physical Conditions;
    (ii) Section 5--Electrical Conditions;
    (iii) Section 6--Lamp Test Procedures; and
    (iv) Section 7--Photometric Test Procedures: Section 7.1--Total 
Luminous Flux Measurements with an Integrating Sphere.
* * * * *
    (13) IES LM-79-08 (``IES LM-79-08-DD''), IES Approved Method for 
the Electrical and Photometric Measurement of Solid-State Lighting 
Products, approved January 31, 2009; IBR approved for appendix DD to 
subpart B as follows:
    (i) Section 1.3--Nomenclature and Definitions (except section 
1.3[f]);
    (ii) Section 2.0--Ambient Conditions;
    (iii) Section 3.0--Power Supply Characteristics;
    (iv) Section 5.0--Stabilization of SSL Product;
    (v) Section 7.0--Electrical Settings;
    (vi) Section 8.0--Electrical Instrumentation;
    (vii) Section 9--Test Methods for Total Luminous Flux measurement: 
Section 9.1 Integrating Sphere with a Spectroradiometer (Sphere-
spectroradiometer System); and
    (viii) Section 9--Test Methods for Total Luminous Flux measurement: 
Section 9.2--Integrating Sphere with a Photometer Head (Sphere-
photometer System).
* * * * *
    (p) * * *
    (6) IEC 62301, (``IEC 62301-DD''), Household electrical 
appliances--Measurement of standby power, (Edition 2.0, 2011-01); IBR 
approved for appendix DD to subpart B as follows:
    (i) Section 5--Measurements.
* * * * *
0
7. Section 430.23 is amended by adding paragraph (ff) to read as 
follows:


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

* * * * *
    (ff) General Service Lamps. (1) For general service incandescent 
lamps, measure lamp efficacy in accordance with paragraph (r) of this 
section.
    (2) For compact fluorescent lamps, measure lamp efficacy, lumen 
maintenance at 1,000 hours, lumen maintenance at 40 percent of 
lifetime, rapid cycle stress, time to failure, power factor, CRI, start 
time, and standby mode power in accordance with paragraph (y) of this 
section.
    (3) For integrated LED lamps, measure lamp efficacy, power factor, 
and standby mode power in accordance with paragraph (ee) of this 
section.
    (4) For other incandescent lamps, measure initial light output, 
input power, lamp efficacy, power factor, and standby mode power in 
accordance with appendix DD of this subpart.
    (5) For other fluorescent lamps, measure initial light output, 
input power, lamp efficacy, power factor, and standby mode power in 
accordance with appendix DD of this subpart.
    (6) For OLED and non-integrated LED lamps, measure initial light 
output, input power, lamp efficacy, power factor, and standby mode 
power in accordance with appendix DD of this subpart.
0
8. Section 430.25 is revised to read as follows:


Sec.  430.25  Laboratory Accreditation Program.

    The testing for general service fluorescent lamps, general service 
lamps (with the exception of applicable lifetime testing), incandescent 
reflector lamps, and fluorescent lamp ballasts must be conducted by 
test laboratories accredited by an Accreditation Body that is a 
signatory member to the International Laboratory Accreditation 
Cooperation (ILAC) Mutual Recognition Arrangement (MRA). A 
manufacturer's or importer's own laboratory, if accredited, may conduct 
the applicable testing.
0
9. Appendix DD to subpart B of part 430 is added to read as follows:

Appendix DD to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption and Energy Efficiency of General Service Lamps 
that are not General Service Incandescent Lamps, Compact Fluorescent 
Lamps, or Integrated LED Lamps.

    Note:  On or after [INSERT DATE 180 DAYS AFTER DATE OF 
PUBLICATION OF THE FINAL RULE IN THE FEDERAL REGISTER], any 
representations, including certifications of compliance (if 
required), made with respect to the energy use or efficiency of 
general service lamps that are not general service incandescent 
lamps, compact fluorescent lamps, or integrated LED lamps must be 
made in accordance with the results of testing pursuant to this 
appendix DD.

    1. Scope: This appendix DD specifies the test methods required 
to measure the initial lumen output, input power, lamp efficacy, 
power factor, and standby mode energy consumption of general service 
lamps that are not general service incandescent lamps, compact 
fluorescent lamps, or integrated LED lamps.
    2. Definitions:
    Measured initial input power means the input power to the lamp, 
measured after the lamp is stabilized and seasoned (if applicable), 
and expressed in watts (W).
    Measured initial lumen output means the lumen output of the lamp 
measured after the lamp is stabilized and seasoned (if applicable), 
and expressed in lumens (lm).
    Power factor means the measured initial input power (watts) 
divided by the product of the input voltage (volts) and the input 
current (amps) measured at the same time as the initial input power.
    3. Active Mode Test Procedures
    3.1. Take measurements at full light output.
    3.2. Do not use a goniophotometer.
    3.3. For OLED and non-integrated LED lamps, position a lamp in 
either the base-up and base-down orientation throughout testing. An 
equal number of lamps in the sample must be tested in the base-up 
and base-down orientations, except that, if the manufacturer 
restricts the position, test all of the units in the sample in the 
manufacturer-specified position.
    3.4. Operate the lamp at the rated voltage throughout testing. 
For lamps with multiple rated voltages including 120 volts, operate 
the lamp at 120 volts. If a lamp is not rated for 120 volts, operate 
the lamp at the highest rated input voltage. For non-integrated LED 
lamps, operate the lamp at the manufacturer-declared input voltage 
and current.
    3.5. Operate the lamp at the maximum input power. If multiple 
modes occur at the same maximum input power (such as

[[Page 47084]]

variable CCT or CRI), the manufacturer may select any of these modes 
for testing; however, all measurements must be taken at the same 
selected mode. The manufacturer must indicate in the test report 
which mode was selected for testing and include detail such that 
another laboratory could operate the lamp in the same mode.
    3.6. To measure initial lumen output, input power, input 
voltage, and input current use the test procedures in the table in 
this section.

       Table 3.1--References to Industry Standard Test Procedures
------------------------------------------------------------------------
               Lamp type                    Referenced test procedure
------------------------------------------------------------------------
General service incandescent lamps.....  Appendix R to Subpart B of 10
                                          CFR part 430.
Compact fluorescent lamps..............  Appendix W to Subpart B of 10
                                          CFR part 430.
Integrated LED lamps...................  Appendix BB to Subpart B of 10
                                          CFR part 430.
Other incandescent lamps that are not    IES LM-45-15, sections 4-6, and
 reflector lamps.                         section 7.1.
Other incandescent lamps that are        IES LM-20-13, sections 4-6, and
 reflector lamps.                         section 8.
Other fluorescent lamps................  IES LM-9-09-DD, sections 4-6,
                                          and section 7.5.
OLED lamps.............................  IES LM-79-08-DD, sections 1.3
                                          (except 1.3[f]), 2.0, 3.0,
                                          5.0, 7.0, 8.0, 9.1 and 9.2.
Non-integrated LED lamps...............  IES LM-79-08-DD, sections 1.3
                                          (except 1.3[f]), 2.0, 3.0,
                                          5.0, 7.0, 8.0, 9.1 and 9.2.
------------------------------------------------------------------------
* (incorporated by reference, see Sec.   430.3)

    3.7. Determine initial lamp efficacy by dividing the measured 
initial lumen output (lumens) by the measured initial input power 
(watts).
    3.8. Determine power factor by dividing the measured initial 
input power (watts) by the product of the measured input voltage 
(volts) and measured input current (amps).
    4. Standby Mode Test Procedure
    4.1. Measure standby mode power only for lamps that are capable 
of standby mode operation.
    4.2. Connect the lamp to the manufacturer-specified wireless 
control network (if applicable) and configure the lamp in standby 
mode by sending a signal to the lamp instructing it to have zero 
light output. Lamp must remain connected to the network throughout 
testing.
    4.3. Operate the lamp at the rated voltage throughout testing. 
For lamps with multiple rated voltages including 120 volts, operate 
the lamp at 120 volts. If a lamp is not rated for 120 volts, operate 
the lamp at the highest rated input voltage.
    4.4. Stabilize the lamp prior to measurement as specified in 
section 5 of IEC 62301-DD (incorporated by reference; see Sec.  
430.3).
    4.5. Measure the standby mode power in watts as specified in 
section 5 of IEC 62301-DD (incorporated by reference; see Sec.  
430.3).

[FR Doc. 2016-17135 Filed 7-19-16; 8:45 am]
 BILLING CODE 6450-01-P



                                                                           Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules                                             47071

                                                    NEPA contact, when the proposed                          no later than August 19, 2016. See                    contact Ms. Lucy deButts at (202) 287–
                                                    action is expected to result in significant              section V, ‘‘Public Participation,’’ for              1604 or by email: Lucy.deButts@
                                                    environmental effects and there is                       details.                                              ee.doe.gov.
                                                    insufficient time to allow for the                       ADDRESSES:    Any comments submitted                  FOR FURTHER INFORMATION CONTACT:      Ms.
                                                    preparation of an EIS. APHIS will                        must identify the SNOPR for Test                      Lucy deButts, U.S. Department of
                                                    consult CEQ and request alternative                      Procedures for Certain Categories of                  Energy, Office of Energy Efficiency and
                                                    arrangements in accordance with CEQ                      General Service Lamps, and provide                    Renewable Energy, Building
                                                    regulations at 40 CFR 1506.11. Such                      docket number EERE–2016–BT–TP–                        Technologies Office, EE–2J, 1000
                                                    alternative arrangements will apply only                 0005 and/or regulatory information                    Independence Avenue SW.,
                                                    to the proposed actions necessary to                                                                           Washington, DC, 20585–0121.
                                                                                                             number (RIN) 1904–AD64. Comments
                                                    control the immediate impacts of the                                                                           Telephone: (202) 287–1604. Email:
                                                                                                             may be submitted using any of the
                                                    emergency. Other proposed actions                                                                              Lucy.deButts@ee.doe.gov.
                                                                                                             following methods:
                                                    remain subject to NEPA analysis and                         1. Federal eRulemaking Portal:                        Mr. Pete Cochran, U.S. Department of
                                                    documentation in accordance with the                     www.regulations.gov. Follow the                       Energy, Office of the General Counsel,
                                                    CEQ regulations and the regulations in                   instructions for submitting comments.                 GC–71, 1000 Independence Avenue
                                                    this part.                                                  2. Email: GSL2016TP0005@                           SW., Washington, DC, 20585–0121.
                                                      Done in Washington, DC, this 14th day of               ee.doe.gov. Include the docket number                 Telephone: (202) 586–9496. Email:
                                                    July 2016.                                               EERE–2016–BT–TP–0005 and/or RIN                       Peter.Cochran@hq.doe.gov.
                                                    Edward Avalos,                                           1904–AD64 in the subject line of the                  SUPPLEMENTARY INFORMATION: DOE
                                                    Under Secretary, Marketing and Regulatory                message.                                              proposes to incorporate by reference
                                                    Programs.                                                   3. Mail: Ms. Lucy deButts, U.S.                    into 10 CFR part 430 specific sections of
                                                    [FR Doc. 2016–17138 Filed 7–19–16; 8:45 am]              Department of Energy, Building                        the following industry standards:
                                                    BILLING CODE 3410–34–P                                   Technologies Office, Mailstop EE–5B,                     (1) IEC 62301 (‘‘IEC 62301–DD’’),
                                                                                                             1000 Independence Avenue SW.,                         Household electrical appliances—
                                                                                                             Washington, DC, 20585–0121. If                        Measurement of standby power (Edition
                                                    DEPARTMENT OF ENERGY                                     possible, please submit all items on a                2.0, 2011–01).
                                                                                                             CD, in which case it is not necessary to                 A copy of IEC 62301–DD may be
                                                    10 CFR Parts 429 and 430                                 include printed copies.                               obtained from the International
                                                    [Docket No. EERE–2016–BT–TP–0005]                           4. Hand Delivery/Courier: Ms. Lucy                 Electrotechnical Commission, available
                                                                                                             deButts, U.S. Department of Energy,                   from the American National Standards
                                                    RIN 1904–AD64                                            Building Technologies Office, 950                     Institute, 25 W. 43rd Street, 4th Floor,
                                                                                                             L’Enfant Plaza SW., Suite 600,                        New York, NY 10036, (212) 642–4900,
                                                    Energy Conservation Program: Test
                                                                                                             Washington, DC, 20024. Telephone:                     or go to http://webstore.ansi.org.
                                                    Procedures for Certain Categories of
                                                                                                             (202) 586–2945. If possible, please                      (2) IES LM–9–09 (‘‘IES LM–9–09–
                                                    General Service Lamps
                                                                                                             submit all items on a CD, in which case               DD’’), IES Approved Method for the
                                                    AGENCY:  Office of Energy Efficiency and                 it is not necessary to include printed                Electrical and Photometric
                                                    Renewable Energy, Department of                          copies.                                               Measurement of Fluorescent Lamps.
                                                    Energy.                                                     For detailed instructions on                          (3) IES LM–20–13, IES Approved
                                                    ACTION: Supplemental notice of                           submitting comments and additional                    Method of Photometry of Reflector Type
                                                    proposed rulemaking.                                     information on the rulemaking process,                Lamps.
                                                                                                             see section V of this SNOPR, ‘‘Public                    (4) IES LM–45–15, IES Approved
                                                    SUMMARY:   This supplemental notice of                   Participation.’’                                      Method for the Electrical and
                                                    proposed rulemaking (SNOPR) proposes                        Docket: The docket, which includes                 Photometric Measurement of General
                                                    to establish test procedures for certain                 Federal Register notices, public meeting              Service Incandescent Filament Lamps.
                                                    categories of general service lamps                      attendee lists and transcripts,                          (5) IES LM–79–08 (‘‘IES LM–79–08–
                                                    (GSLs) to support the ongoing energy                     comments, and other supporting                        DD’’), IES Approved Method for the
                                                    conservation standards rulemaking.                       documents/materials, is available for                 Electrical and Photometric
                                                    Specifically, this rulemaking proposes                   review at www.regulations.gov. All                    Measurement of Solid-State Lighting
                                                    new test procedures for determining the                  documents in the docket are listed in                 Products.
                                                    initial lumen output, input power, lamp                  the www.regulations.gov index.                           Copies of IES LM–9–09–DD, IES LM–
                                                    efficacy, power factor, and standby                      However, some documents listed in the                 20–13, IES LM–45–15, and IES LM–79–
                                                    mode power of GSLs that are not                          index, such as those containing                       08–DD can be obtained from
                                                    integrated light-emitting diode (LED)                    information that is exempt from public                Illuminating Engineering Society of
                                                    lamps, compact fluorescent lamps                         disclosure, may not be publicly                       North America, 120 Wall Street, Floor
                                                    (CFLs), or general service incandescent                  available.                                            17, New York, NY 10005–4001, or by
                                                    lamps (GSILs). This SNOPR revises the                       A link to the docket Web page can be               going to www.ies.org/store.
                                                    previous proposed test procedures for                    found at https://www.regulations.gov/#!                  See section IV.M for a further
                                                    GSLs by referencing Illuminating                         docketDetail;D=EERE-2016-BT-TP-0005.                  discussion of these standards.
                                                    Engineering Society (IES) LM–79–08 for                   The docket Web page contains simple                   Table of Contents
                                                    the testing of non-integrated LED lamps.                 instructions on how to access all
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                                                    The U.S. Department of Energy (DOE) is                   documents, including public comments,                 I. Authority and Background
                                                    also proposing to clarify references to                  in the docket. See section V, ‘‘Public                II. Synopsis of the Supplemental Notice of
                                                    the existing lamp test methods and                                                                                   Proposed Rulemaking
                                                                                                             Participation,’’ for information on how
                                                    sampling plans for determining the                                                                             III. Discussion
                                                                                                             to submit comments through                               A. Scope of Applicability
                                                    represented values of integrated LED                     www.regulations.gov.                                     B. Proposed Method for Determining Initial
                                                    lamps, CFLs, and GSILs.                                     For further information on how to                        Lumen Output, Input Power, Lamp
                                                    DATES: DOE will accept comments, data,                   submit a comment or review other                            Efficacy, and Power Factor
                                                    and information regarding this SNOPR                     public comments and the docket,                          C. Laboratory Accreditation



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                                                    47072                   Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules

                                                      D. Effective Date and Compliance Dates                   notice of proposed rulemaking on                      the testing of non-integrated LED lamps.
                                                    IV. Procedural Issues and Regulatory Review                March 17, 2016 (March 2016 GSL ECS                    DOE’s proposals for the standby mode
                                                      A. Review Under Executive Order 12866                    NOPR). In support of the standards                    test procedure, represented value
                                                      B. Review Under the Regulatory Flexibility               rulemaking, DOE has undertaken                        calculations, and certification and
                                                         Act
                                                      C. Review Under the Paperwork Reduction                  several rulemakings to amend existing                 rounding requirements remain
                                                         Act of 1995                                           test procedures and to adopt new test                 unchanged from the March 2016 GSL
                                                      D. Review Under the National                             procedures for GSLs. On July 1, 2016,                 TP NOPR. DOE also notes that
                                                         Environmental Policy Act of 1969                      DOE published a final rule adopting test              representations of energy use or energy
                                                      E. Review Under Executive Order 13132                    procedures for integrated light-emitting              efficiency must be based on testing in
                                                      F. Review Under Executive Order 12988                    diode (LED) lamps. 81 FR 43404 (July                  accordance with this rulemaking, if
                                                      G. Review Under the Unfunded Mandates                    2016 LED TP final rule). DOE has                      adopted, beginning 180 days after the
                                                         Reform Act of 1995                                    proposed to amend test procedures for                 publication of a test procedure final
                                                      H. Review Under the Treasury and General                 medium base compact fluorescent                       rule.
                                                         Government Appropriations Act, 1999
                                                                                                               lamps (MBCFLs) and to adopt test
                                                      I. Review Under Executive Order 12630                                                                          III. Discussion
                                                      J. Review Under Treasury and General                     procedures for new metrics for all
                                                         Government Appropriations Act, 2001                   compact florescent lamps (CFLs)                       A. Scope of Applicability
                                                      K. Review Under Executive Order 13211                    including hybrid CFLs and CFLs with                      GSL is defined by EPCA to include
                                                      L. Review Under Section 32 of the Federal                bases other than a medium screw base.                 GSILs, CFLs, general service light-
                                                         Energy Administration Act of 1974                     80 FR 45724 (July 31, 2015) (July 2015                emitting diode (LED) lamps (including
                                                      M. Description of Materials Incorporated                 CFL TP NOPR).                                         organic LEDs (OLEDs)), and any other
                                                         by Reference                                             On March 17, 2016, DOE published a
                                                    V. Public Participation                                                                                          lamp that DOE determines is used to
                                                                                                               NOPR (March 2016 GSL TP NOPR) that                    satisfy lighting applications
                                                      A. Submission of Comments                                proposed test procedures for certain
                                                      B. Issues on Which DOE Seeks Comment                                                                           traditionally served by GSILs. (42 U.S.C.
                                                                                                               categories of GSLs not currently covered              6291(30)(BB)) In the March 2016 GSL
                                                      VI. Approval of the Office of the Secretary
                                                                                                               under these existing test procedures. 81              ECS NOPR, DOE proposed to include in
                                                    I. Authority and Background                                FR 14632. This SNOPR revises the test                 the definition for general service lamp a
                                                       Title III of the Energy Policy and                      procedures proposed in the March 2016                 lamp that has an ANSI 2 base, operates
                                                    Conservation Act of 1975 (42 U.S.C.                        GSL TP NOPR by referencing                            at any voltage, has an initial lumen
                                                    6291, et seq.; ‘‘EPCA’’ or ‘‘the Act’’) sets               Illuminating Engineering Society (IES)                output of 310 lumens or greater (or 232
                                                    forth a variety of provisions designed to                  LM–79–08 for the testing of non-                      lumens or greater for modified spectrum
                                                    improve energy efficiency.1 Part B of                      integrated LED lamps. Manufacturers of                GSILs), is not a light fixture, is not an
                                                    title III, which for editorial reasons was                 lamps subject to this rulemaking would                LED downlight retrofit kit, and is used
                                                    redesignated as Part A upon                                be required to use these test procedures              in general lighting applications.3 81 FR
                                                    incorporation into the U.S. Code (42                       to assess performance relative to any                 14541. This SNOPR proposes test
                                                    U.S.C. 6291–6309, as codified),                            potential energy conservation standards               procedures for GSLs that are not GSILs,
                                                    establishes the ‘‘Energy Conservation                      the lamps must comply with in the                     CFLs, or integrated LED lamps.
                                                    Program for Consumer Products Other                        future and for any representations of                    DOE received comments from China 4
                                                                                                               energy efficiency.                                    regarding the scope of applicability of
                                                    Than Automobiles.’’ These consumer
                                                                                                                  EPCA sets forth the criteria and                   this rulemaking. China noted that OLED
                                                    products include general service lamps,
                                                                                                               procedures DOE must follow when                       lamps are classified as general service
                                                    the subject of this supplemental notice                    prescribing or amending test procedures
                                                    of proposed rulemaking (SNOPR).                                                                                  lamps and would be subject to the test
                                                                                                               for covered products. EPCA provides, in               procedures proposed in the March 2016
                                                       Under EPCA, the energy conservation
                                                                                                               relevant part, that any test procedures               GSL TP NOPR. China commented that
                                                    program consists essentially of four
                                                                                                               prescribed or amended under this                      OLED lamps are unique from existing
                                                    parts: (1) Testing, (2) labeling, (3)
                                                                                                               section shall be reasonably designed to
                                                    Federal energy conservation standards,
                                                                                                               produce test results which measure                       2 A lamp base standardized by the American
                                                    and (4) certification and enforcement
                                                                                                               energy efficiency, energy use or                      National Standards Institute.
                                                    procedures. The testing requirements
                                                                                                               estimated annual operating cost of a                     3 The definition also specified several
                                                    consist of test procedures that                                                                                  exemptions, including: General service fluorescent
                                                                                                               covered product during a representative
                                                    manufacturers of covered products must                                                                           lamps; incandescent reflector lamps; mercury vapor
                                                                                                               average use cycle or period of use and
                                                    use as the basis for (1) certifying to DOE                                                                       lamps; appliance lamps; black light lamps; bug
                                                                                                               shall not be unduly burdensome to                     lamps; colored lamps; infrared lamps; marine signal
                                                    that their products comply with the
                                                                                                               conduct. (42 U.S.C. 6293(b)(3)) Pursuant              lamps; mine service lamps; plant light lamps; sign
                                                    applicable energy conservation                                                                                   service lamps; traffic signal lamps; and medium
                                                                                                               to this authority, DOE proposes to
                                                    standards adopted under EPCA (42                                                                                 screw base incandescent lamps that are left-hand
                                                                                                               prescribe test procedures for certain                 thread lamps, marine lamps, reflector lamps, rough
                                                    U.S.C. 6295(s)), and (2) making
                                                                                                               categories of GSLs in support of the GSL              service lamps, shatter-resistant lamps (including a
                                                    representations about the energy use or
                                                                                                               standards rulemaking.                                 shatter-proof lamp and a shatter-protected lamp),
                                                    efficiency of those products (42 U.S.C.                                                                          silver bowl lamps, showcase lamps, 3-way
                                                    6293(c)). Similarly, DOE must use these                    II. Synopsis of the Supplemental Notice               incandescent lamps, vibration service lamps, G
                                                    test procedures to determine whether                       of Proposed Rulemaking                                shape lamps as defined in ANSI C78.20 and ANSI
                                                                                                                                                                     C79.1–2002 with a diameter of 5 inches or more,
                                                    the products comply with any relevant                         In this SNOPR, DOE proposes test                   T shape lamps as defined in ANSI C78.20 and ANSI
                                                    standards promulgated under EPCA. (42                      procedures for determining initial                    C79.1–2002 and that use not more than 40 watts or
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                                                    U.S.C. 6295(s))                                            lumen output, input power, lamp                       have a length of more than 10 inches, and B, BA,
                                                       DOE is developing energy                                                                                      CA, F, G16–1/2, G–25, G30, S, or M–14 lamps as
                                                                                                               efficacy, power factor, and standby                   defined in ANSI C79.1–2002 and ANSI C78.20 of
                                                    conservation standards for general                         mode power for certain categories of                  40 watts or less.
                                                    service lamps (GSLs) and published a                       GSLs for which DOE does not have an                      4 DOE received two comments from China, both

                                                                                                               existing regulatory test procedure. Based             of which provided essentially the same comments
                                                      1 All references to EPCA refer to the statute as                                                               regarding the March 2016 GSL TP NOPR. (EERE–
                                                    amended through the Energy Efficiency
                                                                                                               on public comment received in response                BT–TP–0005–008 and EERE–BT–TP–0005–0009)
                                                    Improvement Act of 2015, Public Law 114–11                 to the March 2016 GSL TP NOPR, DOE                    For the purpose of this SNOPR, DOE provides
                                                    (April 30, 2015).                                          proposes to reference IES LM–79–08 for                reference to the first comment submitted by China.



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                                                                           Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules                                           47073

                                                    lighting technologies, and that                          Specification V2.0, interested parties                currently defined at 10 CFR 430.2. A
                                                    International Commission on                              will need to consult the ENERGY STAR                  definition of CFL was proposed to be
                                                    Illumination (CIE) and related                           document.                                             added to 10 CFR 430.2 in the July 2015
                                                    researchers are considering developing a                    China commented that, while section                CFL TP NOPR. 80 FR at 45739. A
                                                    specialized test method for OLED                         III.B of the March 2016 GSL TP NOPR                   definition of integrated LED lamp was
                                                    lamps. China therefore suggested that                    stated that the term GSL includes many                recently added to 10 CFR 430.2 in the
                                                    DOE develop specific regulations and                     types of lamps using varying lighting                 July 2016 LED TP final rule. 81 FR at
                                                    test procedures for OLED lamps instead                   technologies, it understood from the                  43426. The references to ‘‘other
                                                    of using existing LED lamp test                          discussion in section III.A that halogen              incandescent lamps’’ in Table III.1 were
                                                    procedures. (China, No. 8 at p. 1) 5                     lamps were excluded from the                          to lamps that meet the definition of GSL
                                                       DOE understands that the current                      definition of GSL. China requested                    (as would be established in a GSL
                                                    industry practice is to test OLED lamps                  clarification on whether the proposed                 standards final rule) that are
                                                    according to IES LM–79–08, a test                        rule would cover halogen lamps. (China,               incandescent lamps other than GSILs. A
                                                    standard that is applicable to solid-state               No. 8 at p. 1)                                        definition of ‘‘reflector lamp’’ has been
                                                    lighting products, including both LED                       As noted in this preamble, a                       proposed in the March 2016 GSL ECS
                                                    and OLED lamps. In this SNOPR, DOE                       definition of GSL was proposed in the                 NOPR. 81 FR 14629. Regarding
                                                    proposes to reference LM–79–08 to                        March 2016 GSL ECS NOPR, and that                     fluorescent lamps, reference to ‘‘other
                                                    determine initial lumen output, input                    proposed definition does not exclude                  fluorescent lamps’’ in Table III.1 of the
                                                    power, lamp efficacy, and power factor                   halogen lamps generally. This SNOPR                   March 2016 GSL TP NOPR was to
                                                    for OLED lamps. If a new test procedure                  proposes test procedures for other                    fluorescent lamps that meet the
                                                    is developed by industry members and/                    incandescent lamps, i.e., incandescent                definition of GSL (to be finalized in the
                                                    or related researchers, DOE will                         lamps that are GSLs but not GSILs.                    standards final rule) but do not meet the
                                                    consider it in a future revision of this                 ‘‘Incandescent lamp’’ is currently                    definition of CFL (which is another
                                                    test procedure.                                          defined, in part, as a lamp in which                  lamp type specifically included in the
                                                       China commented that in section III.A                 light is produced by a filament heated                GSL term) or general service fluorescent
                                                    of the March 2016 GSL TP NOPR, DOE                       to incandescence by an electric current.              lamp (which is a lamp type specifically
                                                    referred to its proposed definition of a                 10 CFR 430.2. This description depicts                excluded from the GSL term). DOE has
                                                    GSL from the March 2016 GSL ECS                          the method of producing light in a                    proposed definitions for non-integrated
                                                    NOPR, which includes lamps with an                       halogen lamp. In addition, paragraph (1)              lamp and OLED lamp in the March 2016
                                                    initial lumen output of 310 lumens or                    of the definition of ‘‘incandescent lamp’’            GSL ECS NOPR. 81 FR 14628–14629.
                                                    greater. China noted that in Energy Star                 in 10 CFR 430.2 expressly includes                    Thus, DOE has tentatively determined
                                                    Lamps Specification V2.0, the lumen                      tungsten halogen lamps. A halogen                     that all of the various kinds of lamps
                                                    range of products used to replace a 25                   lamp (other than a halogen lamp that                  included in this rulemaking have either
                                                    watt (W) incandescent lamp is between                    was a GSIL) within the definition of                  existing or proposed definitions that
                                                    250 and 449 lumens. China stated that                    GSL as adopted in the energy                          sufficiently identify which test
                                                    the difference between the proposed                      conservation standards final rule would               procedures are applicable to each kind
                                                    definition of GSL in the March 2016                      be subject to the test procedures                     of lamp.
                                                    GSL ECS NOPR and the products                            proposed in this SNOPR if adopted. Test                  China commented that section III.B of
                                                    covered in the Energy Star Lamps                         procedures for GSILs are located in                   the March 2016 GSL TP NOPR includes
                                                    Specification V2.0 would cause                           appendix R to subpart B of part 430.                  integrated and non-integrated LEDs,
                                                    confusion on how to test lamps with                         China commented that section III.B of              with corresponding test procedures.
                                                    lumen outputs less than 310 lumens.                      March 2016 GSL TP NOPR did not                        China pointed out that IEC 62838:2015
                                                    Therefore, China suggested that DOE                      provide definitions for the eight general             includes semi-integrated LEDs as well.
                                                    clarify the test requirements for lamps                  purpose lamps mentioned in Table III.1,               China recommended that DOE include
                                                    below 310 lumens. (China, No. 8 at p.                    making it difficult to distinguish                    semi-integrated LEDs and their
                                                    1)                                                       between ‘‘other non-incandescent                      corresponding referenced test
                                                       DOE notes that this SNOPR proposes                    reflector type,’’ ‘‘general purpose                   procedure. (China, No. 8 at p. 2) DOE
                                                    test procedures for GSLs that are not                    incandescent,’’ ‘‘compact fluorescent                 notes that it has proposed definitions for
                                                    GSILs, CFLs, or integrated LED lamps.                    lamps,’’ and ‘‘other types of fluorescent             integrated and non-integrated lamps in
                                                    The March 2016 GSL ECS NOPR                              lamps.’’ China recommended that DOE                   the March 2016 GSL ECS NOPR. 81 FR
                                                    proposed a definition of GSL that would                  use IEC 61231, which it stated is                     14628. Under the proposed definitions
                                                    be limited to products with a lumen                      internationally accepted for classifying              of integrated lamp and non-integrated
                                                    output of 310 lumens or greater (or 232                  the types of lamps mentioned in Table                 lamp, semi-integrated LEDs would be
                                                    lumens or greater for modified spectrum                  III.1 of the March 2016 GSL TP NOPR.                  considered a type of non-integrated
                                                    general service incandescent lamps). 81                  (China, No. 8 at pp. 1–2)                             lamp because, as described in IEC
                                                                                                                Table III.1 of the March 2016 GSL TP               62838:2015, they require the use of
                                                    at FR 14628. DOE recognizes that
                                                                                                             NOPR referenced the test procedures                   some external components.
                                                    ENERGY STAR Lamps Specification
                                                                                                             that would be applicable to GSLs based                   China commented that section III.B of
                                                    V2.0 includes products with a lumen
                                                                                                             on lamp technology: GSILs, CFLs,                      the March 2016 GSL TP NOPR
                                                    output of less than 310 lumens. To
                                                                                                             integrated LED lamps, other                           referenced the integrated LED lamp test
                                                    determine how such lamps should be
                                                                                                             incandescent lamps that are not                       procedure in appendix BB of 10 CFR
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                                                    evaluated under ENERGY STAR Lamps
                                                                                                             reflector lamps, other incandescent                   part 430 subpart B. However, China
                                                      5 A notation in this form provides a reference for     lamps that are reflector lamps, other                 noted that this appendix is not yet
                                                    information that is in the docket of DOE’s               fluorescent lamps, OLED lamps, and                    published. China recommended that
                                                    rulemaking to develop test procedures for GSLs           non-integrated LED lamps. 81 FR 14634.                DOE publish the documents
                                                    (Docket No. EERE–2016–BT–TP–0005), which is              DOE notes that definitions for many of                corresponding to this appendix. (China,
                                                    maintained at www.regulations.gov. This notation
                                                    indicates that the statement preceding the reference
                                                                                                             these lamp types either already exist in              No. 8 at p. 2) DOE notes that appendix
                                                    was made by China, is from document number 8 in          10 CFR 430.2 or were proposed in the                  BB of 10 CFR part 430 subpart B,
                                                    the docket, and appears at page 1 of that document.      March 2016 GSL ECS NOPR. GSIL is                      containing the integrated LED test


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                                                    47074                  Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules

                                                    procedure, was adopted in the July 2016                  commented that, although non-                         most applicable industry standard. DOE
                                                    LED TP final rule. 81 FR at 43427–                       integrated LED lamps are not within the               preliminarily concluded that once it is
                                                    43428.                                                   intended scope of IES LM–79–08, it is                 determined how to supply the power to
                                                                                                             common industry practice to use IES                   the lamp or on which ballast/driver to
                                                    B. Proposed Method for Determining
                                                                                                             LM–79–08 to test non-integrated LED                   operate the lamp for testing, there is
                                                    Initial Lumen Output, Input Power,
                                                                                                             lamps. NEMA and OSI both noted that                   little difference in testing an integrated
                                                    Lamp Efficacy, and Power Factor
                                                                                                             the test procedure for ceiling fan light              versus a non-integrated LED lamp.
                                                       As described in section III.A, both the               kits in appendix V1 to subpart B of 10                Further, DOE notes that some of these
                                                    statutory definition and proposed                        CFR 430 directs manufacturers to test                 products have been tested and the
                                                    regulatory definition of GSL cover many                  other solid-state lighting (SSL) products             results have been reported in the LED
                                                    types of lamps using a variety of lighting               using IES LM–79–08. NEMA and OSI                      Lighting Facts Database and the
                                                    technologies. For several of the included                therefore recommended that DOE allow                  qualified products list for the Lighting
                                                    lamp types, energy conservation                          manufacturers flexibility in choosing                 Design Lab. Both of these organizations
                                                    standards and test procedures already                    the test procedure for non-integrated                 specify IES LM–79–08 as a test method
                                                    exist. GSILs are required to comply with                 lamps LED lamps. (OSI, No. 3 at p. 2;                 for all included products.
                                                    the energy conservation standards in 10                  NEMA, No. 6 at p. 2)                                     Upon reviewing the available
                                                    CFR 430.32(x), and test procedures for                     In proposing test procedures for non-               information, DOE has tentatively
                                                    these lamps are in Appendix R to                         integrated LED lamps in the March 2016                determined that for the testing of non-
                                                    subpart B of 10 CFR part 430. In a                       GSL TP NOPR, DOE reviewed existing                    integrated LED lamps, IES LM–79–08 is
                                                    separate test procedure rulemaking,                      industry standards. In its review DOE                 the more relevant industry standard at
                                                    DOE has proposed to amend the test                       initially determined that IES LM–79–08                the present time, as compared to CIE S
                                                    procedures for MBCFLs and to establish                   was not intended for non-integrated                   025/E:2015. Further, DOE has reviewed
                                                    new test procedures for all other CFLs.                  LED lamps given that LM–79–08 states                  IES LM–79–08 and finds it appropriate
                                                    80 FR 45724. Once finalized, the                         in section 1.1 that the test method                   for testing non-integrated LED lamps for
                                                    updated and new test procedures will                     covers ‘‘LED-based SSL products with                  the purpose of determining compliance
                                                    appear at appendix W to subpart B of 10                  control electronics and heat sinks                    with the applicable energy efficiency
                                                    CFR part 430. In addition, DOE recently                  incorporated, that is, those devices that             standards.
                                                    issued test procedures for integrated                    require only AC mains power or a DC                      However, because non-integrated LED
                                                    LED lamps. 81 FR 43404. Although                         voltage power supply to operate.’’ Non-               lamps are not included in the applicable
                                                    integrated LED lamps are not currently                   integrated LED lamps require external                 scope of this industry standard, DOE
                                                    required to comply with energy                           electronics; that is, the lamps are                   finds that additional instruction is
                                                    conservation standards, DOE has                          intended to connect to ballasts/drivers               necessary to ensure consistent and
                                                    proposed standards for them in the                       rather than directly to the branch circuit            repeatable results. Specifically, DOE
                                                    March 2016 GSL ECS NOPR. 81 FR                           through an ANSI base and                              finds that IES LM–79–08 provides no
                                                    14530. The test procedures for                           corresponding ANSI standard lamp                      information on which external ballast/
                                                    integrated LED lamps will be located in                  holder (socket). Because non-integrated               driver or power supply to use for
                                                    new appendix BB to subpart B of 10                       LED lamps require external electronics,               testing. After reviewing the approaches
                                                    CFR part 430.                                            DOE tentatively determined that IES                   of independent test laboratories, DOE
                                                       If DOE test procedures already exist or               LM–79–08 was not appropriate for non-                 proposes that non-integrated LED lamps
                                                    were proposed in an ongoing                              integrated LED lamps, and therefore                   be tested according to IES LM–79–08,
                                                    rulemaking (such as for GSILs, CFLs,                     would not be the most relevant industry               using the manufacturer-declared input
                                                    and integrated LED lamps), DOE                           standard for these lamps.                             voltage and current as the power
                                                    proposed in the March 2016 GSL TP                          Based on the comments received from                 supply. These quantities are typically
                                                    NOPR to reference those specific                         NEMA and OSI, DOE investigated                        not reported on the product packaging
                                                    provisions in the GSL test procedures.                   whether IES LM–79–08 is the more                      or in manufacturer literature. (DOE
                                                    For all other GSLs, DOE proposed new                     relevant test procedure for non-                      noted only two companies that do so.)
                                                    test procedures, intending to reference                  integrated LED lamps, regardless of the               DOE is therefore proposing to revise the
                                                    the most recently published versions of                  defined scope of the industry standard.               requirements for certification reports to
                                                    relevant industry standards. 81 FR                       In addition to the statements made by                 include these quantities for non-
                                                    14631, 14633. Of the proposed test                       NEMA and OSI that IES LM–79–08 is                     integrated LED lamps. While
                                                    procedures, DOE received comments on                     relied upon by industry to test non-                  manufacturers usually list compatible
                                                    those for non-integrated LED lamps,                      integrated lamps, DOE found one                       ballasts/drivers for these products, DOE
                                                    other fluorescent lamps, and other                       manufacturer of these products that                   notes that it is unknown on which
                                                    incandescent lamps that are reflector                    states on its Web site that the                       ballast/driver these lamps may operate
                                                    lamps.                                                   performance specifications it reports are             when installed in the field.
                                                       DOE received comments from three                      based on testing according to IES LM–                 Furthermore, the test procedure should
                                                    stakeholders regarding the proposed test                 79–08.6 Other manufacturers did not                   produce consistent and repeatable
                                                    procedures for non-integrated LED                        identify the test method used. DOE also               results. By requiring these lamps to be
                                                    lamps. Private citizen Mat Roundy                        contacted independent test laboratories               tested using the manufacturer-declared
                                                    voiced support for DOE’s proposed                        to determine which test procedure they                input voltage and current as the power
                                                    reference of CIE S 025/E:2015, stating                                                                         supply, DOE’s proposed approach is
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                                                                                                             used. DOE found that the laboratories
                                                    that requiring manufacturers to use the                  generally used IES LM–79–08 when                      consistent with the industry practice of
                                                    same standard would improve                              testing non-integrated LED lamps                      using reference ballasts for non-
                                                    effectiveness when implementing an                       because, even though it does not                      integrated lamps, such as non-integrated
                                                    energy conservation standard and                         specifically include them, the                        CFLs and GSFLs. For those products,
                                                    promoting energy efficiency. (Roundy,                    laboratories view IES LM–79–08 as the                 industry standards (and DOE’s test
                                                    No. 5 at p. 1) However, Osram Sylvania,                                                                        procedures) specify electrical settings
                                                    Inc. (OSI) and the National Electrical                     6 http://www.maxlite.com/item/                      for reference ballasts and each product
                                                    Manufacturers Association (NEMA)                         lm79?=13PLG24QVLED27.                                 is tested using those same settings.


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                                                                               Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules                                                     47075

                                                    Because industry has not yet developed                            procedures for obtaining measurements                      agrees that referencing section 7 of LM–
                                                    reference ballast/driver settings for non-                        of single-based fluorescent lamps,                         20–13 is unnecessary because it
                                                    integrated LED lamps, DOE proposes                                including both electrode and                               addresses the measurement of values for
                                                    that the manufacturers report the                                 electrodeless (i.e., induction) versions.                  which standards have not been
                                                    settings that are used. The use of                                The introduction of IES LM–66–14                           proposed, such as beam angle, field
                                                    reference settings allows for a consistent                        states, as does DOE’s definition of CFL,                   angle, and beam flux values.
                                                    and comparable assessment of the                                  that it does not include circline or U-                    Furthermore, section 7 specifies the use
                                                    lamp’s performance. Therefore, DOE                                shaped fluorescent lamps. Thus, DOE                        of a goniophotometer. As proposed in
                                                    proposes the requirement that non-                                has tentatively concluded that lamps                       the March 2016 GSL TP NOPR and
                                                    integrated LED lamps be tested                                    meeting DOE’s definition of CFL will be                    maintained in this document, the active
                                                    according to IES LM–79–08, using the                              required to use test procedures in                         mode test procedure does not allow the
                                                    manufacturer-declared input voltage                               appendix W to subpart B of 10 CFR 430,                     use of a goniophotometer. For these
                                                    and current as the power supply. DOE                              which predominantly references IES                         reasons, the reference to section 7 of IES
                                                    requests DOE requests comment on the                              LM–66–14 for test methods. DOE                             LM–20–13 has been removed from the
                                                    appropriateness of referencing IES LM–                            expects that single-based fluorescent                      test procedure in this SNOPR.
                                                    79–08 for the testing of non-integrated                           lamps that are GSLs will be within the                       DOE has determined not to reference
                                                    LED lamps. DOE also requests comment                              definition of CFL, and thus subject to                     appendix R for the testing of other
                                                    on the proposed requirement that                                  the test procedures that reference IES                     incandescent lamps that are reflector
                                                    manufacturers report the settings used                            LM–66–14.                                                  lamps. DOE notes that the content of the
                                                    for testing, specifically input voltage                              While DOE is unaware of any lamps
                                                                                                                                                                                 referenced sections (sections 4, 5, 6, and
                                                    and current, and whether additional                               currently on the market that would be
                                                                                                                                                                                 8) of IES LM–20–13 are consistent with
                                                    settings are needed to ensure consistent,                         subject to testing as ‘‘other fluorescent
                                                                                                                                                                                 the content of the sections of IES LM–
                                                    repeatable results. Finally, DOE requests                         lamps,’’ test procedures must be
                                                                                                                                                                                 20–94 referenced in appendix R.
                                                    comment on whether the manufacturer-                              established for all potentially covered
                                                                                                                                                                                 However, DOE has chosen not to
                                                    declared settings should be made                                  products. To address other fluorescent
                                                                                                                                                                                 reference Appendix R in order to avoid
                                                    available to the public so that accurate                          lamps that would not meet the
                                                                                                                                                                                 potential confusion; appendix R is
                                                    comparisons across products could be                              definition of CFL but would otherwise
                                                                                                                                                                                 applicable to incandescent reflector
                                                    made.                                                             be defined as GSLs (i.e., double-ended
                                                       Regarding the testing of other                                                                                            lamps but these lamps are not included
                                                                                                                      fluorescent lamps), DOE has maintained
                                                    fluorescent lamps, OSI and NEMA                                                                                              in the definition of GSL. Therefore, for
                                                                                                                      the reference to IES LM–9–09 in this
                                                    commented that testing per sections 4                                                                                        GSLs that are other incandescent lamps
                                                                                                                      SNOPR.
                                                    through 6 of IES LM–9–09 would be                                    OSI and NEMA supported the use of                       that are reflector lamps, DOE proposes
                                                    appropriate for double-ended                                      IES LM–20–13 for other incandescent                        referencing sections 4, 5, 6, and 8 of IES
                                                    fluorescent lamps, but questioned                                 lamps that are reflector lamps, but                        LM–20–13.
                                                    whether double-ended fluorescent                                  disagreed with referencing sections 4                        DOE did not receive any comments on
                                                    lamps would be subject to the test                                through 8, especially section 7, as well                   referring to appendix R for general
                                                    procedures as these lamps would likely                            as the lack of specific instructions to                    service incandescent lamps, to
                                                    be considered general service                                     deviate from IES LM–20–13. OSI and                         Appendix BB for integrated LED lamps,
                                                    fluorescent lamps, a type of lamp                                 NEMA noted that the March 2016 GSL                         to IES LM–45–15 for other incandescent
                                                    excluded from the definition of GSL.                              ECS NOPR did not propose any                               lamps that are not reflector lamps, or to
                                                    OSI suggested that sections 4 through 6                           requirements for beam angle, beam                          IES LM–79–08 for OLED lamps. DOE
                                                    of IES LM–66–14 would be more                                     lumens, center beam candlepower, or                        did, however, review all references to
                                                    applicable to cite as the test procedure                          beam pattern classification (the lamp                      industry standards to ensure that only
                                                    for ‘‘other fluorescent lamps.’’                                  characteristics measured under the test                    necessary sections were referenced, as
                                                    Specifically, OSI stated that IES LM–66–                          procedures in section 7 of IES LM–20–                      described in the previous paragraph.
                                                    14 was the appropriate industry                                   13) and thus recommended omitting                          DOE removed all references to sections
                                                    standard to reference for the                                     reference to this section. NEMA also                       describing luminous intensity and/or
                                                    commercially available induction lamps                            expressed confusion regarding DOE’s                        color measurements as these are not
                                                    meeting the definition of GSL. (OSI, No.                          inclusion of section 7, wondering                          necessary for the metrics covered by the
                                                    3 at p. 2; NEMA, No. 6 at p. 3)                                   whether its inclusion was an indication                    test procedure. DOE also made
                                                       DOE has proposed to define compact                             that goniophotometer systems may be                        references to IES LM–79–08 consistent
                                                    fluorescent lamp as an integrated or                              allowed to measure luminous flux.                          with sections referenced in the July
                                                    non-integrated single-base, low-pressure                          NEMA recommended instead that DOE                          2016 LED TP final rule; that is, DOE
                                                    mercury, electric-discharge source in                             reference Appendix R to subpart B of 10                    added a reference to section 1.3
                                                    which a fluorescing coating transforms                            CFR 430 (test procedures for                               (Nomenclature and Definitions) and
                                                    some of the ultraviolet energy generated                          incandescent reflector lamps) for the                      removed the reference to section 6.0
                                                    by the mercury discharge into light; the                          testing of other incandescent lamps that                   (Operating Orientation). DOE instead
                                                    term does not include circline or U                               are reflector lamps. (NEMA, No. 6 at p.                    specifies the appropriate operating
                                                    shaped fluorescent lamps. 80 FR at                                3)                                                         orientation directly in appendix DD.
                                                    45739. This proposed definition of CFL                               For this SNOPR, DOE again reviewed                      DOE requests comment on the industry
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                                                    aligns with the scope of IES LM–66–14,                            the referenced sections (i.e., sections 4                  standards and sections of the industry
                                                    which states that it describes test                               through 8) of IES LM–20–13. DOE                            standards referenced.

                                                                                                  TABLE III.1—TEST PROCEDURES FOR GENERAL SERVICE LAMPS
                                                                                             Lamp type                                                                         Referenced test procedure

                                                    General service incandescent lamps .......................................................         Appendix R to Subpart B of 10 CFR 430.
                                                    Compact fluorescent lamps ......................................................................   Appendix W to Subpart B of 10 CFR part 430.



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                                                    47076                         Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules

                                                                                          TABLE III.1—TEST PROCEDURES FOR GENERAL SERVICE LAMPS—Continued
                                                                                                Lamp type                                                                              Referenced test procedure

                                                    Integrated LED lamps ...............................................................................       Appendix BB to Subpart B of 10 CFR part 430.
                                                    Other incandescent lamps that are not reflector lamps ...........................                          IES LM–45–15, sections 4–6, and section 7.1.
                                                    Other incandescent lamps that are reflector lamps .................................                        IES LM–20–13, sections 4–6, and section 8.
                                                    Other fluorescent lamps ...........................................................................        IES LM–9–09, sections 4–6, and section 7.5.
                                                    OLED lamps .............................................................................................   IES LM–79–08, sections 1.3 (except 1.3[f]), 2.0, 3.0, 5.0, 7.0, 8.0, 9.1
                                                                                                                                                                 and 9.2.
                                                    Non-integrated LED lamps .......................................................................           IES LM–79–08, sections 1.3 (except 1.3[f]), 2.0, 3.0, 5.0, 7.0, 8.0, 9.1
                                                                                                                                                                 and 9.2.



                                                    C. Laboratory Accreditation                                            propose to change the existing                                NOPR. UL further commented that
                                                       In the March 2016 GSL TP NOPR,                                      regulation as it relates to non-GSLs, but                     NVLAP accreditation is an accepted
                                                    DOE proposed to require that testing of                                simply to include the testing of GSLs in                      means to minimize variability between
                                                    initial lumen output, input power, lamp                                the existing regulatory provision. The                        different labs. UL noted that NVLAP is
                                                    efficacy, power factor, and standby                                    existing text in 10 CFR 430.25 states that                    an ILAC member, but NVLAP also
                                                    mode power (if applicable) for GSLs be                                 the enumerated lamp types, including                          requires participation in the National
                                                    conducted by test laboratories                                         general service fluorescent lamps and                         Institute of Standards and Technology
                                                    accredited by the National Voluntary                                   incandescent reflector lamps (which are                       (NIST) proficiency-testing program for
                                                    Laboratory Accreditation Program                                       not general service lamps), must be                           SSL, which assists labs in improving
                                                    (NVLAP) or an accrediting organization                                 tested by laboratories accredited by ‘‘an                     and maintaining measurement accuracy
                                                    recognized by the International                                        Accreditation Body that is a signatory                        and precision. UL recommended that
                                                    Laboratory Accreditation Cooperation                                   member to the International Laboratory                        DOE require any lab accredited by an
                                                    (ILAC). DOE tentatively determined that                                Accreditation Cooperation (ILAC)                              ILAC member, other than NVLAP, to
                                                    since NVLAP is a member of ILAC, test                                  Mutual Recognition Arrangement                                participate in the NIST SSL proficiency
                                                    data collected by any laboratory                                       (MRA).’’ The discussion regarding                             program. UL noted that this has been a
                                                    accredited by an accrediting body                                      NVLAP in the preamble to the 2016                             requirement of the ENERGY STAR SSL
                                                    recognized by ILAC would be                                            March GSL TP NOPR was intended to                             program for many years. (UL, No. 4 at
                                                    acceptable. 81 FR 14634. DOE noted                                     clarify that testing could be conducted                       p. 2)
                                                    that under existing test procedure                                     by a test laboratory accredited by                              DOE notes that ISO/IEC 17025 states
                                                    regulations, testing for other regulated                               NVLAP given that NVLAP is a signatory                         that a laboratory shall have quality
                                                    lighting products (such as general                                     member to the ILAC MRA. 81 FR 14634.                          control procedures for monitoring the
                                                    service fluorescent lamps, incandescent                                   TÜV SÜD commented that the                               validity of tests and calibrations
                                                    reflector lamps, and fluorescent lamp                                  proposed language for § 429.57(b)6,                           undertaken.7 This monitoring may
                                                    ballasts), in addition to general service                              which requires each test report to                            include the participation in inter-
                                                    lamps that must already comply with                                    include an NVLAP identification                               laboratory comparisons or proficiency
                                                    energy conservation standards (such as                                 number or other NVLAP-approved                                testing programs. Other means may
                                                    general service incandescent lamps and                                 identification, contradicts § 430.25,                         include the regular use of reference
                                                    medium base compact fluorescent                                        which requires testing to be performed                        materials, or replicate tests or
                                                    lamps), must be conducted in a                                         in a laboratory accredited by an ILAC                         calibrations using the same or different
                                                    similarly accredited facility. 10 CFR                                  member. TÜV SÜD elaborated that this                        methods. By these mechanisms a
                                                    430.25.                                                                prevents laboratories accredited by, for                      laboratory can provide evidence of its
                                                       DOE received several comments                                       example, SCC (Canada) or DAkks                                competence to its clients, parties and
                                                    regarding lab accreditation. OSI and                                   (Germany) from issuing a report with an                       accreditation bodies. Participation in
                                                    NEMA disagreed with what they                                          NVLAP identification number unless it                         proficiency testing is not required to
                                                    understood to be DOE’s shift from the                                  has another accreditation with NVLAP.                         become an ILAC signatory. However,
                                                    use of test laboratories accredited by                                 TÜV SÜD recommended that DOE                                ILAC and many of the accreditation
                                                    NVLAP or an accrediting organization                                   update the relevant portion of                                bodies that are signatories of the MRA
                                                    recognized by NVLAP, to test                                           § 429.57(b)6 to read, ‘‘ . . . ILAC’s                         encourage participation in proficiency
                                                    laboratories accredited by an                                          accreditation bodies identification                           testing or inter-laboratory comparisons.8
                                                    Accreditation Body that is a signatory                                 number or other ILAC accreditation                            Therefore, DOE has tentatively
                                                    member to the International Laboratory                                 bodies—approved identification . . . ’’                       concluded that requiring participation
                                                    Accreditation Cooperation (ILAC)                                       (TÜV SÜD, No. 2 at p. 1) DOE agrees                         in proficiency testing is unnecessary, as
                                                    Mutual Recognition Arrangement                                         with this comment and is proposing to                         the accreditation process is designed to
                                                                                                                           update the language in § 429.57(b) to be                      ensure the competency of the testing
                                                    (MRA). Citing to a 2013 version of the
                                                                                                                           consistent with § 430.25 and to include                       laboratory through a variety of
                                                    regulations, NEMA commented that the
                                                                                                                                                                                         mechanisms.
                                                    March 2016 GSL TP NOPR did not                                         the recommended text. Similarly, DOE
                                                                                                                                                                                           NEMA recommended not deleting
                                                    adequately explain why the non-GSL                                     also proposes to update §§ 429.27(b) and
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                                                                                                                                                                                         references to other products and
                                                    portions of the existing regulation                                    429.35(b) to be consistent with § 430.25.                     applicable test methods, such as the
                                                    needed to be changed. (NEMA, No. 6 at                                    UL commented that luminous efficacy
                                                                                                                                                                                         following quoted portion: ‘‘The testing
                                                    p. 3)                                                                  results from lamp testing can range from
                                                                                                                                                                                         for general service fluorescent lamps,
                                                       The comments received suggest that                                  +25% to ¥25% due to variations in
                                                                                                                                                                                         general service incandescent lamps, and
                                                    some commenters may not be familiar                                    laboratory accuracy and precision,
                                                    with the current regulatory text with                                  which represents a significant range in                         7 http://ilac.org/news/ilac-p9062014-published/.
                                                    regard to requirements for test                                        the context of the efficacy levels                              8 http://ilac.org/ilac-mra-and-signatories/

                                                    laboratories. DOE notes that it did not                                proposed in the March 2016 GSL ECS                            purpose/.



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                                                                           Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules                                          47077

                                                    incandescent reflector lamps shall be                      DOE proposes that after the effective               American Industry Classification
                                                    performed in accordance with                             date and prior to the compliance date of              System (NAICS). Manufacturing of GSLs
                                                    Appendix R to this subpart. The testing                  a GSL test procedure final rule,                      is classified under NAICS 335110,
                                                    for medium base compact fluorescent                      manufacturers may voluntarily begin to                ‘‘Electric Lamp Bulb and Part
                                                    lamps shall be performed in accordance                   make representations with respect to the              Manufacturing.’’ The SBA sets a
                                                    with appendix W of this subpart.’’                       energy use or efficiency of GSLs that are             threshold of 1,250 employees or less for
                                                    (NEMA, No. 6 at p. 3)                                    not integrated LED lamps, CFLs, and                   an entity to be considered as a small
                                                       It appears that in its comments NEMA                  GSILs and when doing so must use the                  business for this category.
                                                    is referencing a prior version of 10 CFR                 results of testing pursuant to that final                In the March 2016 GSL TP NOPR, to
                                                    430.25. An amendment was made to 10                      rule.                                                 estimate the number of companies that
                                                    CFR 430.25 on June 5, 2015. 80 FR                        IV. Procedural Issues and Regulatory                  could be small businesses that sell
                                                    31982. DOE notes that the text cited by                  Review                                                GSLs, DOE conducted a market survey
                                                    NEMA does not currently exist in 10                                                                            using publicly available information.
                                                    CFR 430.25 and that the testing                          A. Review Under Executive Order 12866                 DOE’s research involved information
                                                    provisions are specified in 10 CFR                          The Office of Management and Budget                provided by trade associations (e.g., the
                                                    430.23.                                                  (OMB) has determined that test                        National Electrical Manufacturers’
                                                                                                             procedure rulemakings do not constitute               Association) and information from
                                                    D. Effective Date and Compliance Dates
                                                                                                             ‘‘significant regulatory actions’’ under              DOE’s Compliance Certification
                                                       DOE received comments regarding the                   section 3(f) of Executive Order 12866,                Management System (CCMS) Database,
                                                    compliance date proposed in the March                    Regulatory Planning and Review, 58 FR                 the Environmental Protection Agency’s
                                                    2016 GSL TP NOPR. OSI and NEMA                           51735 (Oct. 4, 1993). Accordingly, this               ENERGY STAR Certified Light Bulbs
                                                    commented that the 180-day                               action was not subject to review under                Database, LED Lighting Facts Database,
                                                    compliance date places an undue                          the Executive Order by the Office of                  previous rulemakings, individual
                                                    burden on manufacturers. OSI and                         Information and Regulatory Affairs                    company Web sites, SBA’s database,
                                                    NEMA commented that until there is a                     (OIRA) in the OMB.                                    and market research tools (e.g., Hoover’s
                                                    need to comply with an efficacy                                                                                reports). DOE screened out companies
                                                    standard, mandatory testing in CIE S                     B. Review Under the Regulatory                        that did not meet the definition of a
                                                    025 accredited laboratories would be an                  Flexibility Act                                       ‘‘small business’’ or are completely
                                                    excessive requirement. NEMA                                 The Regulatory Flexibility Act (5                  foreign owned and operated. DOE
                                                    commented that this burden is                            U.S.C. 601 et seq.) requires preparation              identified approximately 118 small
                                                    exacerbated given that many of the                       of an initial regulatory flexibility                  businesses that sell GSLs in the United
                                                    products proposed to be tested to CIE S                  analysis (IRFA) for any rule that by law              States. 81 FR 14635.
                                                    025 will likely not be compliant with                    must be proposed for public comment,                     For this SNOPR, DOE reviewed its
                                                    2020 standards and thus will cease                       unless the agency certifies that the rule,            estimated number of small businesses.
                                                    manufacture and sales, causing a lost                    if promulgated, will not have a                       DOE updated its list of small businesses
                                                    certification/accreditation investment.                  significant economic impact on a                      by revisiting the information sources
                                                    (OSI, No. 3 at pp. 3–4; NEMA, No. 6 at                   substantial number of small entities. As              described in this preamble. DOE
                                                    pp. 3–4)                                                 required by Executive Order 13272,                    screened out companies that do not
                                                       As discussed in section III.B, DOE is                 ‘‘Proper Consideration of Small Entities              meet the definition of a ‘‘small
                                                    not incorporating CIE S 025 by reference                 in Agency Rulemaking,’’ 67 FR 53461                   business,’’ or are completely foreign
                                                    and therefore tentatively concludes that                 (August 16, 2002), DOE published                      owned and operated. DOE determined
                                                    the compliance date will not introduce                   procedures and policies on February 19,               that nine companies are small
                                                    unnecessary burden. As noted                             2003 to ensure that the potential                     businesses that maintain domestic
                                                    previously, the referenced industry                      impacts of its rules on small entities are            production facilities for general service
                                                    standard, IES LM–79–08, represents                       properly considered during the DOE                    lamps.
                                                    common industry practice for testing                     rulemaking process. 68 FR 7990. DOE                      In the March 2016 GSL TP NOPR,
                                                    non-integrated LED lamps.                                has made its procedures and policies                  DOE proposed test procedures for
                                                       If adopted, the test procedures                       available on the Office of the General                determining initial lumen output, input
                                                    proposed in this SNOPR for GSLs that                     Counsel’s Web site: http://energy.gov/                power, lamp efficacy, power factor, and
                                                    are not integrated LED lamps, CFLs, or                   gc/office-general-counsel.                            standby power of GSLs. DOE noted that
                                                    GSILs, would be effective 30 days after                     DOE reviewed the test procedures for               several of the lamp types included in
                                                    publication in the Federal Register                      GSLs proposed in this SNOPR under the                 the definition of general service lamp
                                                    (referred to as the ‘‘effective date’’).                 provisions of the Regulatory Flexibility              must already comply with energy
                                                    Pursuant to EPCA, manufacturers of                       Act and the procedures and policies                   conservation standards and therefore
                                                    covered products would be required to                    published on February 19, 2003. DOE                   test procedures already existed for these
                                                    use the applicable test procedure as the                 certifies that the proposed rule, if                  lamps. If DOE test procedures already
                                                    basis for determining that their products                adopted, would not have a significant                 existed or were proposed in an ongoing
                                                    comply with the applicable energy                        economic impact on a substantial                      rulemaking (such as for general service
                                                    conservation standards. (42 U.S.C.                       number of small entities. The factual                 incandescent lamps, compact
                                                    6295(s)) On or after 180 days after                      basis for this certification is set forth in          fluorescent lamps, and integrated LED
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                                                    publication of a final rule, any                         the following paragraphs.                             lamps), DOE proposed to reference them
                                                    representations made with respect to the                    The Small Business Administration                  directly. For all other general service
                                                    energy use or efficiency of GSLs that are                (SBA) considers a business entity to be               lamps, DOE proposed new test
                                                    not integrated LED lamps, CFLs, and                      a small business, if, together with its               procedures in the March 2016 GSL TP
                                                    GSILs would be required to be made in                    affiliates, it employs less than a                    NOPR. For the new test procedures,
                                                    accordance with the results of testing                   threshold number of workers specified                 DOE proposed to reference the most
                                                    pursuant to the new test procedures. (42                 in 13 CFR part 121. These size standards              recent versions of relevant industry
                                                    U.S.C. 6293(c)(2))                                       and codes are established by the North                standards.


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                                                    47078                   Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules

                                                       DOE estimated the testing costs and                   fees, variable assessment fees, and                   ENERGY STAR’s Lamps specification,
                                                    burden associated with conducting                        proficiency testing fees, DOE included                DOE believes the majority of
                                                    testing according to the new test                        as an example the costs associated with               manufacturers and independent
                                                    procedures proposed in the March 2016                    maintaining a NVLAP-accredited                        laboratories already have this
                                                    GSL TP NOPR for general service lamps.                   facility or a facility accredited by an               accreditation. Therefore, DOE does not
                                                    DOE did not consider the costs and                       organization recognized by NVLAP in                   believe it is unduly burdensome to
                                                    burdens associated with DOE test                         the March 2016 GSL TP NOPR. In the                    manufacturers or independent
                                                    procedures that already exist or that                    first year, for manufacturers without                 laboratories to be properly accredited to
                                                    have been proposed in other ongoing                      NVLAP accreditation who choose to test                this standard.
                                                    rulemakings because these have been or                   in-house, DOE estimated manufacturers                    DOE notes that its proposed test
                                                    are being addressed separately. DOE                      on average would experience a                         procedures directly reference existing
                                                    also assessed elements (testing                          maximum total cost burden of about                    industry standards that have been
                                                    methodology, testing times, and sample                   $2,210 per basic model tested or $2,630               approved for widespread use by lamp
                                                    size) in the proposed CFL and integrated                 per basic model with standby mode                     manufacturers and test laboratories. The
                                                    LED lamp test procedures that could                      power consumption testing.10                          quantities that are directly measured,
                                                    affect costs associated with complying                      Additionally, DOE requested pricing                namely initial lumen output and input
                                                    with this rule. Except for lab                           from independent testing laboratories                 power, are commonly reported by the
                                                    accreditation costs associated with CIE                  for testing GSLs. DOE estimated the cost              manufacturer on product packaging and
                                                    S 025/E:2015, which has been replaced                    for testing at an independent laboratory              on product specification sheets. Thus,
                                                    with IES LM–79–08, the cost estimates                    to be up to $1,070 per basic model. This              testing for these quantities is already
                                                    of this SNOPR are the same as those                      estimate included the cost of                         being conducted. Additionally, these
                                                    determined under the March 2016 GSL                      accreditation as quotes were obtained                 quantities are required to be reported to
                                                    TP NOPR. The following is an analysis                    from accredited laboratories.                         ENERGY STAR if manufacturers certify
                                                    of both in-house and third party testing                    DOE received comments from NEMA                    the lamps as meeting the program
                                                    costs associated with this rulemaking.                   and OSI regarding the burden of testing               requirements. Standby mode power
                                                       In the March 2016 GSL TP NOPR,                        non-integrated LED lamps in                           consumption is also a reported quantity
                                                    DOE estimated that the labor costs                       laboratories accredited to CIE standard               for the ENERGY STAR program, though
                                                    associated with conducting in-house                      CIE S 025/E:2015. NEMA and OSI                        it may not be a commonly reported
                                                    testing of initial lumen output, input                   commented that the small product                      value for lamps that are not certified
                                                    power, and standby mode power were                       sector of non-integrated LED lamps did                with ENERGY STAR. In reviewing the
                                                    $41.68 per hour. DOE determined that                     not justify accrediting a lab to the CIE              lamps for which DOE proposes new test
                                                    calculating efficacy and power factor of                 standard for such limited testing needs.              procedures in this rulemaking, DOE
                                                    a GSL would not result in any                            (OSI, No. 3 at p. 2; NEMA, No. 6 at p.                notes that very few products can operate
                                                    incremental testing burden beyond the                    2) They noted that the test facilities                in standby mode and therefore very few
                                                    cost of conducting the initial lumen                     generally used by the lighting industry               products would be required to make
                                                    output and input power testing. The                      are not accredited for this referenced                representations of standby mode energy
                                                    cost of labor was then calculated by                     CIE test method, and would need to                    consumption. Although DOE has
                                                    multiplying the estimated hours of labor                 obtain and maintain this accreditation.               proposed the requirement that all
                                                    by the hourly labor rate. For lamps not                  OSI and NEMA commented that                           testing be conducted in accredited
                                                    capable of operating in standby mode,                    certifying a lab to CIE S 025 could cost              laboratories, DOE believes that many
                                                    DOE estimated that testing in-house in                   approximately $10,000.00, which would                 manufacturers of these products have
                                                    accordance with the appropriate                          be burdensome for all labs, regardless of             already accredited their own in-house
                                                    proposed test procedure would require,                   size. OSI and NEMA noted that the                     laboratories because they also make
                                                    at most, four hours per lamp by an                       current cost for CIE S 025/E:2015 is                  products such as general service
                                                    electrical engineering technician. For                   $241.00, compared to $25.00 for IES                   incandescent lamps and medium base
                                                    lamps capable of operating in standby                    LM–79–08. OSI and NEMA further                        compact fluorescent lamps that are
                                                    mode, DOE estimated that testing time                    stated that the cost of the normative                 required to be tested in similarly
                                                    would increase to five hours per lamp                    standards associated with CIE S 025/                  accredited laboratories.
                                                    due to the additional standby mode                       E:2015 must also be considered,                          In summary, DOE does not consider
                                                    power consumption test. DOE noted                        including CIE 84–1989, which costs                    the test procedures proposed in this
                                                    that these estimates are representative of               Ö98.46 and is not currently available                 SNOPR to have a significant economic
                                                    the time it would take to test the most                  from familiar sources. OSI and NEMA                   impact on small entities. The final cost
                                                    labor intensive technology, LED lamps.                   believe these costs could be burdensome               per manufacturer primarily depends on
                                                    In total, DOE estimated that using the                   for a small manufacturer. (OSI, No. 3 at              the number of basic models the
                                                    test method prescribed in the March                      pp. 3–4; NEMA, No. 6 at pp. 3–4)                      manufacturer sells. These are not annual
                                                    2016 GSL TP NOPR to determine initial                       As discussed in section III.B, DOE is              costs because DOE does not require
                                                    light output and input power would                       no longer referencing CIE S 025 to test               manufacturers to retest a basic model
                                                    result in an estimated labor burden of                   non-integrated LED lamps. Instead, DOE                annually. The initial test results used to
                                                    $1,670 per basic model of certain GSLs                   proposes to reference IES LM–79–08                    generate a certified rating for a basic
                                                    and $2,080 per basic model of certain                    which is also referenced for the testing              model remain valid as long as the basic
                                                    GSLs that can operate in standby mode.                                                                         model has not been modified from the
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                                                                                                             of integrated LED lamps and OLED
                                                       Because accreditation bodies 9 impose                 lamps. Because labs are already required              tested design in a way that makes it less
                                                    a variety of fees during the accreditation               to be accredited to IES LM–79–08 for                  efficient or more consumptive, which
                                                    process, including fixed administrative                  testing integrated LED lamps per DOE’s                would require a change to the certified
                                                                                                             test procedure in Appendix BB and per                 rating. If a manufacturer has modified a
                                                      9 As discussed in section III.D, laboratories can be
                                                                                                                                                                   basic model in a way that makes it more
                                                    accredited by any accreditation body that is a                                                                 efficient or less consumptive, new
                                                    signatory member to the ILAC MRA. DOE based its            10 NVLAP costs are fixed and were distributed

                                                    estimate of the costs associated with accreditation      based on an estimate of 28 basic models per           testing is required only if the
                                                    on the NVLAP accreditation body.                         manufacturer.                                         manufacturer wishes to make


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                                                                           Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules                                           47079

                                                    representations of the new, more                         subpart D. Accordingly, neither an                    legal standard for affected conduct
                                                    efficient rating.                                        environmental assessment nor an                       while promoting simplification and
                                                       Based on the criteria outlined earlier                environmental impact statement is                     burden reduction; (4) specifies the
                                                    and the reasons discussed in this                        required.                                             retroactive effect, if any; (5) adequately
                                                    preamble, DOE tentatively concludes                                                                            defines key terms; and (6) addresses
                                                    and certifies that the new proposed test                 E. Review Under Executive Order 13132
                                                                                                                                                                   other important issues affecting clarity
                                                    procedures would not have a significant                     Executive Order 13132, ‘‘Federalism,’’
                                                                                                                                                                   and general draftsmanship under any
                                                    economic impact on a substantial                         64 FR 43255 (August 4, 1999), imposes
                                                                                                                                                                   guidelines issued by the Attorney
                                                    number of small entities, and the                        certain requirements on agencies
                                                                                                             formulating and implementing policies                 General. Section 3(c) of Executive Order
                                                    preparation of an IRFA is not warranted.
                                                                                                             or regulations that preempt State law or              12988 requires Executive agencies to
                                                    DOE will transmit the certification and
                                                    supporting statement of factual basis to                 that have Federalism implications. The                review regulations in light of applicable
                                                    the Chief Counsel for Advocacy of the                    Executive Order requires agencies to                  standards in sections 3(a) and 3(b) to
                                                    SBA for review under 5 U.S.C. 605(b).                    examine the constitutional and statutory              determine whether they are met or it is
                                                                                                             authority supporting any action that                  unreasonable to meet one or more of
                                                    C. Review Under the Paperwork                            would limit the policymaking discretion               them. DOE has completed the required
                                                    Reduction Act of 1995                                    of the States and to carefully assess the             review and determined that, to the
                                                      DOE established regulations for the                    necessity for such actions. The                       extent permitted by law, the proposed
                                                    certification and recordkeeping                          Executive Order also requires agencies                rule meets the relevant standards of
                                                    requirements for certain covered                         to have an accountable process to                     Executive Order 12988.
                                                    consumer products and commercial                         ensure meaningful and timely input by
                                                    equipment. 10 CFR part 429, subpart B.                   State and local officials in the                      G. Review Under the Unfunded
                                                    This collection-of-information                           development of regulatory policies that               Mandates Reform Act of 1995
                                                    requirement was approved by OMB                          have Federalism implications. On
                                                                                                                                                                      Title II of the Unfunded Mandates
                                                    under OMB control number 1910–1400.                      March 14, 2000, DOE published a
                                                      DOE requested OMB approval of an                                                                             Reform Act of 1995 (UMRA) requires
                                                                                                             statement of policy describing the
                                                    extension of this information collection                 intergovernmental consultation process                each Federal agency to assess the effects
                                                    for three years, specifically including                  it will follow in the development of                  of Federal regulatory actions on State,
                                                    the collection of information proposed                   such regulations. 65 FR 13735. DOE has                local, and Tribal governments and the
                                                    in the present rulemaking, and                           examined this proposed rule and                       private sector. Public Law 104–4, sec.
                                                    estimated that the annual number of                      determined that it will not have a                    201 (codified at 2 U.S.C. 1531). For a
                                                    burden hours under this extension is 30                  substantial direct effect on the States, on           proposed regulatory action resulting in
                                                    hours per company. In response to                        the relationship between the national                 a rule that may cause the expenditure by
                                                    DOE’s request, OMB approved DOE’s                        government and the States, or on the                  State, local, and Tribal governments, in
                                                    information collection requirements                      distribution of power and                             the aggregate, or by the private sector of
                                                    covered under OMB control number                         responsibilities among the various                    $100 million or more in any one year
                                                    1910–1400 through November 30, 2017.                     levels of government. EPCA governs and                (adjusted annually for inflation), section
                                                    80 FR 5099 (January 30, 2015).                           prescribes Federal preemption of State                202 of UMRA requires a Federal agency
                                                      Notwithstanding any other provision                    regulations as to energy conservation for             to publish a written statement that
                                                    of the law, no person is required to                     the products that are the subject of this             estimates the resulting costs, benefits,
                                                    respond to, nor must any person be                       proposed rule. States can petition DOE                and other effects on the national
                                                    subject to a penalty for failure to comply               for exemption from such preemption to                 economy. (2 U.S.C. 1532(a), (b)) The
                                                    with, a collection of information subject                the extent, and based on criteria, set                UMRA also requires a Federal agency to
                                                    to the requirements of the PRA, unless                   forth in EPCA. (42 U.S.C. 6297(d)) No                 develop an effective process to permit
                                                    that collection of information displays a                further action is required by Executive
                                                                                                                                                                   timely input by elected officers of State,
                                                    currently valid OMB control number.                      Order 13132.
                                                                                                                                                                   local, and Tribal governments on a
                                                    D. Review Under the National                             F. Review Under Executive Order 12988                 proposed ‘‘significant intergovernmental
                                                    Environmental Policy Act of 1969                            Regarding the review of existing                   mandate,’’ and requires an agency plan
                                                      In this proposed rule, DOE proposes                    regulations and the promulgation of                   for giving notice and opportunity for
                                                    test procedures for certain categories of                new regulations, section 3(a) of                      timely input to potentially affected
                                                    GSLs that will be used to support the                    Executive Order 12988, ‘‘Civil Justice                small governments before establishing
                                                    ongoing GSL standards rulemaking.                        Reform,’’ 61 FR 4729 (Feb. 7, 1996),                  any requirements that might
                                                    DOE has determined that this rule falls                  imposes on Federal agencies the general               significantly or uniquely affect small
                                                    into a class of actions that are                         duty to adhere to the following                       governments. On March 18, 1997, DOE
                                                    categorically excluded from review                       requirements: (1) Eliminate drafting                  published a statement of policy on its
                                                    under the National Environmental                         errors and ambiguity; (2) write                       process for intergovernmental
                                                    Policy Act of 1969 (42 U.S.C. 4321 et                    regulations to minimize litigation; (3)               consultation under UMRA. 62 FR
                                                    seq.) and DOE’s implementing                             provide a clear legal standard for                    12820; also available at http://
                                                    regulations at 10 CFR part 1021.                         affected conduct rather than a general                energy.gov/gc/office-general-counsel.
                                                    Specifically, this proposed rule adopts                  standard; and (4) promote simplification
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                                                                                                                                                                   DOE examined this proposed rule
                                                    existing industry test procedures for                    and burden reduction. Section 3(b) of                 according to UMRA and its statement of
                                                    certain categories of general service                    Executive Order 12988 specifically                    policy and determined that the rule
                                                    lamps, so it will not affect the amount,                 requires that Executive agencies make                 contains neither an intergovernmental
                                                    quality or distribution of energy usage,                 every reasonable effort to ensure that the            mandate, nor a mandate that may result
                                                    and, therefore, will not result in any                   regulation (1) clearly specifies the
                                                                                                                                                                   in the expenditure of $100 million or
                                                    environmental impacts. Thus, this                        preemptive effect, if any; (2) clearly
                                                                                                                                                                   more in any year, so these requirements
                                                    rulemaking is covered by Categorical                     specifies any effect on existing Federal
                                                    Exclusion A6 under 10 CFR part 1021,                     law or regulation; (3) provides a clear               do not apply.



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                                                    47080                  Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules

                                                    H. Review Under the Treasury and                         reasonable alternatives to the action and             comment, and review.) DOE will
                                                    General Government Appropriations                        their expected benefits on energy                     consult with both the Attorney General
                                                    Act, 1999                                                supply, distribution, and use.                        and the Chairman of the FTC
                                                      Section 654 of the Treasury and                          This regulatory action to propose test              concerning the impact of these test
                                                    General Government Appropriations                        procedures for certain categories of                  procedures on competition, prior to
                                                    Act, 1999 (Public Law 105–277) requires                  GSLs is not a significant regulatory                  prescribing a final rule.
                                                    Federal agencies to issue a Family                       action under Executive Order 12866.
                                                                                                                                                                   M. Description of Materials
                                                    Policymaking Assessment for any rule                     Moreover, it would not have a
                                                                                                                                                                   Incorporated by Reference
                                                    that may affect family well-being. This                  significant adverse effect on the supply,
                                                                                                             distribution, or use of energy, nor has it               In this SNOPR, DOE proposes to
                                                    rule will not have any impact on the
                                                                                                             been designated as a significant energy               incorporate by reference certain sections
                                                    autonomy or integrity of the family as
                                                                                                             action by the Administrator of OIRA.                  of the test standard published by IEC,
                                                    an institution. Accordingly, DOE has
                                                                                                             Therefore, it is not a significant energy             titled ‘‘Household electrical
                                                    concluded that it is not necessary to
                                                                                                             action, and, accordingly, DOE has not                 appliances—Measurement of standby
                                                    prepare a Family Policymaking
                                                                                                             prepared a Statement of Energy Effects.               power (Edition 2.0),’’ IEC 62301–DD.
                                                    Assessment.
                                                                                                                                                                   IEC 62301–DD is an industry accepted
                                                    I. Review Under Executive Order 12630                    L. Review Under Section 32 of the                     test standard that describes
                                                                                                             Federal Energy Administration Act of                  measurements of electrical power
                                                       DOE has determined, under Executive                   1974
                                                    Order 12630, ‘‘Governmental Actions                                                                            consumption in standby mode, off
                                                    and Interference with Constitutionally                      Under section 301 of the Department                mode, and network mode. The test
                                                    Protected Property Rights’’ 53 FR 8859                   of Energy Organization Act (Public Law                procedures proposed in this SNOPR
                                                    (March 18, 1988), that this regulation                   95–91; 42 U.S.C. 7101), DOE must                      reference sections of IEC 62301–DD for
                                                    will not result in any takings that might                comply with section 32 of the Federal                 testing standby mode power
                                                    require compensation under the Fifth                     Energy Administration Act of 1974, as                 consumption of GSLs. IEC 62301–DD is
                                                    Amendment to the U.S. Constitution.                      amended by the Federal Energy                         readily available on IEC’s Web site at
                                                                                                             Administration Authorization Act of                   https://webstore.iec.ch/home.
                                                    J. Review Under Treasury and General                     1977. (15 U.S.C. 788; FEAA) Section 32                   DOE also proposes to incorporate by
                                                    Government Appropriations Act, 2001                      essentially provides in relevant part                 reference specific sections of the test
                                                       Section 515 of the Treasury and                       that, where a proposed rule authorizes                standard published by IES, titled ‘‘IES
                                                    General Government Appropriations                        or requires use of commercial standards,              Approved Method for the Electrical and
                                                    Act, 2001 (44 U.S.C. 3516 note) provides                 the notice of proposed rulemaking must                Photometric Measurement of
                                                    for agencies to review most                              inform the public of the use and                      Fluorescent Lamps,’’ IES LM–9–09–DD.
                                                    disseminations of information to the                     background of such standards. In                      IES LM–9–09–DD is an industry
                                                    public under guidelines established by                   addition, section 32(c) requires DOE to               accepted test standard that specifies
                                                    each agency pursuant to general                          consult with the Attorney General and                 procedures to be observed in performing
                                                    guidelines issued by OMB. OMB’s                          the Chairman of the Federal Trade                     measurements of electrical and
                                                    guidelines were published at 67 FR                       Commission (FTC) concerning the                       photometric characteristics of
                                                    8452 (Feb. 22, 2002), and DOE’s                          impact of the commercial or industry                  fluorescent lamps under standard
                                                    guidelines were published at 67 FR                       standards on competition.                             conditions. The test procedures
                                                    62446 (Oct. 7, 2002). DOE has reviewed                      The proposed test procedures for                   proposed in this SNOPR reference
                                                    this proposed rule under the OMB and                     certain categories of GSLs incorporate                sections of IES LM–9–09–DD for
                                                    DOE guidelines and has concluded that                    testing methods contained in certain                  performing electrical and photometric
                                                    it is consistent with applicable policies                sections of the following commercial                  measurements of other fluorescent
                                                    in those guidelines.                                     standards:                                            lamps. IES LM–9–09–DD is readily
                                                                                                                (1) IES LM–45–15, ‘‘IES Approved                   available on IES’s Web site at
                                                    K. Review Under Executive Order 13211                                                                          www.ies.org/store/.
                                                                                                             Method for the Electrical and
                                                       Executive Order 13211, ‘‘Actions                      Photometric Measurement of General                       DOE also proposes to incorporate by
                                                    Concerning Regulations That                              Service Incandescent Filament Lamps,’’                reference specific sections of the test
                                                    Significantly Affect Energy Supply,                      2015;                                                 standard published by IES, titled ‘‘IES
                                                    Distribution, or Use,’’ 66 FR 28355 (May                    (2) IES LM–20–13, ‘‘IES Approved                   Approved Method for Photometry of
                                                    22, 2001), requires Federal agencies to                  Method for Photometry of Reflector                    Reflector Type Lamps,’’ IES LM–20–13.
                                                    prepare and submit to OMB, a                             Type Lamps,’’ 2013;                                   IES LM–20–13 is an industry accepted
                                                    Statement of Energy Effects for any                         (3) IES LM–79–08, ‘‘Approved                       test standard that specifies photometric
                                                    significant energy action. A ‘‘significant               Method: Electrical and Photometric                    test methods for reflector lamps. The
                                                    energy action’’ is defined as any action                 Measurements of Solid-State Lighting                  test procedures proposed in this SNOPR
                                                    by an agency that promulgated or is                      Products,’’ 2008;                                     reference sections of IES LM–20–13 for
                                                    expected to lead to promulgation of a                       (4) IES LM–9–09, ‘‘IES Approved                    performing electrical and photometric
                                                    final rule, and that (1) is a significant                Method for the Electrical and                         measurements of other incandescent
                                                    regulatory action under Executive Order                  Photometric Measurement of                            lamps that are reflector lamps. IES LM–
                                                    12866, or any successor order; and (2)                   Fluorescent Lamps,’’ 2009; and                        20–13 is readily available on IES’s Web
                                                    is likely to have a significant adverse                     (5) IEC Standard 62301 (Edition 2.0),              site at www.ies.org/store.
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                                                    effect on the supply, distribution, or use               ‘‘Household electrical appliances—                       DOE also proposes to incorporate by
                                                    of energy; or (3) is designated by the                   Measurement of standby power,’’ 2011.                 reference specific sections of the test
                                                    Administrator of OIRA as a significant                      DOE has evaluated these standards                  standard published by IES, titled ‘‘IES
                                                    energy action. For any significant energy                and is unable to conclude whether they                Approved Method for the Electrical and
                                                    action, the agency must give a detailed                  fully comply with the requirements of                 Photometric Measurement of General
                                                    statement of any adverse effects on                      section 32(b) of the FEAA (i.e., that they            Service Incandescent Filament Lamps,’’
                                                    energy supply, distribution, or use if the               were developed in a manner that fully                 IES LM–45–15. IES LM–45–15 is an
                                                    regulation is implemented, and of                        provides for public participation,                    industry accepted test standard that


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                                                                           Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules                                          47081

                                                    specifies procedures to be observed in                   Persons viewing comments will see only                organization in batches of between 50 to
                                                    performing measurements of electrical                    first and last names, organization                    500 form letters per PDF or as one form
                                                    and photometric characteristics of                       names, correspondence containing                      letter with a list of supporters’ names
                                                    general service incandescent filament                    comments, and any documents                           compiled into one or more PDFs. This
                                                    lamps under standard conditions. The                     submitted with the comments.                          reduces comment processing and
                                                    test procedures proposed in this SNOPR                      Do not submit to regulations.gov                   posting time.
                                                    reference sections of IES LM–45–15 for                   information for which disclosure is                      Confidential Business Information.
                                                    performing electrical and photometric                    restricted by statute, such as trade                  According to 10 CFR 1004.11, any
                                                    measurements of other incandescent                       secrets and commercial or financial                   person submitting information that he
                                                    lamps that are not reflector lamps. IES                  information (hereinafter referred to as               or she believes to be confidential and
                                                    LM–45–15 is readily available on IES’s                   Confidential Business Information                     exempt by law from public disclosure
                                                    Web site at www.ies.org/store/.                          (CBI)). Comments submitted through                    should submit via email, postal mail, or
                                                      DOE also proposes to incorporate by                    regulations.gov cannot be claimed as                  hand delivery two well-marked copies:
                                                    reference specific sections of the test                  CBI. Comments received through the                    One copy of the document marked
                                                    standard published by IES, titled ‘‘IES                  Web site will waive any CBI claims for                confidential including all the
                                                    Approved Method for the Electrical and                   the information submitted. For                        information believed to be confidential,
                                                    Photometric Measurement of Solid-State                   information on submitting CBI, see the                and one copy of the document marked
                                                    Lighting Products,’’ IES LM–79–08–DD.                    Confidential Business Information                     non-confidential with the information
                                                    IES LM–79–08–DD is an industry                           section.                                              believed to be confidential deleted.
                                                    accepted test standard that specifies                       DOE processes submissions made                     Submit these documents via email or on
                                                    electrical and photometric test methods                  through www.regulations.gov before                    a CD, if feasible. DOE will make its own
                                                    for solid-state lighting products. The test              posting. Normally, comments will be                   determination about the confidential
                                                    procedures proposed in this SNOPR                        posted within a few days of being                     status of the information and treat it
                                                    reference sections of IES LM–79–08–DD                    submitted. However, if large volumes of               according to its determination.
                                                    for performing electrical and                            comments are being processed                             Factors of interest to DOE when
                                                    photometric measurements of OLED                         simultaneously, your comment may not                  evaluating requests to treat submitted
                                                    lamps and non-integrated LED lamps.                      be viewable for up to several weeks.                  information as confidential include: (1)
                                                    IES LM–79–08 is readily available on                     Please keep the comment tracking                      A description of the items; (2) whether
                                                    IES’s Web site at www.ies.org/store.                     number that regulations.gov provides                  and why such items are customarily
                                                                                                             after you have successfully uploaded                  treated as confidential within the
                                                    V. Public Participation                                  your comment.                                         industry; (3) whether the information is
                                                                                                                Submitting comments via email, hand                generally known by or available from
                                                    A. Submission of Comments
                                                                                                             delivery, or mail. Comments and                       other sources; (4) whether the
                                                       DOE will accept comments, data, and                   documents submitted via email, hand                   information has previously been made
                                                    information regarding this proposed                      delivery, or mail also will be posted to              available to others without obligation
                                                    rule no later than the date provided in                  www.regulations.gov. If you do not want               concerning its confidentiality; (5) an
                                                    the DATES section at the beginning of                    your personal contact information to be               explanation of the competitive injury to
                                                    this SNOPR. Interested parties may                       publicly viewable, do not include it in               the submitting person which would
                                                    submit comments, data, and other                         your comment or any accompanying                      result from public disclosure; (6) when
                                                    information using any of the methods                     documents. Instead, provide your                      such information might lose its
                                                    described in the ADDRESSES section at                    contact information on a cover letter.                confidential character due to the
                                                    the beginning of this SNOPR.                             Include your first and last names, email              passage of time; and (7) why disclosure
                                                       Submitting comments via                               address, telephone number, and                        of the information would be contrary to
                                                    www.regulations.gov. The                                 optional mailing address. The cover                   the public interest.
                                                    www.regulations.gov Web page will                        letter will not be publicly viewable as                  It is DOE’s policy that all comments
                                                    require you to provide your name and                     long as it does not include any                       may be included in the public docket,
                                                    contact information. Your contact                        comments.                                             without change and as received,
                                                    information will be viewable to DOE                         Include contact information each time              including any personal information
                                                    Building Technologies staff only. Your                   you submit comments, data, documents,                 provided in the comments (except
                                                    contact information will not be publicly                 and other information to DOE. If you                  information deemed to be exempt from
                                                    viewable except for your first and last                  submit via mail or hand delivery, please              public disclosure).
                                                    names, organization name (if any), and                   provide all items on a CD, if feasible. It
                                                    submitter representative name (if any).                  is not necessary to submit printed                    B. Issues on Which DOE Seeks Comment
                                                    If your comment is not processed                         copies. No facsimiles (faxes) will be                    Although comments are welcome on
                                                    properly because of technical                            accepted.                                             all aspects of this proposed rulemaking,
                                                    difficulties, DOE will use this                             Comments, data, and other                          DOE is particularly interested in
                                                    information to contact you. If DOE                       information submitted to DOE                          comments on the following issues.
                                                    cannot read your comment due to                          electronically should be provided in                     (1) DOE requests comment on the
                                                    technical difficulties and cannot contact                PDF (preferred), Microsoft Word or                    appropriateness of referencing IES LM–
                                                    you for clarification, DOE may not be                    Excel, WordPerfect, or text (ASCII) file              79–08 for the testing of non-integrated
                                                    able to consider your comment.                           format. Provide documents that are not                LED lamps. DOE also requests comment
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                                                       However, your contact information                     secured, written in English and free of               on the proposed requirement that
                                                    will be publicly viewable if you include                 any defects or viruses. Documents                     manufacturers report the settings used
                                                    it in the comment or in any documents                    should not contain special characters or              for the testing of non-integrated LED
                                                    attached to your comment. Any                            any form of encryption and, if possible,              lamps, specifically input voltage and
                                                    information that you do not want to be                   they should carry the electronic                      current, and whether additional settings
                                                    publicly viewable should not be                          signature of the author.                              are needed to ensure consistent,
                                                    included in your comment, nor in any                        Campaign form letters. Please submit               repeatable results. DOE requests
                                                    document attached to your comment.                       campaign form letters by the originating              comment on whether the manufacturer-


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                                                    47082                  Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules

                                                    declared settings should be made                         temperature in Kelvin (K), and the 12-                  (b) Certification reports. (1) The
                                                    available to the public so that accurate                 month average Color Rendering Index                   requirements of § 429.12 are applicable
                                                    comparisons across products could be                     (CRI).                                                to general service lamps;
                                                    made.                                                      (ii) Incandescent reflector lamps. The                (2) Values reported in certification
                                                      (2) DOE requests comment on the                        testing laboratory’s ILAC accreditation               reports are represented values;
                                                    industry standards and sections of the                   body’s identification number or other                   (3) For general service incandescent
                                                    industry standards referenced in its                     approved identification assigned by the               lamps, use § 429.27(b);
                                                    proposed test methods.                                   ILAC accreditation body, production                     (4) For compact fluorescent lamps,
                                                                                                             dates of the units tested, the 12-month               use § 429.35(b);
                                                    VI. Approval of the Office of the                                                                                (5) For integrated LED lamps, use
                                                                                                             average lamp efficacy in lumens per
                                                    Secretary                                                                                                      § 429.56(b); and
                                                                                                             watt (lm/W), and lamp wattage (W).
                                                      The Secretary of Energy has approved                     (iii) General service incandescent                    (6) For other incandescent lamps, for
                                                    publication of this proposed rule.                       lamps, The testing laboratory’s ILAC                  other fluorescent lamps, for OLED
                                                                                                             accreditation body’s identification                   lamps and non-integrated LED lamps,
                                                    List of Subjects                                                                                               pursuant to § 429.12(b)(13), a
                                                                                                             number or other approved identification
                                                    10 CFR Part 429                                          assigned by the ILAC accreditation                    certification report must include the
                                                      Administrative practice and                            body, production dates of the units                   following public product-specific
                                                    procedure, Confidential business                         tested, the 12-month average maximum                  information: The testing laboratory’s
                                                    information, Energy conservation,                        rate wattage in watts (W), the 12-month               ILAC accreditation body’s identification
                                                    Household appliances, Reporting and                      average minimum rated lifetime (hours),               number or other approved identification
                                                    recordkeeping requirements.                              and the 12-month average Color                        assigned by the ILAC accreditation
                                                                                                             Rendering Index (CRI).                                body, initial lumen output, input power,
                                                    10 CFR Part 430                                                                                                lamp efficacy, and power factor. For
                                                                                                             *      *    *     *     *
                                                      Administrative practice and                            ■ 3. Section 429.35 is amended by
                                                                                                                                                                   non-integrated LED lamps, the
                                                    procedure, Confidential business                         revising paragraph (b)(2) to read as                  certification report must also include
                                                    information, Energy conservation,                        follows:                                              the input voltage and current used for
                                                    Household appliances, Imports,                                                                                 testing.
                                                    Incorporation by reference,                              § 429.35 Bare or covered (no reflector)                 (c) Rounding requirements. (1) Round
                                                    Intergovernmental relations, Small                       medium base compact fluorescent lamps.                input power to the nearest tenth of a
                                                    businesses.                                              *     *     *     *     *                             watt.
                                                                                                               (b) * * *                                             (2) Round initial lumen output to
                                                      Issued in Washington, DC, on July 8, 2016.                                                                   three significant digits.
                                                                                                               (2) Pursuant to § 429.12(b)(13), a
                                                    Steven G. Chalk,                                         certification report shall include the                  (3) Round lamp efficacy to the nearest
                                                    Deputy Assistant Secretary for Operations,               following public product-specific                     tenth of a lumen per watt.
                                                    Energy Efficiency and Renewable Energy.                  information: The testing laboratory’s                   (4) Round power factor to the nearest
                                                      For the reasons stated in the                          ILAC accreditation body’s identification              hundredths place.
                                                    preamble, DOE proposes to amend parts                    number or other approved identification                 (5) Round standby mode power to the
                                                    429 and 430 of chapter II of title 10,                   assigned by the ILAC accreditation                    nearest tenth of a watt.
                                                    Code of Federal Regulations as set forth                 body, the minimum initial efficacy in                 PART 430—ENERGY CONSERVATION
                                                    below:                                                   lumens per watt (lm/W), the lumen                     PROGRAM FOR CONSUMER
                                                                                                             maintenance at 1,000 hours in percent                 PRODUCTS
                                                    PART 429—CERTIFICATION,                                  (%), the lumen maintenance at 40
                                                    COMPLIANCE, AND ENFORCEMENT                              percent of rated life in percent (%), the             ■ 5. The authority citation for part 430
                                                    FOR CONSUMER PRODUCTS AND                                rapid cycle stress test in number of units            continues to read as follows:
                                                    COMMERCIAL AND INDUSTRIAL                                passed, and the lamp life in hours (h).                 Authority: 42 U.S.C. 6291–6309; 28 U.S.C.
                                                    EQUIPMENT                                                ■ 4. Section 429.57 is added to read as               2461 note.
                                                                                                             follows:
                                                    ■ 1. The authority citation for part 429                                                                       ■ 6. Section 430.3 is amended by:
                                                    continues to read as follows:                            § 429.57   General service lamps.                     ■ a. Redesignating paragraph (o)(3) as
                                                        Authority: 42 U.S.C. 6291–6317.                        (a) Determination of represented                    (o)(4);
                                                                                                                                                                   ■ b. Adding paragraph (o)(3);
                                                    ■ 2. Section 429.27 is amended by                        value. Manufacturers must determine
                                                                                                                                                                   ■ c. Redesignating paragraph (o)(4) as
                                                    revising paragraphs (b)(2)(i), (ii) and (iii)            represented values, which includes
                                                                                                             certified ratings, for each basic model of            (o)(5);
                                                    to read as follows:                                                                                            ■ d. Redesignating paragraph (o)(5) as
                                                                                                             general service lamp in accordance with
                                                                                                                                                                   (o)(7);
                                                    § 429.27 General service fluorescent                     following sampling provisions.                        ■ e. Redesignating paragraph (o)(6) as
                                                    lamps, general service incandescent lamps,                 (1) The requirements of § 429.11 are
                                                    and incandescent reflector lamps.                                                                              (o)(9);
                                                                                                             applicable to general service lamps, and              ■ e. Adding new paragraph (o)(6);
                                                    *      *    *     *      *                                 (2) For general service incandescent                ■ f. Redesignating paragraph (o)(8) as
                                                       (b) * * *                                             lamps, use § 429.27(a);                               (o)(11);
                                                       (2) * * *                                               (3) For compact fluorescent lamps,                  ■ g. Adding new paragraph (o)(8);
                                                       (i) General service fluorescent lamps.                use § 429.35(a);
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                                                                                                                                                                   ■ f. Redesignating paragraphs (o)(7) and
                                                    The testing laboratory’s ILAC                              (4) For integrated LED lamps, use                   (o)(9) as (o)(10) and (o)(12); and
                                                    accreditation body’s identification                      § 429.56(a);                                          ■ g. Adding paragraphs (o)(13) and
                                                    number or other approved identification                    (5) For other incandescent lamps, use               (p)(6).
                                                    assigned by the ILAC accreditation                       § 429.27(a);                                            The additions read as follows:
                                                    body, production dates of the units                        (6) For other fluorescent lamps, use
                                                    tested, the 12-month average lamp                        § 429.35(a); and                                      § 430.3 Materials incorporated by
                                                    efficacy in lumens per watt (lm/W),                        (7) For OLED lamps and non-                         reference.
                                                    lamp wattage (W), correlated color                       integrated LED lamps, use § 429.56(a).                *       *        *   *   *


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                                                                           Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules                                                47083

                                                      (o) * * *                                              Spectroradiometer (Sphere-                            Cooperation (ILAC) Mutual Recognition
                                                      (3) IES LM–9–09 (‘‘IES LM–9–09–                        spectroradiometer System); and                        Arrangement (MRA). A manufacturer’s
                                                    DD’’), IES Approved Method for the                         (viii) Section 9—Test Methods for                   or importer’s own laboratory, if
                                                    Electrical and Photometric                               Total Luminous Flux measurement:                      accredited, may conduct the applicable
                                                    Measurement of Fluorescent Lamps,                        Section 9.2—Integrating Sphere with a                 testing.
                                                    approved January 31, 2009; IBR                           Photometer Head (Sphere-photometer                    ■ 9. Appendix DD to subpart B of part
                                                    approved for appendix DD to subpart B,                   System).                                              430 is added to read as follows:
                                                    as follows:                                              *     *     *     *     *                             Appendix DD to Subpart B of Part
                                                      (i) Section 4—Ambient and Physical                       (p) * * *                                           430—Uniform Test Method for
                                                    Conditions;                                                (6) IEC 62301, (‘‘IEC 62301–DD’’),                  Measuring the Energy Consumption
                                                      (ii) Section 5—Electrical Conditions;                  Household electrical appliances—                      and Energy Efficiency of General
                                                      (iii) Section 6—Lamp Test                              Measurement of standby power,                         Service Lamps that are not General
                                                    Procedures; and                                          (Edition 2.0, 2011–01); IBR approved for              Service Incandescent Lamps, Compact
                                                      (iv) Section 7—Photometric Test                        appendix DD to subpart B as follows:                  Fluorescent Lamps, or Integrated LED
                                                    Procedures: Section 7.5—Integrating                        (i) Section 5—Measurements.                         Lamps.
                                                    Sphere Measurement.                                      *     *     *     *     *
                                                    *      *     *    *    *                                 ■ 7. Section 430.23 is amended by                        Note: On or after [INSERT DATE 180 DAYS
                                                      (6) IES LM–20–13, IES Approved                         adding paragraph (ff) to read as follows:             AFTER DATE OF PUBLICATION OF THE
                                                    Method for Photometry of Reflector                                                                             FINAL RULE IN THE FEDERAL
                                                                                                             § 430.23 Test procedures for the                      REGISTER], any representations, including
                                                    Type Lamps, approved February 4,
                                                                                                             measurement of energy and water                       certifications of compliance (if required),
                                                    2013; IBR approved for appendix DD to                                                                          made with respect to the energy use or
                                                                                                             consumption.
                                                    subpart B, as follows:                                                                                         efficiency of general service lamps that are
                                                      (i) Section 4—Ambient and Physical                     *      *    *      *     *                            not general service incandescent lamps,
                                                    Conditions;                                                (ff) General Service Lamps. (1) For                 compact fluorescent lamps, or integrated LED
                                                      (ii) Section 5—Electrical and                          general service incandescent lamps,                   lamps must be made in accordance with the
                                                    Photometric Test Conditions;                             measure lamp efficacy in accordance                   results of testing pursuant to this appendix
                                                      (iii) Section 6—Lamp Test                              with paragraph (r) of this section.                   DD.
                                                    Procedures; and                                            (2) For compact fluorescent lamps,                     1. Scope: This appendix DD specifies the
                                                      (iv) Section 8—Total Flux                              measure lamp efficacy, lumen                          test methods required to measure the initial
                                                    Measurements by Integrating Sphere                       maintenance at 1,000 hours, lumen                     lumen output, input power, lamp efficacy,
                                                                                                             maintenance at 40 percent of lifetime,                power factor, and standby mode energy
                                                    Method.                                                                                                        consumption of general service lamps that
                                                                                                             rapid cycle stress, time to failure, power
                                                    *      *     *    *    *                                                                                       are not general service incandescent lamps,
                                                                                                             factor, CRI, start time, and standby
                                                      (8) IES LM–45–15, IES Approved                                                                               compact fluorescent lamps, or integrated LED
                                                                                                             mode power in accordance with                         lamps.
                                                    Method for the Electrical and
                                                                                                             paragraph (y) of this section.                          2. Definitions:
                                                    Photometric Measurement of General
                                                                                                               (3) For integrated LED lamps, measure                 Measured initial input power means the
                                                    Service Incandescent Filament Lamps,
                                                                                                             lamp efficacy, power factor, and standby              input power to the lamp, measured after the
                                                    approved August 8, 2015; IBR approved
                                                                                                             mode power in accordance with                         lamp is stabilized and seasoned (if
                                                    for appendix DD to subpart B as follows:                                                                       applicable), and expressed in watts (W).
                                                                                                             paragraph (ee) of this section.
                                                      (i) Section 4—Ambient and Physical                                                                             Measured initial lumen output means the
                                                                                                               (4) For other incandescent lamps,
                                                    Conditions;                                                                                                    lumen output of the lamp measured after the
                                                                                                             measure initial light output, input
                                                      (ii) Section 5—Electrical Conditions;                                                                        lamp is stabilized and seasoned (if
                                                                                                             power, lamp efficacy, power factor, and
                                                      (iii) Section 6—Lamp Test                                                                                    applicable), and expressed in lumens (lm).
                                                                                                             standby mode power in accordance with                   Power factor means the measured initial
                                                    Procedures; and
                                                                                                             appendix DD of this subpart.                          input power (watts) divided by the product
                                                      (iv) Section 7—Photometric Test
                                                                                                               (5) For other fluorescent lamps,                    of the input voltage (volts) and the input
                                                    Procedures: Section 7.1—Total
                                                                                                             measure initial light output, input                   current (amps) measured at the same time as
                                                    Luminous Flux Measurements with an
                                                                                                             power, lamp efficacy, power factor, and               the initial input power.
                                                    Integrating Sphere.                                                                                              3. Active Mode Test Procedures
                                                                                                             standby mode power in accordance with
                                                    *      *     *    *    *                                 appendix DD of this subpart.                            3.1. Take measurements at full light
                                                      (13) IES LM–79–08 (‘‘IES LM–79–08–                       (6) For OLED and non-integrated LED                 output.
                                                    DD’’), IES Approved Method for the                       lamps, measure initial light output,                    3.2. Do not use a goniophotometer.
                                                    Electrical and Photometric                                                                                       3.3. For OLED and non-integrated LED
                                                                                                             input power, lamp efficacy, power                     lamps, position a lamp in either the base-up
                                                    Measurement of Solid-State Lighting                      factor, and standby mode power in
                                                    Products, approved January 31, 2009;                                                                           and base-down orientation throughout
                                                                                                             accordance with appendix DD of this                   testing. An equal number of lamps in the
                                                    IBR approved for appendix DD to                          subpart.                                              sample must be tested in the base-up and
                                                    subpart B as follows:                                    ■ 8. Section 430.25 is revised to read as             base-down orientations, except that, if the
                                                      (i) Section 1.3—Nomenclature and                       follows:                                              manufacturer restricts the position, test all of
                                                    Definitions (except section 1.3[f]);                                                                           the units in the sample in the manufacturer-
                                                      (ii) Section 2.0—Ambient Conditions;                   § 430.25 Laboratory Accreditation                     specified position.
                                                      (iii) Section 3.0—Power Supply                         Program.                                                3.4. Operate the lamp at the rated voltage
                                                    Characteristics;                                            The testing for general service                    throughout testing. For lamps with multiple
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                                                      (iv) Section 5.0—Stabilization of SSL                  fluorescent lamps, general service lamps              rated voltages including 120 volts, operate
                                                    Product;                                                 (with the exception of applicable                     the lamp at 120 volts. If a lamp is not rated
                                                                                                                                                                   for 120 volts, operate the lamp at the highest
                                                      (v) Section 7.0—Electrical Settings;                   lifetime testing), incandescent reflector
                                                                                                                                                                   rated input voltage. For non-integrated LED
                                                      (vi) Section 8.0—Electrical                            lamps, and fluorescent lamp ballasts                  lamps, operate the lamp at the manufacturer-
                                                    Instrumentation;                                         must be conducted by test laboratories                declared input voltage and current.
                                                      (vii) Section 9—Test Methods for                       accredited by an Accreditation Body                     3.5. Operate the lamp at the maximum
                                                    Total Luminous Flux measurement:                         that is a signatory member to the                     input power. If multiple modes occur at the
                                                    Section 9.1 Integrating Sphere with a                    International Laboratory Accreditation                same maximum input power (such as



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                                                    47084                         Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules

                                                    variable CCT or CRI), the manufacturer may                             must indicate in the test report which mode                     3.6. To measure initial lumen output, input
                                                    select any of these modes for testing;                                 was selected for testing and include detail                   power, input voltage, and input current use
                                                    however, all measurements must be taken at                             such that another laboratory could operate                    the test procedures in the table in this
                                                    the same selected mode. The manufacturer                               the lamp in the same mode.                                    section.

                                                                                                TABLE 3.1—REFERENCES TO INDUSTRY STANDARD TEST PROCEDURES
                                                                                                Lamp type                                                                              Referenced test procedure

                                                    General service incandescent lamps .......................................................                 Appendix R to Subpart B of 10 CFR part 430.
                                                    Compact fluorescent lamps ......................................................................           Appendix W to Subpart B of 10 CFR part 430.
                                                    Integrated LED lamps ...............................................................................       Appendix BB to Subpart B of 10 CFR part 430.
                                                    Other incandescent lamps that are not reflector lamps ...........................                          IES LM–45–15, sections 4–6, and section 7.1.
                                                    Other incandescent lamps that are reflector lamps .................................                        IES LM–20–13, sections 4–6, and section 8.
                                                    Other fluorescent lamps ...........................................................................        IES LM–9–09–DD, sections 4–6, and section 7.5.
                                                    OLED lamps .............................................................................................   IES LM–79–08–DD, sections 1.3 (except 1.3[f]), 2.0, 3.0, 5.0, 7.0, 8.0,
                                                                                                                                                                 9.1 and 9.2.
                                                    Non-integrated LED lamps .......................................................................           IES LM–79–08–DD, sections 1.3 (except 1.3[f]), 2.0, 3.0, 5.0, 7.0, 8.0,
                                                                                                                                                                 9.1 and 9.2.
                                                       * (incorporated by reference, see § 430.3)


                                                       3.7. Determine initial lamp efficacy by                                   Notice of proposed rulemaking
                                                                                                                           ACTION:                                                         • Hand Delivery: Deliver to Mail
                                                    dividing the measured initial lumen output                             (NPRM).                                                       address above between 9 a.m. and 5
                                                    (lumens) by the measured initial input power                                                                                         p.m., Monday through Friday, except
                                                    (watts).                                                               SUMMARY:   We propose to supersede                            Federal holidays.
                                                       3.8. Determine power factor by dividing                             Airworthiness Directive (AD) 2011–26–                           For service information identified in
                                                    the measured initial input power (watts) by                            03, which applies to certain The Boeing
                                                    the product of the measured input voltage                                                                                            this NPRM, contact Boeing Commercial
                                                                                                                           Company Model 777–200, –200LR,                                Airplanes, Attention: Data & Services
                                                    (volts) and measured input current (amps).
                                                                                                                           –300, and –300ER series airplanes. AD                         Management, P.O. Box 3707, MC 2H–65,
                                                       4. Standby Mode Test Procedure
                                                       4.1. Measure standby mode power only for                            2011–26–03 currently requires installing                      Seattle, WA 98124–2207; telephone:
                                                    lamps that are capable of standby mode                                 Teflon sleeving under the clamps of                           206–544–5000, extension 1; fax: 206–
                                                    operation.                                                             certain wire bundles routed along the                         766–5680; Internet: https://
                                                       4.2. Connect the lamp to the manufacturer-                          fuel tank boundary structure, and cap                         www.myboeingfleet.com. You may view
                                                    specified wireless control network (if                                 sealing certain penetrating fasteners of                      this referenced service information at
                                                    applicable) and configure the lamp in                                  the main and center fuel tanks. AD                            the FAA, Transport Airplane
                                                    standby mode by sending a signal to the lamp                           2011–26–03 resulted from fuel system
                                                    instructing it to have zero light output. Lamp                                                                                       Directorate, 1601 Lind Avenue SW.,
                                                                                                                           reviews conducted by the manufacturer.                        Renton, WA. For information on the
                                                    must remain connected to the network
                                                                                                                           Since we issued AD 2011–26–03, we                             availability of this material at the FAA,
                                                    throughout testing.
                                                       4.3. Operate the lamp at the rated voltage                          have received a report indicating that                        call 425–227–1221. It is also available
                                                    throughout testing. For lamps with multiple                            additional airplanes are affected by the                      on the Internet at http://
                                                    rated voltages including 120 volts, operate                            identified unsafe condition. This                             www.regulations.gov by searching for
                                                    the lamp at 120 volts. If a lamp is not rated                          proposed AD would add airplanes to the                        and locating Docket No. FAA–2016–
                                                    for 120 volts, operate the lamp at the highest                         applicability. This AD would also add,                        8179.
                                                    rated input voltage.                                                   for certain airplanes, detailed
                                                       4.4. Stabilize the lamp prior to                                    inspections of certain wire bundle                            Examining the AD Docket
                                                    measurement as specified in section 5 of IEC                           clamps, certain Teflon sleeves, and                              You may examine the AD docket on
                                                    62301–DD (incorporated by reference; see
                                                                                                                           certain fasteners; corrective actions if                      the Internet at http://
                                                    § 430.3).
                                                       4.5. Measure the standby mode power in                              necessary; and installation of Teflon                         www.regulations.gov by searching for
                                                    watts as specified in section 5 of IEC 62301–                          sleeves under certain wire bundle                             and locating Docket No. FAA–2016–
                                                    DD (incorporated by reference; see § 430.3).                           clamps. We are proposing this AD to                           8179; or in person at the Docket
                                                    [FR Doc. 2016–17135 Filed 7–19–16; 8:45 am]
                                                                                                                           prevent electrical arcing on the fuel tank                    Management Facility between 9 a.m.
                                                                                                                           boundary structure or inside the fuel                         and 5 p.m., Monday through Friday,
                                                    BILLING CODE 6450–01–P
                                                                                                                           tanks, which could result in a fire or                        except Federal holidays. The AD docket
                                                                                                                           explosion.                                                    contains this proposed AD, the
                                                                                                                           DATES: We must receive comments on                            regulatory evaluation, any comments
                                                    DEPARTMENT OF TRANSPORTATION                                                                                                         received, and other information. The
                                                                                                                           this proposed AD by September 6, 2016.
                                                                                                                           ADDRESSES: You may send comments,                             street address for the Docket Office
                                                    Federal Aviation Administration
                                                                                                                           using the procedures found in 14 CFR                          (phone: 800–647–5527) is in the
                                                                                                                           11.43 and 11.45, by any of the following                      ADDRESSES section. Comments will be
                                                    14 CFR Part 39
                                                                                                                           methods:                                                      available in the AD docket shortly after
                                                    [Docket No. FAA–2016–8179; Directorate                                   • Federal eRulemaking Portal: Go to                         receipt.
mstockstill on DSK3G9T082PROD with PROPOSALS




                                                    Identifier 2015–NM–201–AD]                                             http://www.regulations.gov. Follow the                        FOR FURTHER INFORMATION CONTACT:
                                                                                                                           instructions for submitting comments.                         Suzanne Lucier, Aerospace Engineer,
                                                    RIN 2120–AA64
                                                                                                                             • Fax: 202–493–2251.                                        Propulsion Branch, ANM 140S, FAA,
                                                    Airworthiness Directives; The Boeing                                     • Mail: U.S. Department of                                  Seattle Aircraft Certification Office
                                                    Company Airplanes                                                      Transportation, Docket Operations, M–                         (ACO), 1601 Lind Avenue SW., Renton,
                                                                                                                           30, West Building Ground Floor, Room                          WA 98057–3356; phone: 425–917–6438;
                                                    AGENCY:Federal Aviation                                                W12–140, 1200 New Jersey Avenue SE.,                          fax: 425–917–6590; email:
                                                    Administration (FAA), DOT.                                             Washington, DC 20590.                                         suzanne.lucier@faa.gov.


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Document Created: 2018-02-08 07:56:51
Document Modified: 2018-02-08 07:56:51
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionProposed Rules
ActionSupplemental notice of proposed rulemaking.
DatesDOE will accept comments, data, and information regarding this SNOPR no later than August 19, 2016. See section V, ``Public Participation,'' for details.
ContactMs. Lucy deButts, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Office, EE-2J, 1000 Independence Avenue SW., Washington, DC, 20585-0121. Telephone: (202) 287-1604. Email: [email protected]
FR Citation81 FR 47071 
RIN Number1904-AD64
CFR Citation10 CFR 429
10 CFR 430
CFR AssociatedAdministrative Practice and Procedure; Confidential Business Information; Energy Conservation; Household Appliances; Reporting and Recordkeeping Requirements; Imports; Incorporation by Reference; Intergovernmental Relations and Small Businesses

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