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


81_FR_47210
Current View
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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