Energy Conservation Program: Test Procedures for Compact Fluorescent Lamps, 45723-45756 [2015-17866]

Download as PDF Vol. 80 Friday, No. 147 July 31, 2015 Part II Department of Energy asabaliauskas on DSK5VPTVN1PROD with PROPOSALS 10 CFR Parts 429 and 430 Energy Conservation Program: Test Procedures for Compact Fluorescent Lamps; Proposed Rule VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\31JYP2.SGM 31JYP2 45724 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules DEPARTMENT OF ENERGY 10 CFR Parts 429 and 430 [Docket No. EERE–2015–BT–TP–0014] RIN 1904–AC74 Energy Conservation Program: Test Procedures for Compact Fluorescent Lamps Office of Energy Efficiency and Renewable Energy, Department of Energy. ACTION: Notice of proposed rulemaking and announcement of public meeting. AGENCY: The U.S. Department of Energy (DOE) proposes to amend and expand its test procedures for medium base compact fluorescent lamps (MBCFLs). DOE proposes to replace references to ENERGY STAR requirements with references to the latest versions of industry standard test methods, which, with certain modifications, would replace the existing MBCFL test procedures. DOE is proposing to make these amendments in the existing appendix W to subpart B (Appendix W), renamed as ‘‘Uniform Test Method for Measuring the Energy Consumption of Compact Fluorescent Lamps.’’ In addition, DOE proposes to establish test procedures that would support the ongoing energy conservation standards rulemaking for general service lamps (GSLs) (GSL standards rulemaking), including test methods for new performance metrics and for additional compact fluorescent lamp (CFL) categories, including nonintegrated CFLs and integrated CFLs that are not MBCFLs. DOE also proposes to revise its sampling plan for manufacturers to certify that their CFLs comply with the applicable energy conservation standards. DOE proposes to incorporate measures of standby mode power consumption in its test procedures. DOE also proposes various other conforming amendments. DOE also announces a public meeting to receive comments on these proposed amendments to the test procedures. DATES: DOE will hold a public meeting on Monday, August 31, 2015, from 9 a.m. to 4 p.m., in Washington, DC. The meeting will also be broadcast as a webinar. See section V, ‘‘Public Participation,’’ for webinar registration information, participant instructions, and information about the capabilities available to webinar participants. DOE will accept comments, data, and information regarding this Notice of Proposed Rulemaking (NOPR) before and after the public meeting, but no asabaliauskas on DSK5VPTVN1PROD with PROPOSALS SUMMARY: VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 later than October 14, 2015. See section V, ‘‘Public Participation,’’ for details. ADDRESSES: The public meeting will be held at the U.S. Department of Energy, Forrestal Building, Room 8E–089, 1000 Independence Avenue SW., Washington, DC 20585. Any comments submitted must identify the NOPR for Test Procedures for Compact Fluorescent Lamps, and provide docket number EERE–2015– BT–TP–0014 and/or regulatory information number (RIN) 1904–AC74. 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: CFL2015TP0014@ ee.doe.gov. Include the docket number EERE–2015–BT–TP–0014 and/or RIN 1904–AC74 in the subject line of the message. 3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Office, Mailstop EE–2J, 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. Brenda Edwards, 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 notice, ‘‘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 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 www.eere.energy.gov/ buildings/appliance_standards/ product.aspx/productid/28. This Web page will link to the docket for this notice on the www.regulations.gov site. The www.regulations.gov site will contain simple instructions on how to access all documents, including public comments, in the docket. See section V, PO 00000 Frm 00002 Fmt 4701 Sfmt 4702 ‘‘Public Participation,’’ for information on how to submit comments through www.regulations.gov. 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: Lucy.deButts@ee.doe.gov. Ms. Celia Sher, U.S. Department of Energy, Office of the General Counsel, GC–33, 1000 Independence Avenue SW., Washington, DC 20585–0121. Telephone: (202) 287–6122. Email: celia.sher@hq.doe.gov. For further information on how to submit a comment, review other public comments and the docket, or participate in the public meeting, contact Ms. Brenda Edwards at (202) 586–2945 or by email: Brenda.Edwards@ee.doe.gov. SUPPLEMENTARY INFORMATION: DOE intends to incorporate by reference the following industry standards into 10 CFR part 430: (1) ANSI_IEC C78.901–2014, ‘‘American National Standard for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional and Electrical Characteristics.’’ Copies of ANSI_IEC C78.901–2014 can be obtained from ANSI Attn: Customer Service Department, 25 W. 43rd Street, 4th Floor, New York, NY 10036, or by going to https:// webstore.ansi.org/. (2) IES LM–54–12, ‘‘IES Guide to Lamp Seasoning.’’ (3) IES LM–65–14, ‘‘IES Approved Method for Life Testing of Single-Based Fluorescent Lamps.’’ (4) IES LM–66–14, ‘‘IES Approved Method for the Electrical and Photometric Measurements of SingleBased Fluorescent Lamps.’’ (5) IESNA LM–78–07, ‘‘IESNA Approved Method for Total Luminous Flux Measurement of Lamps Using an Integrating Sphere Photometer.’’ Copies of IES LM–54–12, IES LM–65– 14, IES LM–66–14, and IES LM–78–07 can be obtained from IES, 120 Wall Street, Floor 17, New York, NY 10005– 4001, or by going to www.ies.org/store. FOR FURTHER INFORMATION CONTACT: Table of Contents I. Authority and Background II. Synopsis of the Notice of Proposed Rulemaking III. Discussion A. Seven-Year Test Procedure Review B. Amendments to Appendix W to Subpart B of 10 CFR Part 430 1. Updates to Industry Test Methods a. IES LM–66–14 ‘‘IES Approved Method for the Electrical and Photometric E:\FR\FM\31JYP2.SGM 31JYP2 asabaliauskas on DSK5VPTVN1PROD with PROPOSALS Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules Measurements of Single-Based Fluorescent Lamps’’ b. IES LM–54–12 ‘‘IES Guide to Lamp Seasoning’’ c. IES LM–65–14 ‘‘IES Approved Method for Life Testing of Single-Based Fluorescent Lamps’’ 2. Clarifications to General Test Conditions and Setup a. Instrumentation b. Ambient Temperature c. Input Voltage d. Lamp Orientation e. Lamp Seasoning f. Lamp Stabilization g. Fixtures h. Ballasted Adapters i. Multi-Level CFLs and Dimmable CFLs 3. Clarifications to Definitions a. Average Rated Life b. Initial Performance Values c. Lumen Maintenance d. Rated Supply Frequency e. Rated Wattage f. Self-Ballasted Compact Fluorescent Lamp 4. Test Procedures for Existing and New Metrics a. Test Procedures for Initial Lamp Efficacy, Lumen Maintenance, CCT, CRI, and Power Factor b. Test Procedures for Time to Failure and Rapid Cycle Stress c. Test Procedure for Start Time 5. Test Procedures for New CFL Categories a. Test Procedures for Integrated CFLs b. Test Procedures for Non-Integrated CFLs c. Test Procedures for Hybrid CFLs 6. Test Procedure for Standby Mode Power 7. Rounding Values C. Amendments to Definitions at 10 CFR 430.2 1. Compact Fluorescent Lamp 2. Correlated Color Temperature D. Amendments to Materials Incorporated by Reference at 10 CFR 430.3 E. Amendments to 10 CFR 430.23(y) F. Amendments to Laboratory Accreditation Requirements at 10 CFR 430.25 G. Clarifications to Energy Conservation Standard Text at 10 CFR 430.32(u) 1. Initial Lamp Efficacy 2. Lumen Maintenance at 1,000 Hours 3. Lumen Maintenance at 40 Percent of Lifetime 4. Rapid Cycle Stress Test 5. Lifetime H. Amendments to Certification Report Requirements I. Amendments to 10 CFR 429.35 1. Initial Lamp Efficacy and Lumen Maintenance 2. Rapid Cycle Stress Testing 3. Lifetime of a Compact Fluorescent Lamp 4. New Metrics 5. Reuse of Samples J. Federal Trade Commission (FTC) Labeling Requirements K. Effective Date and Compliance Dates IV. Procedural Issues and Regulatory Review A. Review Under Executive Order 12866 B. Review Under the Regulatory Flexibility Act 1. Small Business Manufacturers of Covered Products VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 2. Burden Related to Proposed Amendments to Appendix W a. Updates to Industry Test Methods b. Test Procedures Scope of Coverage c. Proposed New Test Procedures d. Sample Size e. Analysis of Burden f. Summary 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 the 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. Attendance at Public Meeting B. Procedure for Submitting Prepared General Statement for Distribution C. Conduct of Public Meeting D. Submission of Comments E. 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. All references to EPCA refer to the statute as amended through the Energy Efficiency Improvement Act of 2015 (EEIA 2015), Public Law 114–11 (April 30, 2015). 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 include CFLs, the subject of this NOPR. 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 the products. (42 U.S.C. 6293(c)) Similarly, DOE must use these test procedures to determine whether the products comply with any relevant PO 00000 Frm 00003 Fmt 4701 Sfmt 4702 45725 standards promulgated under EPCA. (42 U.S.C. 6295(s)) The Energy Policy Act of 2005 (Pub. L. 109–58) amended EPCA to require that MBCFL test procedures be based on the August 2001 version of the ‘‘ENERGY STAR® Program Requirements for CFLs.’’ 1 (42 U.S.C. 6293(b)(12)) Consistent with this requirement, DOE published a final rule in December 2006 (December 2006 final rule) and established DOE’s current test procedures for MBCFLs under 10 CFR part 430, subpart B, appendix W. 71 FR 71340 (Dec. 8, 2006).2 Additionally, EPCA requires that at least once every 7 years, DOE must conduct an evaluation of all covered products and either amend the test procedures or publish a determination in the Federal Register not to amend them. (42 U.S.C. 6293(b)(1)(A)) DOE is undertaking this rulemaking, including the publication of this NOPR, to meet this EPCA requirement. As discussed in section III.B.1 of this NOPR, DOE is proposing to replace the existing references to ENERGY STAR program requirements with direct references to the latest versions of the appropriate industry test methods from IES. Directly referencing the latest industry standards will allow DOE to adopt current best practices and technological developments in its test procedures. Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures DOE must follow when prescribing or amending test procedures for covered products. (42 U.S.C. 6293(b)) EPCA provides, in relevant part, that any test procedures prescribed or amended under this section shall be reasonably designed to produce test results that 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 amend the test procedures currently applicable to MBCFLs to include additional CFL categories in support of the ongoing GSL standards rulemaking. If DOE determines that a test procedure amendment is warranted, it 1 ENERGY STAR® Program Requirements for CFLs Partner Commitments, Version 2.0. August 9, 2001. Washington, DC. www.energystar.gov/ia/ partners/product_specs/program_reqs/archive/ CFLs_Program_RequirementsV2.0.pdf. 2 On December 8, 2006, DOE incorporated by reference the ENERGY STAR® Program Requirements for CFLs, ENERGY STAR Eligibility Criteria, Energy-Efficiency Specification, Version 2.0 as the Department’s test procedures for measuring the energy performance of MBCFLs. Information on the ENERGY STAR program is available at www.energystar.gov. E:\FR\FM\31JYP2.SGM 31JYP2 45726 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules must publish the proposed test procedure and offer the public an opportunity to present oral and written comments on them. (42 U.S.C. 6293(b)(2)) In any rulemaking to amend test procedures, DOE must determine to what extent, if any, the proposed test procedures would alter the measured energy efficiency of any covered products as determined under the existing test procedures. (42 U.S.C. 6293(e)(1)) Finally, EPCA directs DOE to amend its test procedures for all covered products to integrate measures of standby mode and off mode energy consumption, if technically feasible. (42 U.S.C. 6295(gg)(2)(A)) Standby mode and off mode energy must be incorporated into the overall energy efficiency, energy consumption, or other energy descriptor for each covered product unless the current test procedures already account for and incorporate standby and off mode energy consumption or such integration is technically infeasible. If an integrated test procedure is technically infeasible, DOE must prescribe a separate standby mode and off mode energy use test procedure for the covered product. Id. Any such amendment must consider the most current versions of the IEC Standard 62301 3 and IEC Standard 62087 4 as applicable. DOE has tentatively determined that CFLs operate under standby mode but not under off mode. Consistent with EPCA’s relevant requirement, DOE proposes to address measurement of standby mode power in Appendix W, as detailed in section III.B.6 of this NOPR. asabaliauskas on DSK5VPTVN1PROD with PROPOSALS II. Synopsis of the Notice of Proposed Rulemaking In this NOPR, DOE proposes to amend DOE’s current test procedures for MBCFLs contained in Appendix W. These amendments include (1) replacing references to ENERGY STAR requirements with references to the latest versions of industry standards; (2) revising certain definitions; (3) providing further instruction on test setup, test methods, and sampling requirements; and (4) removing testing specific language from the existing MBCFL energy conservation standards contained in 10 CFR 430.32(u). DOE has tentatively concluded that these proposed amendments will not affect any measurements required to comply with existing standards, as detailed in 3 Household electrical appliances—Measurement of standby power (Edition 2.0, 2011–01). 4 Methods of measurement for the power consumption of audio, video, and related equipment (Edition 3.0, 2011–04). VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 the discussion of each proposed amendment. DOE also proposes to (1) adopt test procedures for additional CFL categories in support of the ongoing GSL standards rulemaking, (2) adopt test procedures for additional CFL metrics in support of the ongoing GSL standards rulemaking, (3) adopt a test procedure for measuring standby mode power consumption for MBCFLs and all other CFL categories covered by the ongoing GSL standards rulemaking, as appropriate, and (4) adopt a revised sampling plan for MBCFLs and all other CFL categories covered by the ongoing GSL standards rulemaking. In order to support the ongoing GSL standards rulemaking, DOE is proposing to expand the existing MBCFL test procedures to include additional CFL categories. DOE’s existing energy conservation standards and test procedures apply only to integrated (also referred to as self-ballasted or integrally ballasted) MBCFLs. The ongoing GSL standards rulemaking addresses CFLs, including nonintegrated CFLs and integrated CFLs. Similarly, additional CFL metrics may be necessary to support potential standards from the ongoing GSL standards rulemaking.5 Therefore, in this NOPR, DOE proposes to establish test procedures for additional CFL categories and CFL metrics in Appendix W. Additionally, DOE proposes to establish a test procedure for CFL standby mode power consumption, as directed by EPCA; this test procedure would only apply to integrated CFLs because non-integrated CFLs are not capable of standby mode operation. DOE also proposes to revise the current sampling plan in 10 CFR 429.35 to ensure more representative and accurate values of the existing metrics and to address the proposed new metrics in Appendix W. DOE is also proposing a revised sampling plan that is consistent with ‘‘ENERGY STAR® Program Requirements Product Specification for Lamps (Light Bulbs), Eligibility Criteria, Version 1.1’’ (effective September 30, 2014) 6 (hereafter ‘‘ENERGY STAR Lamps Specification v1.1’’), as detailed in section III.I. Further, the metrics required in the proposed test procedures 5 Information regarding the General Service Lamps Rulemaking can be found on regulations.gov, docket number EERE–2013–BT– STD–0051 at www.regulations.gov/ #!docketDetail;D=EERE-2013-BT-STD-0051. 6 ENERGY STAR® Program Requirements Product Specification for Lamps (Light Bulbs), Eligibility Criteria, Version 1.1. August 28, 2014. Washington, DC. www.energystar.gov/sites/default/files/ ENERGY%20STAR%20Lamps%20V1%201_ Specification.pdf PO 00000 Frm 00004 Fmt 4701 Sfmt 4702 are also required by ENERGY STAR Lamps Specification v1.1. Therefore, the proposed test procedures in Appendix W can be conducted concurrently with ENERGY STAR certification without significant additional burden. III. Discussion A. Seven-Year Test Procedure Review In undertaking this rulemaking, DOE is fulfilling its statutory obligation under EPCA to review its test procedures for all covered products, including MBCFLs, at least once every 7 years. (42 U.S.C. 6293(b)(1)(A)) Within this period, DOE must either: (1) Amend the test procedure to improve its measurement representativeness or accuracy or reduce its burden, or (2) determine that such amendments are unnecessary. Id. Although DOE is proposing revisions only to certain parts of the existing test procedures, DOE requests comment on all aspects of DOE’s test procedures, including those provisions appearing at 10 CFR 429.35, 10 CFR 430.23, and Appendix W, as well as comments on current best practices and technological developments that may warrant additional amendments. B. Amendments to Appendix W to Subpart B of 10 CFR Part 430 In this NOPR, DOE proposes several updates to the existing test procedures for MBCFLs as specified in Appendix W. Specifically, DOE proposes to (1) replace references to ENERGY STAR requirements with references to the latest versions of industry standards, (2) revise certain definitions, and (3) provide further instruction on test setup and test methods. DOE has tentatively concluded that since these changes mainly provide clarifications to the existing test procedures for MBCFLs, these amendments would not significantly alter measured values requiring compliance for existing standards for MBCFLs, nor would they pose an increased test burden to manufacturers. This NOPR also proposes to expand the existing test procedures to additional CFL categories (i.e., nonMBCFL integrated, non-integrated, and hybrid CFLs), include test procedures for additional CFL metrics, and include a test procedure to measure standby mode power consumption of CFLs where applicable. DOE is proposing the inclusion of additional CFL categories and metrics in support of the ongoing GSL standards rulemaking. In the ongoing GSL standards rulemaking, DOE is considering revising and/or developing E:\FR\FM\31JYP2.SGM 31JYP2 asabaliauskas on DSK5VPTVN1PROD with PROPOSALS Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules standards for integrated and nonintegrated CFLs, as well as requiring additional CFL metrics, including correlated color temperature (CCT), color rendering index (CRI), start time, and power factor. Should DOE establish energy conservation standards for these additional CFL categories and require additional metrics in the ongoing GSL standards rulemaking, DOE must first prescribe test procedures for these products, as required by EPCA. (42 U.S.C. 6295(o)(3)(A)) Therefore, DOE is proposing test procedures for additional CFL categories and metrics in this NOPR. DOE also proposes to delete the text ‘‘medium base’’ from the title of Appendix W to reflect the proposed inclusion of additional CFL categories. Further, DOE is proposing a test procedure for measuring standby mode power consumption of CFLs, where applicable, according to the EPCA requirement that test procedures for all covered products must integrate measures of standby mode and off mode energy consumption, if technically feasible. (42 U.S.C. 6295(gg)(2)(A)) DOE has tentatively concluded that test procedures proposed in Appendix W do not pose an undue burden to manufacturers. The additional metrics of CCT, CRI, start time, and power factor would require equipment that is considered standard laboratory equipment or already used for the measurement of existing metrics. The measurements of these metrics would likely not require considerable time. Additionally, DOE is proposing to require the same sample of units to be used for initial lamp efficacy, lifetime, lumen maintenance values, CRI, CCT, power factor, start time, and standby mode power. In the sections that follow, DOE discusses the proposed test procedures for CFLs in Appendix W including (1) industry standard test procedures incorporated by reference; (2) definitions; (3) general instructions; (4) test procedures for existing and new metrics (i.e., CCT, CRI, power factor, and start time); (5) test procedures for additional CFL categories (i.e., nonMBCFL integrated, non-integrated, and hybrid CFLs); (6) a test procedure for measuring standby mode power consumption; and (7) rounding requirements. 1. Updates to Industry Test Methods DOE’s existing MBCFL test procedures contained in Appendix W are based on the August 2001 version of the ‘‘ENERGY STAR® Program VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 Requirements for CFLs,’’ 7 which has since been updated several times. DOE is proposing to replace the existing references to ENERGY STAR program requirements with direct references to the latest versions of the appropriate industry test methods from IES. Directly referencing the latest industry standards will allow DOE to adopt current best practices and technological developments in its test procedures. Test procedures for all additional CFL categories and new CFL metrics proposed in this NOPR would also reference these latest versions of relevant industry standards. More specifically, the ENERGY STAR program requirements referenced IES LM–66–1991 8 for photometric measurements and IES LM–65–1991 9 for lifetime testing measurements.10 IES LM–66–1991 in turn referenced IES LM–54–1991 11 for lamp seasoning guidance. Therefore, DOE proposes to directly incorporate by reference in Appendix W the latest versions of these industry test procedures: IES LM–66– 14,12 IES LM–65–14,13 and IES LM–54– 12.14 Accordingly, DOE proposes to no longer incorporate by reference the August 2001 version of the ENERGY STAR Program Requirements for CFLs, previously approved for Appendix W.15 Industry periodically updates its test procedure standards to account for changes in product lines and/or developments in test methodology and equipment. In considering whether to incorporate an updated industry standard, DOE must ensure that any amended test procedure would not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3)) DOE has preliminarily determined that the changes associated with adoption of the updated versions of industry standards STAR® Program Requirements for CFLs Partner Commitments, Version 2.0. August 9, 2001. Washington, DC. www.energystar.gov/ia/ partners/product_specs/program_reqs/archive/ CFLs_Program_RequirementsV2.0.pdf 8 Electrical and Photometric Measurements of Single-Ended Compact Fluorescent Lamps (approved June 1991). 9 Life Testing of Single-Ended Compact Fluorescent Lamps (approved June 1991). 10 Until recently, the Illuminating Engineering Society of North America used the acronym ‘‘IESNA.’’ For simplicity, this NOPR applies the currently used ‘‘IES’’ acronym to all IES publications. 11 Lamp Seasoning (approved June 1991). 12 IES Approved Method for the Electrical and Photometric Measurements of Single-Based Fluorescent Lamps (approved December 30, 2014). 13 IES Approved Method for Life Testing of SingleBased Fluorescent Lamps (approved December 30, 2014). 14 IES Guide to Lamp Seasoning (approved October 22, 2012). 15 Incorporation by reference located at 10 CFR 430.3. PO 00000 7 ENERGY Frm 00005 Fmt 4701 Sfmt 4702 45727 would not be unduly burdensome for manufacturers of CFLs for which DOE is proposing test procedures in this NOPR. When DOE modifies test procedures, EPCA requires that DOE determine to what extent, if any, the new test procedure would alter the measured energy use of covered products. (42 U.S.C. 6293(e)(1)) DOE compared the currently referenced versions and the proposed updated versions of the relevant industry standards to determine, as directed by EPCA, whether adopting the latest industry standards would alter measured energy efficiency for MBCFLs, which are currently regulated and are subject to existing DOE test procedures. In its review of the updated versions of industry standards, DOE identified some provisions in the revised industry test procedures that could potentially result in small changes in measured values of MBCFLs (e.g., modifications to impedance thresholds, preburning ambient conditions). DOE has tentatively determined that these changes would have no more than a de minimis effect on measured values and test burden.16 Thus, DOE tentatively concludes that these amendments in the NOPR do not affect reported efficacy values to the extent that would warrant modifications to energy conservation standards. DOE requests comment on its proposed incorporation of updated versions of industry standards and its tentative conclusion that the updates would not have a significant impact on measured values for MBCFLs or test burden for CFL manufacturers. The following sections discuss in more detail each of the updated industry standards and impacts on measured values of MBCFLs and test burden. a. IES LM–66–14 ‘‘IES Approved Method for the Electrical and Photometric Measurements of SingleBased Fluorescent Lamps’’ IES LM–66–1991 specified procedures for taking electrical and photometric measurements of CFLs (including MBCFLs). As discussed in section III.B.1, this industry standard has been updated with a 2014 edition. DOE is proposing to directly incorporate by reference IES LM–66–14, and to no longer incorporate by reference the August 2001 version of the ENERGY STAR Program Requirements for CFLs, which referenced the 1991 version of LM–66. A review indicates that incorporating the 2014 edition of IES LM–66 would provide further 16 In this notice, changes in efficacy that are described as ‘‘de minimis’’ are considered to be within measurement error or variation. E:\FR\FM\31JYP2.SGM 31JYP2 asabaliauskas on DSK5VPTVN1PROD with PROPOSALS 45728 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules clarification of the test procedures and improve the test methodology. DOE has identified the following eight key updates in the 2014 edition of IES LM–66 (IES LM–66–14) and discusses their impact on MBCFLs in greater detail in this section. Specifically, IES LM–66–14: (1) Adds lamp vibration requirements, (2) removes the quantitative airflow recommendation from ambient conditions, (3) modifies the lamp orientation requirements, (4) clarifies the voltage waveshape requirements for the power supply, (5) modifies the type of instrument used for measuring power, voltage, and current, (6) modifies electrical instrumentation requirements related to frequency response, impedance, tolerance, and power factor (7) modifies the lamp handling requirements, and (8) modifies the lamp stabilization methodology. One of the key updates in IES LM–66– 14 is the addition of vibration requirements. Section 4.2 of IES LM– 66–14 states that lamps should not be subjected to excessive vibration or shock during testing, storage, or handling. Section 7.2 of IES LM–66– 1991 stated that care must be taken to avoid shaking or bumping the lamp during transfer as this could cause mercury to dislodge from the cool zones. DOE has determined that this update only rephrases the requirement that lamps should not be subjected to excessive vibration or shock, during testing, storage, or handling without changing the substantive meaning. For this reason, DOE has tentatively concluded that the revised vibration requirements would not impact measured values or increase test burden. IES LM–66–14 does not include a quantitative airflow recommendation that was included in the 1991 edition. Section 4.4 of IES LM–66–14 states that air movement can substantially alter measured values and that no discernable airflow, other than that from the tested device, is allowed; it also specifies that discernable airflow can be tested by hanging a single ply tissue paper in place of the lamp. Section 3.3 of IES LM–66–1991 had recommended that the airflow not exceed 5 meters per minute. Upon review, DOE has tentatively concluded that because the quantitative airflow specification in IES LM–66–1991 was only a recommendation and the guidelines of the procedure remain the same, the changes would have no more than a de VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 minimis effect on measured values and test burden. IES LM–66–14 also modifies the lamp orientation (i.e., position) requirements during testing. Section 4.5 of IES LM– 66–14 states that the operating orientation of the lamps under test should be as specified by the manufacturer, and that when an orientation is not specified, or where more than one orientation is specified, the lamp should be tested in the orientation that will be used in the application and shall be reported in the test report; it also states that seasoning, preburning, and photometric measurements shall all be done with the lamp in the same orientation. Sections 7.1, 7.2, 7.6, and 11.2 of IES LM–66– 1991 required testing in a base up position. However, 10 CFR 429.35 specifies the operating orientation for MBCFLs. The modification to the lamp orientation in IES LM–66–14 will not impact measured values as the requirements currently in 10 CFR 429.35, and as proposed in Appendix W, dictate orientation. For these reasons, DOE has tentatively concluded that the revised lamp orientation requirement in IES LM–66–14 would not impact measured values or increase test burden. IES LM–66–14 also clarifies the voltage waveshape requirements of the power supply. Section 5.1.1 of IES LM– 66–14 states that the power supply shall have a sinusoidal voltage waveshape such that the total harmonic distortion (THD) does not exceed 3 percent of the fundamental frequency when operating a purely resistive load. Section 2.1 of IES LM–66–1991 stated that the AC power supply, while operating the test lamp, should have a voltage waveshape such that the root mean square (RMS) summation of the harmonic components does not exceed 3 percent of the fundamental. DOE understands that alternating current (AC) power supplies are expected to provide a sinusoidal voltage waveshape, and that in practice industry may already use a purely resistive load to determine power supply THD. For these reasons, DOE has tentatively concluded that the clarified voltage waveshape requirements in IES LM–66–14 would not impact measured values or increase test burden. IES LM–66–14 also restricts the type of instrument used for measurement of power, voltage, and current. Section 5.2 of IES LM–66–14 requires the use of a multifunction instrument in the measurement circuit. Section 5 of IES LM–66–1991 permitted the use of multiple single-function instruments in lieu of a single multifunction instrument; however, it also stated that PO 00000 Frm 00006 Fmt 4701 Sfmt 4702 a single multifunction instrument offers the advantage of simplicity and in most cases eliminates the need for correction. DOE understands that in practice industry may already use a single multifunction instrument in lieu of multiple single-function instruments. DOE has tentatively concluded that the required use of a multifunction instrument would not impact measured values or increase test burden. IES LM–66–14 also adds a requirement for frequency response of measurement instruments. Section 5.3.1 of IES LM–66–14 states that for high frequency measurements, instruments shall have minimum frequency response of 100 kilohertz (kHz). IES LM–66–1991 did not state a minimum frequency response for high frequency measurements. DOE understands that in practice industry may already use instruments with a minimum 100 kHz frequency response for high frequency measurements of MBCFLs that contain electronic ballasts. DOE has tentatively concluded that the added requirement for minimum frequency response would not impact measured values or increase test burden. IES LM–66–14 also modifies the impedance thresholds for electrical instrumentation. Section 5.3.2 of IES LM–66–14 states that voltage inputs of the multifunction meter must have input impedances greater than 1 megaohm (MW), and current inputs must have impedances less than 20 milliohms (mW). Accordingly, IES LM– 66–14 also does not contain a section from IES LM–66–1991 addressing measurement corrections for using instruments with lower impendences (i.e., under 1 MW). Section 8.2 of IES LM–66–1991 had stated that instruments connected in parallel with the lamp may not draw more than 1 percent of the lamp rated current, and instruments in series should have an impedance such that the voltage across the instrument coil does not exceed 2 percent of the rated lamp voltage. The updated impedance thresholds in IES LM–66–14 should help reduce potential error by eliminating the need to correct measured values. Because the updates to impedance limitations mainly affect error correction and ensure accurate measurements, DOE has tentatively concluded that these changes would not affect measured values or pose additional test burden. IES LM–66–14 also modifies electrical instrumentation requirements related to instrument tolerance and power factor. Section 5.3.3 of IES LM–66–14 states that instrument tolerance (i.e., accuracy) shall be ±0.5 percent or less for voltage and current, and ±0.75 percent or less E:\FR\FM\31JYP2.SGM 31JYP2 asabaliauskas on DSK5VPTVN1PROD with PROPOSALS Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules for wattage. Section 8.1 of IES LM–66– 1991 included these same criteria as recommendations rather than requirements, and had limited their application to frequencies up to 2,000 hertz (Hz). Further, IES LM–66–14 does not contain a specification from IES LM–66–1991 that the power factor for ammeters and voltmeters not exceed 20 percent. Upon review, DOE has tentatively concluded that these modifications would ensure accurate and consistent measurements and would not have more than a de minimis impact on measured values and test burden. IES LM–66–14 also modifies the handling requirements for CFLs, including MBCFLs. Section 6.1.1 of IES LM–66–14 references the description for handling in IES LM–54–12. Section 6.1.1 of IES LM–54–12 states that CFLs should cool for at least one hour prior to being disturbed. It also recommends that lamps removed for evaluation, handling, transporting, or storing should be maintained in the same orientation as during the seasoning to reduce lamp stabilization time. Section 7.2 of IES LM–66–1991 stated that the lamp will be less sensitive to movement if it is allowed to cool down for 15 minutes before being transferred to the photometric equipment. DOE understands that in practice industry may already be handling CFLs in this manner to maintain the consistency and integrity of the testing while evaluating, transporting, and/or storing lamps. Therefore, DOE has tentatively concluded that the modified handling requirements would not have a significant impact on measured values or increase test burden. Section 6.2.1 of IES LM–66–14 also modifies the lamp stabilization methodology by now including a preferred four step method for determining if a CFL is stable. The new methodology involves taking six consecutive lumen output measurements at 1-minute intervals, averaging these measurements, and then calculating the stability, as a percentage, by dividing the difference between the maximum and minimum measured values by the average value. If stability exceeds 1 percent for the period, lumen output measurements in 1-minute intervals must continue until stability over six consecutive lumen output measurements is achieved. When the 1 percent threshold is met, the lamp is considered stable. Section 1.2 of IES LM–66–1991 stated that stabilization refers to the burning of test lamps for a sufficient period of time such that electrical and photometric values are constant; section 7.3 further stated that VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 15 minutes is usually sufficient for stability, although periodically checking measured lumens, lamp volts, or both is preferred. Upon review, DOE has tentatively concluded that the new methodology provides more detailed instruction for determining when a lamp is stable and would have no more than a de minimis effect on measured values and test burden. In addition to the previously mentioned updates, IES LM–66–14 provides recommendations and further guidance that remove a number of ambiguities in the previous version (e.g., updates to definitions, organization, and references). Because these proposed updates do not involve substantive changes to the test setup and methodology, but rather just clarifications, DOE has tentatively concluded they would not affect measured values or pose additional test burden. DOE requests comments on its assessment of the updates in IES LM– 66–14 and their impacts on measured values of MBCFLs and test burden. b. IES LM–54–12 ‘‘IES Guide to Lamp Seasoning’’ IES LM–54–1991 specified procedures for seasoning CFLs (including MBCFLs). As discussed in section III.B.1, IES LM– 54–1991 has been updated with a 2012 edition, IES LM–54–12. Section 6.1.2 of IES LM–66–14, which DOE is proposing to directly incorporate by reference, states that all new single-based fluorescent lamps selected for test shall be seasoned per IES LM–54–12. DOE is proposing to directly incorporate by reference IES LM–54–12, and to no longer incorporate by reference the August 2001 version of the ENERGY STAR Program Requirements for CFLs, which referenced the 1991 version of LM–54. A review of the updated standard indicates that incorporating the 2012 edition of IES LM–54 would provide further clarification and improvements in the methodology for lamp seasoning. DOE has identified the following six key updates to the seasoning procedures in the 2012 edition of IES LM–54 (IES LM–54–12) and discusses their impact on MBCFL testing and their measured values. Specifically, IES LM–54–12 (1) specifies ambient temperature limits and clarifies general temperature conditions, (2) adds an airflow requirement, (3) modifies the lamp operating cycle, (4) adds several electrical conditions, (5) modifies the lamp operating orientation, and (6) modifies the lamp seasoning time. PO 00000 Frm 00007 Fmt 4701 Sfmt 4702 45729 The first key update in IES LM–54–12 is a specification of ambient temperature limits during seasoning. Section 4.3 of IES LM–54–12 allows ambient temperature to be within manufacturer specified limits and suggests that these limits are typically between 15 °C and 35 °C. IES LM–54– 1991 did not specify ambient temperature requirements. However, IES LM–66–1991, indirectly referenced in DOE’s existing test procedures for MBCFLs, contained ambient temperature requirements for preburning. Specifically, section 7.1 of IES LM–66–1991 stated that ambient temperature for preburning should not exceed 40 °C. While IES LM–54–12 does not contain this specification, it does state that seasoning should be suspended when the recommended testing temperature range is exceeded and notes that temperatures above 40 °C could be deleterious to the lamp and its components. The updated version also now requires maintaining critical lamp temperatures (e.g., bulb wall temperature or control point temperature) when specified by the manufacturer. Therefore, the changes in ambient temperature and general temperature requirements for seasoning from the adoption of IES LM–54–12 are not in conflict with the currently incorporated industry standards, but rather provide testing clarification and more substantial guidance. For these reasons, DOE has tentatively concluded that the updates in temperature conditions for seasoning adopted in IES LM–54–12 would not have more than a de minimis impact on measured values or test burden. IES LM–54–12 also adds an airflow requirement for CFLs during seasoning. Section 4.4 of IES LM–54–12 states that airflow shall be minimized for proper lamp starting and operation, and notes that the lamps shall be spaced to allow airflow around each lamp. IES LM–54– 1991 did not address airflow during seasoning. It is DOE’s understanding, however, that the airflow requirements of IES LM–54–12 were, in practice, already followed prior to their adoption. Therefore, DOE has tentatively concluded that the addition of a qualitative requirement for lamp spacing to ensure proper airflow during seasoning in IES LM–54–12 would not impact measured values. In addition, IES LM–54–12 modifies the lamp operating cycle requirements. Section 2.2 of IES LM–54–1991 required that all lamps be seasoned at a 3 hour on, 20 minute off cycle for 100 operating hours. Section 6.2.2.1 of IES LM–54–12 specifies that lamps that are to be E:\FR\FM\31JYP2.SGM 31JYP2 asabaliauskas on DSK5VPTVN1PROD with PROPOSALS 45730 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules lifetime tested shall be cycled during seasoning. However, IES LM–54–12 further states that lamps to be tested for other performance metrics can be continuously burned during seasoning to shorten the time required for seasoning. Nonetheless, both versions of the standard require seasoning the lamp for a certain period of time before taking photometric and electrical measurements; consequently, DOE believes that measured photometric and electrical values do not depend on the extent to which lamps are cycled during seasoning. Similarly, because lamps are still required to be seasoned prior to lifetime testing, DOE believes that no longer providing a specific operating cycle for this seasoning would not have a significant impact on the measured value of lifetime. Because these modifications do not remove the requirement of seasoning but only modify how it is conducted, DOE believes that they do not change the ultimate result of seasoning the lamp prior to measurements and subsequently do not have more than a de minimis impact on the measured values and test burden. IES LM–54–12 specifies several electrical conditions that should be maintained during seasoning. Section 5.1.1 of IES LM–54–12 states that frequency of the power supply shall conform to the rated frequency of the ballast, while IES LM–54–1991 did not contain a requirement for frequency of the power supply. DOE does not anticipate measured values or test burden would be impacted by the added specification because this statement is simply a clarification and not a departure from existing test procedures. Section 5.1.2 of IES LM–54–12 states that for AC power installations, the power supply shall have a voltage waveshape such that the total harmonic distortion does not exceed 3 percent of the fundamental frequency. IES LM–54– 1991 did not contain a requirement for voltage waveshape, but this same requirement was given in section 2.1 of IES LM–66–1991 and is also given in section 5.1.1 of IES LM–66–14, as discussed in section III.B.1.a of this NOPR. DOE understands this is general practice in industry and is a clarifying statement only. For these reasons, DOE has tentatively concluded that the electrical conditions specified would not affect measured values or increase test burden. In addition, section 5.1.3 of IES LM– 54–12 adds an electrical condition for voltage regulation of integrated CFLs (including MBCFLs). IES LM–54–12 requires AC voltage to be monitored and regulated to within ±10 percent of the VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 rated input voltage, or ±2 percent of the rated input voltage if the seasoning time includes the preburning time. Voltage regulation limits were not prescribed in LM–54–1991. However, DOE has tentatively concluded that requiring the rated input voltage to adhere to certain tolerances during seasoning would not have a significant impact on measured values or test burden as it likely reflects current general industry practice. As discussed in section III.B.1.a of this NOPR, IES LM–54–12 also modifies the lamp position and orientation requirements during seasoning. Section 6.2.2.1 of IES LM–54–12 states that CFLs shall be seasoned and measured in the same orientation. Section 2.2 of IES LM–54–1991 stated that non-linear lamps should be seasoned in their intended operating position or as recommended by the manufacturer. 10 CFR 429.35 specifies the operating orientation for MBCFLs. The modification to the lamp orientation in IES LM–54–12 will not impact measured values as the requirements currently in 10 CFR 429.35, and as proposed in Appendix W, dictate orientation. Further, section 7.2 of IES LM–66–1991, a currently incorporated industry standard through the reference of ENERGY STAR program requirements, contained guidance to maintain lamp position when transferring lamps from preburning to the location for testing. As detailed in section III.B.2.d, DOE is proposing to clarify within Appendix W that lamp orientation must remain unchanged during testing. For these reasons, DOE has tentatively concluded that the revised lamp orientation requirement in IES LM–54–12 would not impact measured values or increase test burden. Lastly, IES LM–54–12 modifies the lamp seasoning time. Section 6.2.2.1 of IES LM–54–12 states that seasoning time shall be a minimum of 100 operating hours or as specified by the manufacturer so measurements can reliably establish initial lumen output values. Section 2.2 of IES LM–54–1991 stated that lamps are to be seasoned for 100 operating hours. In practice industry may already be using manufacturer specifications for certain lamp designs that may require a different seasoning time than the standard 100 operating hours. Therefore, DOE has tentatively concluded that the allowance of using manufacturer specifications would not have a significant impact on measured values or increase test burden. In addition to the previously mentioned updates, IES LM–54–12 provides recommendations and further guidance that remove a number of PO 00000 Frm 00008 Fmt 4701 Sfmt 4702 ambiguities in the previous version (e.g., updates definitions, instrumentation, and references). Because these proposed updates do not involve substantive changes to the test setup and methodology, but rather just clarification, DOE has tentatively concluded they would not affect measured values or increase test burden. DOE requests comments on its assessment of the updates in IES LM– 54–12 and their impacts on measured values of MBCFLs and test burden. c. IES LM–65–14 ‘‘IES Approved Method for Life Testing of Single-Based Fluorescent Lamps’’ IES LM–65–1991 specified procedures for lifetime testing of CFLs (including MBCFLs). As discussed in section III.B.1, this industry standard has been updated with a 2014 edition. DOE is proposing to directly incorporate by reference IES LM–65–14 and to no longer incorporate by reference the August 2001 version of the ENERGY STAR Program Requirements for CFLs, which referenced the 1991 version of LM–65. A review indicates that incorporating the 2014 edition of IES LM–65 would provide further clarification of the test procedures and improvements in test methodology. DOE has identified the following five key updates in the 2014 edition of IES LM– 65 (IES LM–65–14) and discusses their impact on MBCFL testing and measured values. Specifically, IES LM–65–14 (1) modifies ambient temperature conditions, (2) modifies the lamp spacing requirement, (3) clarifies the power supply voltage waveshape requirement, (4) modifies the lamp operating cycle requirement, and (5) specifies a methodology for the recording of lamp failures. One of the key updates in IES LM–65– 14 is the modification of the ambient temperature requirement for lifetime testing. Section 4.3 of IES LM–65–14 specifies that ambient temperature shall be controlled between 15 °C and 40 °C, and that lifetime testing shall be suspended when this range is exceeded. Section 6.3 of IES LM–65–1991 stated that the ambient temperature for CFL lifetime testing should be kept within the range of 25 °C ±10 °C. Thus, the updated version only raises the maximum allowable ambient temperature by 5 °C. DOE has tentatively concluded that this change in allowable ambient temperature range would not have a significant impact on measured values of lifetime or increase test burden. E:\FR\FM\31JYP2.SGM 31JYP2 asabaliauskas on DSK5VPTVN1PROD with PROPOSALS Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules IES LM–65–14 also modifies the lamp spacing requirement of the lifetime testing rack. Section 4.5 of IES LM–65– 14 states that lamps shall be spaced to allow airflow around each lamp and notes that this is facilitated by designing open lifetime testing racks with minimal structural components to block airflow. Section 6.4 of IES LM–65–1991 had required spacing between lamps to be a minimum of 1 inch (25 millimeters) to minimize mutual heating effects. DOE has tentatively concluded that the IES LM–65–14 guideline is sufficient to ensure that there are minimal mutual heating effects. Therefore, DOE has determined that removing the specific spacing criterion would not have a significant impact on measured values or increase test burden. IES LM–65–14 also clarifies the power supply voltage waveshape requirement. Section 5.1.2 of IES LM–65–14 states that the power supply shall have a sinusoidal voltage waveshape such that the total harmonic distortion does not exceed 3 percent of the fundamental frequency when operating a purely resistive load. Section 5.2 of IES LM– 65–1991 stated that the type of the power supply used shall have a voltage wave shape such that the RMS summation of the harmonic components does not exceed 3 percent of the fundamental. DOE understands that power supplies are expected to provide a sinusoidal voltage waveshape, and that in practice industry may already use a purely resistive load to determine power supply THD. For these reasons, DOE has tentatively concluded that the clarified voltage waveshape requirement in IES LM–65–14 would not impact measured values or increase test burden. In addition, section 6.4 of IES LM–65– 14 revises the lamp operating cycle requirement to be used during CFL lifetime testing. Both versions of the standard prescribe an operating cycle of 180 minutes on and 20 minutes off; however, section 6.1 of IES LM–65– 1991 provided an allowance for other cycles to be used if the manufacturer’s recommendation or use in the field dictates. IES LM–65–14 does not contain this allowance, and effectively requires the operating cycle to be 180 minutes on and 20 minutes off. DOE believes that this cycle (180 minutes on and 20 minutes off) is industry standard and is already in use by manufacturers of MBCFLs and other CFLs. Therefore, DOE has tentatively concluded that removing the allowance of alternative operating cycles would not have a significant impact on the measured value of lifetime or increase test burden. Lastly, IES LM–65–14 specifies a more detailed methodology for VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 recording lamp failures. Section 6.5 of IES LM–65–14 requires checking for lamp failure by visual observation or automatic monitoring at an interval of no more than 1 percent of the rated lifetime; it also added that the recorded failure time shall be determined as the midpoint of the last monitored interval. Section 6.5 of IES LM–65–1991 had only included a qualitative methodology for checking for lamp failure that required monitoring lifetime test racks on a regular basis. DOE has tentatively concluded that providing a specific interval for monitoring and recording failure time would not have a significant impact on the overall measured value of lifetime or increase test burden. In addition to the previously mentioned updates, IES LM–65–14 provides recommendations and further guidance that remove a number of ambiguities in the previous version (e.g., updates to scope, instrumentation, and references). Because these proposed updates do not involve substantive changes to the test setup and methodology, but rather just clarification, DOE has tentatively concluded they would not affect lamp failure measurements or pose additional testing burden. DOE requests comments on its assessment of the updates in IES LM– 65–14 and their impacts on measured values of MBCFLs and test burden. 2. Clarifications to General Test Conditions and Setup DOE proposes to provide further clarification on general instructions for (1) instrumentation, (2) ambient temperature, (3) input voltage, (4) lamp orientation, (5) lamp seasoning, (6) lamp stabilization, (7) lifetime testing, (8) treatment of ballasted adapters, and (9) test setup for dimmable or multi-level lamps. These are clarifications to existing test methods and setup in Appendix W, and DOE has tentatively concluded that they would not impact measured values or increase test burden. DOE requests comment on the proposed clarifications to test methods and setup and the tentative conclusion that they would not have a significant impact on measured values or increase test burden. These clarifications on general instructions are discussed in detail in the following sections. a. Instrumentation Section 6.3 of IES LM–66–14 (proposed for incorporation by reference in this NOPR) and section 11.0 of IES LM–66–1991 state that a goniophotometer or integrating sphere can be used to measure lumen output, CCT, and CRI. While DOE recognizes PO 00000 Frm 00009 Fmt 4701 Sfmt 4702 45731 that the integrating sphere and goniophotometer (a goniometer fitted with a photometer as the light detector) are both valid means of photometric measurement, DOE is concerned about the potential for a difference in the measured values. The DOE test procedure must yield repeatable and reproducible results. If different parties use different test methods, the measured values may not be comparable. IES LM–66–14 also identifies several sources of measurement error related to the use of goniophotometers such as drafts introduced through goniophotometer movement and errors in the scan angles. Further, IES LM–66– 14 does not explicitly specify the scanning resolution (i.e., quantity and location of measurements around the lamp), and instead provides general guidance to prevent inaccuracies from irregular distributions. In contrast, use of an integrating sphere enables photometric characteristics of the CFL to be determined with a single measurement. For these reasons, DOE is proposing to require all photometric measurements, including lumen output, CCT, and CRI, to be carried out in an integrating sphere, rather than a goniophotometer system. Additionally, for lumen output measurements, DOE is proposing to also reference IESNA LM– 78–07, which is referenced by IES LM– 66–14 and provides more specific guidance on measuring lumen output in an integrated sphere. DOE requests comment on the proposal to require that all photometric values be measured by an integrating sphere. b. Ambient Temperature Section 4.3 of IES LM–66–14 (proposed for incorporation by reference in this NOPR) states that the ambient temperature during photometric and electrical testing must be maintained at 25 °C ±1 °C unless the CFL is designed to perform optimally under nonstandard conditions. One such example noted in IES LM–66–14 is a CFL that is used in special fixtures or locations and therefore is designed to produce maximum lumen output at elevated temperatures. IES LM–66–14 indicates that testing at non-standard conditions may be desirable to quantify performance of the CFL in its expected operating environment. Similar requirements and allowance were given in IES LM–66–1991. However, DOE analysis of manufacturer-published product literature suggests that photometric and electrical testing of MBCFLs is typically conducted at the standard 25 °C ±1 °C temperature conditions. DOE believes that allowing testing to be conducted at non-standard E:\FR\FM\31JYP2.SGM 31JYP2 45732 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules temperature conditions can introduce inconsistencies between represented values. DOE proposes to clarify in Appendix W that photometric and electrical testing of CFLs must be conducted at an ambient temperature within the range of 25 °C ±1 °C. DOE requests comment on its proposal for ambient temperature requirements for photometric and electrical testing. c. Input Voltage Section 5.1.1 of IES LM–65–14 (proposed for incorporation by reference in this NOPR) specifies that when the rated input voltage of a lamp or ballast is a range, a nominal value should be selected for lifetime testing and reported as a test condition. This allowance for selecting from a choice of input voltages, rather than requiring a specific input voltage, could result in testing variation. DOE is therefore proposing to require that if rated input voltage is a range that includes 120 volts, the CFL must be operated at 120 volts. If the CFL with multiple rated input voltages is not rated for 120 volts, the CFL must be operated at the highest rated input voltage. Specifying the input voltage to be used for testing will ensure more accurate and consistent measurements of time to failure (see section III.B.3.a). DOE requests comment on the proposed input voltage requirements. asabaliauskas on DSK5VPTVN1PROD with PROPOSALS d. Lamp Orientation As noted in section III.B.1.b, DOE proposes to clarify that lamp orientation must be maintained throughout all testing, including preparation (e.g., seasoning and preburning), storage, and handling between tests. This practice minimizes changes in lamp operating characteristics between various stages of testing and allows for more accurate and repeatable measurements. Further, maintaining lamp orientation can result in a shorter lamp stabilization period, thus reducing total testing time and subsequently testing burden. DOE requests comment on specifying that lamp orientation must be maintained throughout testing. e. Lamp Seasoning DOE proposes that the seasoning guidance in IES LM–54–12 (proposed for incorporation by reference in this NOPR) must be followed prior to the testing of all CFLs. DOE also proposes to clarify two provisions related to lamp seasoning. First, DOE is proposing to clarify in Appendix W that unit operating time during seasoning can be counted toward time to failure, lumen maintenance at 40 percent of lifetime, and lumen maintenance at 1,000 hours if the required operating cycle and test VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 conditions are satisfied as stated in the test method for time to failure (section 3.3 of Appendix W). This clarification is consistent with the specification in section 6.2.2.1 of IES LM–54–12 that lamps intended to be tested for lifetime must be cycled during seasoning (see section III.B.1.b). Further, the clarification would reduce testing burden by minimizing the overall testing time required for measuring time to failure and lumen maintenance values. The second provision related to seasoning that DOE proposes to clarify is that, if a lamp breaks, becomes defective, fails to stabilize, exhibits abnormal behavior such as swirling prior to the end of the seasoning period, or stops producing light, the lamp must be replaced with a new unit. If a lamp fails after the seasoning period, the lamp’s measurements must be included when calculating values submitted for compliance. The IES standards relevant to these test procedures do not provide specific guidance on lamp failure. However, section 6.1.2 of ANSI C78.5– 2003,17 which provides specifications on integrated CFLs and is referenced by IES LM–65–14 (proposed for incorporation by reference in this NOPR), states that ‘‘If a specimen breaks or becomes defective for reasons not as a result of the testing, the specimen shall be discarded. Similarly if a unit fails to stabilize or exhibits abnormal behavior, the lamp shall be discarded. Testing shall resume with a suitable replacement specimen procured and prepared in the same manner as the original specimen. The use of replacement specimens shall be documented in the test report.’’ Therefore, based on this industry guidance, DOE proposes to clarify that test units must be replaced if deemed defective during the seasoning period (i.e., prior to measuring initial lumen output). DOE requests comment on the proposed clarifications to the lamp seasoning methods. f. Lamp Stabilization DOE proposes to disallow the ‘‘peak’’ method provided for reference in Annex B of IES LM–66–14 (proposed for incorporation by reference in this NOPR), which can serve as a time saving alternative to the stabilization method specified in section 6.2.1. This method was also included in section 7.4 of IES LM–66–1991. However, IES LM– 66–14 states that the information in the 17 American National Standard For Electric Lamps: Specifications for Performance of SelfBallasted Compact Fluorescent lamps (approved 2003). PO 00000 Frm 00010 Fmt 4701 Sfmt 4702 Annex is not intended to be a specific recommended procedure, but is presented as reference information; it also notes that the stabilized method specified in section 6.2.1 is preferred since considerable testing and experience with a given lamp design may be required due to the number of lamp design and process variations that exist. Consequently, DOE believes that the peak method could cause inconsistent and potentially inaccurate results. DOE requests comment on disallowing use of the peak method provided for reference in Annex B of IES LM–66–14. g. Fixtures IES LM–65–14 (proposed for incorporation by reference in this NOPR) contains an allowance for fixtures to be used in CFL lifetime testing. Section 4.5 of IES LM–65–14 notes that fixtures used in applications can influence CFL lifetime, and thus allows simulated fixtures to be used in lifetime testing to approximate this effect. No such allowance was provided in IES LM–65–1991. DOE is proposing to clarify in Appendix W that the use of simulated fixtures during time to failure testing of CFLs is not allowed. Excluding this provision removes potential variation in the testing of CFLs and ensures that all CFLs are tested in a consistent manner. DOE requests comment on its proposal to disallow the time to failure testing of CFLs in a fixture. h. Ballasted Adapters DOE proposes to further clarify the proposed CFL test procedures by defining in Appendix W that the term ‘‘ballasted adapter’’ means a ballast that is not permanently attached to a CFL, has no consumer-replaceable components, and serves as an adapter by incorporating both a lamp socket and a lamp base. DOE proposes to specify in Appendix W that CFLs packaged with or designed exclusively for use with ballasted adapters must be tested as non-integrated CFLs, without the inclusion of the ballasted adapter. DOE requests comment on its proposed definition for the term ‘‘ballasted adapter,’’ and on its proposed requirement that CFLs packaged with or designed exclusively for use with ballasted adapters must be tested as non-integrated CFLs. i. Multi-Level CFLs and Dimmable CFLs Footnote 2 to the energy conservation standards table at 10 CFR 430.32(u) includes the statement that for multilevel or dimmable systems, measurements shall be at the highest E:\FR\FM\31JYP2.SGM 31JYP2 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules asabaliauskas on DSK5VPTVN1PROD with PROPOSALS setting. To consolidate text pertaining to testing, DOE proposes to remove this text from § 430.32(u), and address dimmable CFLs in the general instructions section of Appendix W. The lumen output level, and subsequently input power, can be adjusted for some CFLs (e.g., dimmable), and thus not clarifying the input power for testing these lamps can introduce testing variation. Therefore, to ensure consistent results, DOE also proposes to clarify in Appendix W that a dimmer cannot be used in the circuit. DOE requests comment on the clarification that all CFL testing must be conducted at labeled wattage, with no dimmer used in the circuit. 3. Clarifications to Definitions DOE proposes to make the following changes to the definitions provided in Appendix W: (1) Remove the existing term ‘‘average rated life’’ and add new terms ‘‘lifetime’’ and ‘‘time to failure’’; (2) remove the existing terms ‘‘initial performance values’’ and ‘‘rated luminous flux or rated lumen output’’ and add new terms ‘‘initial lamp efficacy,’’ ‘‘measured initial input power,’’ and ‘‘measured initial lumen output’’; (3) remove the existing term ‘‘rated wattage’’ and add the new term ‘‘labeled wattage’’; (4) amend the existing definition for the term ‘‘lumen maintenance’’; (5) delete the existing term ‘‘rated supply frequency’’; and (6) remove the existing term ‘‘self-ballasted compact fluorescent lamp’’ and add new terms ‘‘integrated compact fluorescent lamp’’ and ‘‘non-integrated compact fluorescent lamp.’’ Because the proposed changes are clarifications to existing definitions and only provide further guidance for existing test procedures and amended test procedures proposed in this NOPR, DOE has tentatively concluded that they would not impact measured values or increase test burden. DOE requests comment on the proposed changes to definitions in Appendix W and the tentative conclusion that they would not have a significant impact on measured values or test burden. These definitional clarifications are discussed in detail in the following sections. DOE also proposes to add definitions that are discussed in later sections. Specifically, DOE proposes to add definitions in Appendix W for the terms ‘‘ballasted adapter,’’ ‘‘hybrid compact fluorescent lamp,’’ ‘‘percent variability,’’ ‘‘power factor,’’ ‘‘start plateau,’’ and ‘‘start time.’’ These definitions support the proposed test procedures included in Appendix W for new CFL metrics and new CFL categories, and are addressed in sections III.B.2.h (ballasted VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 adapter), III.B.4.a (power factor), III.B.4.c (percent variability, start plateau, and start time), and III.B.5.c (hybrid compact fluorescent lamp). a. Average Rated Life DOE proposes to remove the term ‘‘average rated life’’ and adopt the terms ‘‘lifetime of a compact fluorescent lamp’’ and ‘‘time to failure.’’ Currently, ‘‘average rated life’’ is defined in Appendix W as the length of time declared by the manufacturer at which 50 percent of any large number of units of a lamp reaches the end of their individual lives. The definition of ‘‘average rated life’’ makes only general reference to the sample size for time to failure testing (i.e., large number of units) when an actual minimum sample size of 10 units is prescribed in DOE’s existing sampling plan at 10 CFR 429.35. Further, DOE believes the use of the word ‘‘average’’ in the term ‘‘average rated life’’ may be confusing because the definition describes the process by which lifetime is determined, i.e., lifetime is, by definition, a median value. DOE also notes that the term ‘‘average rated life,’’ while defined in Appendix W, is not otherwise used in Appendix W or in specifications of existing MBCFL energy conservation standards. Further, the term ‘‘rated life’’ is used as a descriptor in Appendix W but is not defined. Therefore, DOE proposes to remove the terms ‘‘average rated life’’ and ‘‘rated life’’ in Appendix W and add definitions for ‘‘lifetime of a compact fluorescent lamp’’ in 10 CFR 430.2 and ‘‘time to failure’’ in Appendix W. The term ‘‘lifetime of a compact fluorescent lamp’’ denotes a measured value based on a sample of lamps; this term would provide sampling requirements and specify that the median value must be used. The term ‘‘time to failure’’ would support the revised definition of lifetime. In order to develop the definition for ‘‘lifetime of a compact fluorescent lamp,’’ DOE reviewed the EPCA definition of lifetime in 42 U.S.C. 6291(30)(P). This statutory definition states that lifetime means the length of operating time of a statistically large group of lamps between first use and failure of 50 percent of the group in accordance with test procedures described in the IES Lighting Handbook—Reference Volume. Therefore, consistent with the statutory definition in EPCA, DOE proposes to define ‘‘lifetime of a compact fluorescent lamp’’ as the time to failure of 50 percent of the sample size (as defined and calculated in 10 CFR 429.35) in accordance with the test PO 00000 Frm 00011 Fmt 4701 Sfmt 4702 45733 procedures described in of section 3.3 of Appendix W. DOE also proposes to define ‘‘time to failure’’ in Appendix W to support the proposed definition of lifetime of a compact fluorescent lamp. ‘‘Time to failure’’ in the context of CFLs is the time elapsed between first use and the point at which the lamp fully extinguishes and no longer creates light. DOE proposes to define ‘‘time to failure’’ as the time elapsed between first use and the point at which the CFL stops operating. This definition aligns with the definition of lamp failure in section 8.2 of ANSI/IES RP–16–14.18 As noted in section III.B.1.c, DOE proposes to reference IES LM–65–14 for lifetime testing of CFLs. Section 3.0 of IES LM–65–14 specifies the terms ‘‘lamp failure,’’ ‘‘lamp life,’’ and ‘‘rated lamp life.’’ However, DOE is specifically proposing the above terms, ‘‘time to failure’’ and ‘‘lifetime of compact fluorescent lamp’’ to support its proposed lifetime testing of CFLs and align with terminology used in other lamp test procedures. While the definitions in section 3.0 of IES LM–65– 14 are not incorrect, to avoid confusion regarding terminology when executing the lifetime test procedure for CFLs, DOE proposes that section 3.0 of IES LM–65–14 be disregarded and the above proposed definitions be used for lifetime testing of CFLs. DOE requests comment on the proposal to remove the term ‘‘average rated life’’ and add definitions of ‘‘lifetime of a compact fluorescent lamp’’ and ‘‘time to failure.’’ b. Initial Performance Values Currently, ‘‘initial performance values’’ is defined in Appendix W as the photometric and electrical characteristics of the lamp at the end of 100 hours of operation. Such values include the initial efficacy, the rated luminous flux, and the rated lumen output. This term is not used, and conflicts with elements of other terms defined in section 2 of the existing Appendix W. To resolve these issues, and to provide specific guidance on calculations required in the test procedures, DOE proposes to (1) delete the term ‘‘initial performance values’’; (2) add a definition for the term ‘‘initial lamp efficacy’’; (3) add a definition for the term ‘‘measured initial input power’’; (4) delete the term ‘‘rated luminous flux or rated lumen output’’; and (5) add a definition for the term ‘‘measured initial lumen output.’’ 18 Nomenclature and Definitions for Illuminating Engineering (approved 2010). E:\FR\FM\31JYP2.SGM 31JYP2 asabaliauskas on DSK5VPTVN1PROD with PROPOSALS 45734 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules DOE proposes that the ‘‘initial lamp efficacy’’ is the lamp efficacy at the end of the seasoning period, which is calculated by dividing the measured initial lumen output of a lamp by its measured initial input power. Initial lamp efficacy would be expressed in lumens per watt (lm/W). In addition, DOE proposes to define ‘‘measured initial input power’’ as the root mean square (RMS) input power to the lamp, measured at the end of the lamp seasoning period, and expressed in watts (W). These definitions provide further guidance on the calculation of initial lamp efficacy. DOE proposes to delete the term ‘‘rated luminous flux or rated lumen output’’ in Appendix W. This term is defined in Appendix W as the initial lumen rating (100 hour) declared by the manufacturer, which consists of the lumen rating of a lamp at the end of 100 hours of operation. This term could be misinterpreted as a nominal rating, similar to other nominal ratings marked on a lamp and/or its packaging (e.g., wattage, voltage, or supply frequency). Therefore, to provide greater clarity in the definition and application of the term ‘‘lumen maintenance,’’ DOE proposes to remove the term ‘‘rated luminous flux or rated lumen output’’ and add the term ‘‘measured initial lumen output’’ to more clearly distinguish measured initial values from nominal rated values. DOE proposes to define ‘‘measured initial lumen output’’ in Appendix W as the lumen output of the lamp measured at the end of the lamp seasoning period, expressed in lumens (lm). In summary, DOE proposes to no longer define the terms ‘‘initial performance values’’ and ‘‘rated luminous flux or rated lumen output,’’ and proposes definitions for ‘‘initial lamp efficacy,’’ ‘‘measured initial input power,’’ and ‘‘measured initial lumen output.’’ These terms clarify the measurements of CFL initial performance values, and eliminate the need for the terms ‘‘initial performance values’’ and ‘‘rated luminous flux or rated lumen output.’’ DOE requests comment on deletion of the terms ‘‘initial performance values’’ and ‘‘rated luminous flux or rated lumen output,’’ and addition of the terms ‘‘initial lamp efficacy,’’ ‘‘measured initial input power,’’ and ‘‘measured initial lumen output.’’ c. Lumen Maintenance DOE proposes to amend the definition of the term ‘‘lumen maintenance’’ to clarify that calculated lumen maintenance values are based on measured lumen output. ‘‘Lumen VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 maintenance’’ is defined in Appendix W as the luminous flux or lumen output at a given time in the life of the lamp and expressed as a percentage of the rated luminous flux or rated lumen output, respectively. The term ‘‘lumen maintenance’’ does not clearly distinguish between rated and measured values. As noted in section III.B.3.b, DOE proposes to remove the term ‘‘rated luminous flux or rated lumen output’’ and add the term ‘‘measured initial lumen output,’’ which clearly specifies these to be measured values. DOE proposes to implement this change in the term ‘‘lumen maintenance’’ to clarify the definition and application of the term ‘‘lumen maintenance.’’ In summary, DOE proposes to define ‘‘lumen maintenance’’ in Appendix W as the lumen output measured at a given time in the life of the lamp and expressed as a percentage of the measured initial lumen output, respectively. DOE requests comment on its proposed clarification of the definition for ‘‘lumen maintenance.’’ d. Rated Supply Frequency DOE proposes to remove from Appendix W the definition of the term ‘‘rated supply frequency’’ because Appendix W does not use this term. DOE requests comment on the proposed removal of the definition of ‘‘rated supply frequency.’’ e. Rated Wattage DOE proposes to change the term ‘‘rated wattage’’ to ‘‘labeled wattage’’ and amend the definition to clarify its applicability to multi-level (i.e., multipower) and dimmable CFLs. Currently, in Appendix W ‘‘rated wattage’’ is defined as the wattage marked on the lamp. The term is intended to denote the wattage marked on the lamp that should be used to determine the applicable minimum efficacy requirement for existing MBCFL energy conservation standards as specified in 10 CFR 430.32(u). To avoid confusion with different usage of the term ‘‘rated wattage’’ in ANSI standards for nonintegrated CFLs, DOE proposes to use the term ‘‘labeled wattage’’ rather than ‘‘rated wattage’’ to denote the wattage marked on a CFL. Further, as discussed in section III.B.2.i, multi-level and dimmable CFLs can operate over a range of wattages, and the existing MBCFL energy conservation standards at 10 CFR 430.32(u) as well as the test procedures proposed in this rule prescribe that measurements be conducted at the lamp’s highest power setting. The current definition of ‘‘rated wattage’’ PO 00000 Frm 00012 Fmt 4701 Sfmt 4702 does not provide clear direction on how to measure multi-level and dimmable lamps. Therefore, DOE proposes to remove this definition and define ‘‘labeled wattage’’ as the highest wattage marked on the lamp and/or lamp packaging. DOE requests comment on the proposed clarification to the definition of ‘‘labeled wattage.’’ f. Self-Ballasted Compact Fluorescent Lamp The term ‘‘self-ballasted compact fluorescent lamp’’ is defined in Appendix W as a CFL unit that incorporates, permanently enclosed, all elements that are necessary for the starting and stable operation of the lamp, and does not include any replaceable or interchangeable parts. The terms self-ballasted CFL, integrally ballasted CFL, and integrated CFL are used interchangeably in industry to identify a CFL in which all the elements for starting and stable operation are permanently enclosed within the lamp structure, enabling the lamp to be connected directly to a branch circuit through an ANSI base and socket. DOE proposes to remove the definition of ‘‘self-ballasted compact fluorescent lamp’’ and add a new definition of ‘‘integrated compact fluorescent lamp’’ as an integrally ballasted CFL that contains all components necessary for the starting and stable operation of the lamp, does not include any replaceable or interchangeable parts, and is connected directly to a branch circuit through an ANSI base and corresponding ANSI standard lamp-holder (socket). To support the proposed test procedures for additional categories of CFLs, DOE also proposes to define the term ‘‘non-integrated compact fluorescent lamp’’ in Appendix W as a CFL that is not integrated. DOE requests comment on the proposed removal of the term ‘‘self-ballasted compact fluorescent lamp’’ and addition of the new term ‘‘integrated compact fluorescent lamp,’’ and on the proposed new definition of ‘‘non-integrated compact fluorescent lamp.’’ 4. Test Procedures for Existing and New Metrics The following sections detail proposed new and amended test procedures for new and existing metrics. In addition, as noted in sections III.I.1 through III.I.3, DOE proposes to move all lamp orientation specifications from 10 CFR 429.35 to Appendix W in order to consolidate test requirements. E:\FR\FM\31JYP2.SGM 31JYP2 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules a. Test Procedures for Initial Lamp Efficacy, Lumen Maintenance, CCT, CRI, and Power Factor DOE proposes to continue to include test procedures for measuring initial lamp efficacy and lumen maintenance in Appendix W. In addition, DOE proposes to include test procedures for measuring CCT, CRI, and power factor in Appendix W. DOE proposes that test conditions and setup for measuring initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, CCT, CRI, and power factor be as specified in IES LM–66–14 (proposed for incorporation by reference in this NOPR). Appendix W currently does not explicitly state how initial lamp efficacy and lumen maintenance values should be measured and calculated. DOE proposes to clarify its existing method for measuring and calculating the initial lamp efficacy and lumen maintenance values in Appendix W. Specifically, DOE proposes to state in Appendix W that initial lamp efficacy must be the measured initial lumen output divided by the measured initial input power; lumen maintenance at 1,000 hours must be the measured lumen output at 1,000 hours divided by the measured initial lumen output; and lumen maintenance at 40 percent of lifetime must be the measured lumen output at 40 percent of lifetime of a compact fluorescent lamp divided by the measured initial lumen output. DOE requests comment on clarifications to measuring initial lamp efficacy and lumen maintenance values. DOE proposes that the test procedures for initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, CCT, and CRI apply to integrated and non-integrated lamps. DOE proposes that the test procedure for power factor only apply to integrated lamps. The following sections discuss in more detail the new metrics proposed to be measured in accordance with IES LM– 66–14: CCT, CRI, and power factor. asabaliauskas on DSK5VPTVN1PROD with PROPOSALS Correlated Color Temperature (CCT) DOE proposes to establish a test procedure for measuring CCT in Appendix W. The term correlated color temperature is defined in 10 CFR 430.2 as the absolute temperature of a blackbody whose chromaticity most nearly resembles that of the light source. DOE proposes to add the abbreviation ‘‘CCT’’ to this definition as explained in section III.C.2. DOE proposes that CCT must be measured and calculated in accordance with IES LM–66–14, which references VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 CIE 15:2004 (3rd edition), ‘‘Colorimetry.’’ As noted, IES LM–66–14 is the industry reference test method for electrical and photometric measurements of CFLs. CIE 15:2004 is an internationally accepted industry standard that provides recommendations concerning basic colorimetry. CIE 15:2004 was previously incorporated by reference in a test procedure final rule published on July 6, 2009 for general service fluorescent lamps, incandescent reflector lamps, and general service incandescent lamps (hereafter ‘‘2009 GSFL, IRL, and GSIL Test Procedure’’). 74 FR 31829, 31834 (July 6, 2009). DOE proposes in this NOPR to incorporate CIE 15:2004 by reference for Appendix W. DOE requests comment on its proposed test procedure for measuring CCT. Color Rendering Index (CRI) DOE proposes to establish a test procedure for measuring CRI in Appendix W. The term color rendering index or ‘‘CRI’’ is defined 10 CFR 430.2 as the measured degree of color shift objects undergo when illuminated by a light source as compared with the color of those same objects when illuminated by a reference source of comparable color temperature. DOE proposes that CRI must be measured and calculated in accordance with IES LM–66–14, which references CIE 13.3–1995, ‘‘Method of Measuring and Specifying Colour Rendering Properties of Light Sources.’’ As noted, IES LM–66–14 is the industry reference test method for the electrical and photometric measurements of CFLs, and CIE 13.3–1995 is an internationally accepted industry standard that provides guidance on measuring CRI. CIE 13.3–1995 was previously incorporated by reference in the 2009 GSFL, IRL, and GSIL Test Procedure. 74 FR 31834 (July 6, 2009). DOE proposes in this NOPR to incorporate CIE 13.3– 1995 by reference for Appendix W. DOE requests comment on the proposed test procedure for CRI. Power Factor DOE proposes to establish a test procedure for measuring power factor in Appendix W. Currently, DOE does not define power factor for CFLs. DOE proposes to define the term ‘‘power factor’’ in Appendix W as the measured RMS input power (watts) divided by the product of the measured RMS input voltage (volts) and the measured RMS input current (amps). This proposed definition aligns with the definition for power factor in the industry reference for power quality requirements of lighting equipment, ANSI C82.77–10– PO 00000 Frm 00013 Fmt 4701 Sfmt 4702 45735 2014.19 Section 5 of the ANSI standard states that power factor is calculated by dividing input power (expressed in watts) by the product of the RMS input voltage and current. DOE proposes that power factor be required only for integrated CFLs. Power factor is a metric directly related to the ballast component of the lamp. Non-integrated CFLs are tested on reference ballasts (see section III.B.5.b for further details) and can be paired with multiple ballasts of varying performance in practice, and therefore, a measurement of a power factor would not be an accurate representation of an non-integrated CFL. DOE proposes that the power factor of an integrated CFL be determined based on electrical measurements conducted in accordance with section 5.0 of IES LM–66–14. DOE requests comment on the proposed definition and test procedure for power factor. b. Test Procedures for Time to Failure and Rapid Cycle Stress DOE proposes to include test procedures for measuring time to failure and conducting rapid cycle stress testing in Appendix W for integrated and non-integrated CFLs. DOE proposes that test conditions, setup, measurement of time to failure, and rapid cycle stress testing be as specified in IES LM–65–14 (proposed for incorporation by reference in this NOPR). As noted in section III.G.4 and III.G.5, respectively, DOE proposes to move text relating to rapid cycle stress testing and measurement of lifetime from 10 CFR 430.32(u) into Appendix W. DOE proposes to retain its existing operating cycle for rapid cycle stress testing, i.e., that CFLs must be cycled continuously with each cycle consisting of one 5-minute on period followed by one 5-minute off period. DOE requests comment on the proposed test procedures for measuring time to failure and rapid cycle stress testing. c. Test Procedure for Start Time DOE proposes to establish a test procedure for measuring start time in Appendix W. Currently, DOE does not define start time for CFLs. In determining the definition and test procedure for start time of a CFL, DOE reviewed the August 2013 ‘‘ENERGY STAR® Program Requirements Product Specification for Lamps Version 1.0: Start Time Test Method’’ 20 (hereafter 19 American National Standard for Lighting Equipment—Harmonic Emission Limits—Related Power Quality Requirements (approved August 15, 2014). 20 ENERGY STAR® Program Requirements Product Specification for Lamps Version 1.0: Start E:\FR\FM\31JYP2.SGM Continued 31JYP2 asabaliauskas on DSK5VPTVN1PROD with PROPOSALS 45736 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules ‘‘ENERGY STAR Start Time Test Method’’), which still applies to the current ENERGY STAR Lamps Specification v1.1. DOE found the definitions and test methods described to be valid and an accurate representation of the start time for a CFL. Based on this method, DOE proposes to define the term ‘‘start time’’ in Appendix W as the time, measured in milliseconds, between the application of power to the CFL and the point when the measured full-cycle lumen output (the average value of the sampled waveform over an interval corresponding to one full cycle of sinusoidal input voltage) reaches 98 percent of the average measured lumen output of the start plateau. IES LM–28–12,21 the general guide to using electrical instruments in photometric laboratories, states that fluorescent lamps can oscillate at twice the fundamental frequency of the lamp input (i.e., line) voltage. IES LM–28–12 also recommends that a minimum of one complete cycle (not half cycle) of the line frequency be used because the waveform may not be exactly the same for the positive and negative phase of the line cycle. DOE understands that using shorter cycles such as half cycles in lamps with such asymmetry could result in inaccurate measurements. To further clarify the definition of start time, DOE proposes to define the terms ‘‘start plateau’’ and ‘‘percent variability.’’ in Appendix W. DOE proposes to define the term ‘‘start plateau’’ in Appendix W as the first 100 millisecond period of operation during which the percent variability does not exceed 5 percent and the average measured lumen output is at least 10 percent of the measured initial lumen output. Section 9.1 of the ENERGY STAR Start Time Test Method gives the starting profile for an example CFL. No sinusoidal oscillation is evident in the blue trace of light output for this example; consequently, DOE understands the diagram presents moving-average values, where each point along the trace is the average of sampled waveform values for some measurement interval. No scale is provided for the x-axis in the figure, but the period of the 50 Hz input voltage cycle is 20 milliseconds, and a start time of 18 milliseconds is also indicated at 98 percent of the ‘‘initial’’ plateau; Time Test Method, August 2013. www.energystar.gov/sites/default/files/specs// ENERGY%20STAR%20Lamps%20V1% 200%20Final%20Test%20Methods%20and% 20Recommended%20Practices.pdf. 21 IES Guide for Selection, Care and Use of Electrical Instruments in the Photometric Laboratory (approved December 5, 2012). VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 although the plateau duration is not indicated, it can be seen to persist for at least three power cycles, or 60 milliseconds. DOE proposes using a period of 100 milliseconds to calculate percent variability for determination of the start plateau; DOE selected this value to evenly capture either 5 or 6 full cycles of the sampled waveform (for 50 or 60 Hz input voltage, respectively). DOE additionally proposes using the term ‘‘start plateau’’ in lieu of the ENERGY STAR term ‘‘initial plateau’’ to avoid confusion between startup characteristics and initial performance characteristics. DOE proposes to add the term ‘‘percent variability’’ in Appendix W, defined as the range (calculated by subtracting the minimum from the maximum) expressed as a percentage of the mean for the contiguous set of separate lumen output measurements spanning the specified time period, where each lumen output measurement is the average value of the sampled waveform over an interval corresponding to one full cycle of sinusoidal input voltage. For example, 5 measurements at 20 millisecond intervals would span the 100 millisecond period of the start plateau at 50 Hz input voltage; if the interval average was 10.0 lumens for each of the first four measurements and 12.0 lumens for the fifth measurement, then the percent variability would be 19 percent (not yet sufficiently stable) for the first 100 millisecond period of operation. In this way, definition of the term ‘‘percent variability’’ enables determination of the start plateau. The 5 percent and 10 percent thresholds proposed for percent variability in the proposed start time definition were determined based on start time testing conducted by DOE for a variety of CFLs; a summary of the testing and results can be found in the docket for this rulemaking. DOE proposes that start time only be measured for integrated CFLs. Start time is a metric directly related to the ballast component of the lamp and therefore could vary depending on the ballast used in practice. For test setup and conditions for measuring start time, DOE proposes to reference IES LM–66– 14. As noted, IES LM–66–14 is the industry reference test method for the electrical and photometric measurements of CFLs. DOE proposes to adopt the measurement circuit requirements specified in section 5.2 of IES LM–66–14 for start time testing of integrated CFLs. DOE proposes that after seasoning, units must be stored at 25 °C ±5 °C ambient temperature for a minimum of 16 hours prior to testing, PO 00000 Frm 00014 Fmt 4701 Sfmt 4702 after which the ambient temperature must be 25 °C ±1 °C for a minimum of 2 hours prior to testing. To further align with ENERGY STAR requirements, DOE also proposes that any units that have been off for more than 24 hours must be operated for 3 hours and then be turned off for 16 to 24 hours prior to testing. DOE proposes that lumen output measurements be taken as specified in section 6.3.1 of IES LM–66–14. DOE proposes that a multichannel oscilloscope with data storage capability be connected to record the input voltage to the CFL and its lumen output. DOE proposes that the power supply must be set as proposed in section III.B.2.c, and the oscilloscope must be set to trigger at 10 volts lamp input voltage. DOE proposes that the oscilloscope vertical scale be set such that vertical resolution is 1 percent of measured initial lumen output or finer. Similarly, DOE proposes that the oscilloscope be set to sample the lumen output waveform at a minimum rate of 2 kHz. ENERGY STAR requires a minimum 2 kHz sampling rate for flicker testing,22 and DOE understands that this requirement would also provide sufficient horizontal resolution for start time testing. DOE proposes that upon trigger for start time testing, the sampled lumen output waveform must be recorded until the measured lumen output has reached the start plateau. In addition, DOE proposes that the trace of full-cycle lumen output be calculated as a moving average, whereby values are determined at least once every millisecond and each value represents the full-cycle interval in which it is centered. As specified in the proposed definition, the start time is then determined as the time in milliseconds to reach 98 percent of the average measured lumen output of the start plateau. DOE requests comment on the proposed test procedure for start time and the proposed definitions for the terms ‘‘start time,’’ ‘‘start plateau,’’ and ‘‘percent variability.’’ DOE also requests comment on the summary of start time testing and results that can be found in the docket for this rulemaking. 5. Test Procedures for New CFL Categories a. Test Procedures for Integrated CFLs DOE proposes to specify test procedures to measure the applicable 22 ENERGY STAR® Program Requirements Product Specification for Lamps Version 1.0—Light Source Flicker Recommended Practice. August 2013. Washington, DC. www.energystar.gov/sites/ default/files/specs//ENERGY%20STAR% 20Lamps%20V1%200%20Final%20Test% 20Methods%20and%20Recommended% 20Practices.pdf. E:\FR\FM\31JYP2.SGM 31JYP2 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules asabaliauskas on DSK5VPTVN1PROD with PROPOSALS metrics for integrated CFLs. As noted in section II, DOE is considering revising and/or developing standards in the ongoing GSL standards rulemaking for integrated CFLs including but not limited to MBCFLs. The definition of ‘‘integrated compact fluorescent lamp’’ that DOE is proposing in Appendix W (see section III.B.3.f) does not specify base type. Therefore, the test procedures proposed in Appendix W for integrated CFLs will apply to all integrated CFLs, including MBCFLs. DOE requests comment on its proposal that integrated CFLs with medium screw bases and other base types are to follow the same test procedures. b. Test Procedures for Non-Integrated CFLs DOE proposes to specify test procedures for metrics applicable to non-integrated CFLs in Appendix W. As noted in section III.B.4.a, DOE proposes to adopt the measurement circuit requirements specified in section 5.2 of IES LM–66–14 (proposed for incorporation by reference in this NOPR) for electrical and photometric testing of non-integrated CFLs. Further, DOE proposes that non-integrated CFLs must be tested using the appropriate reference ballasts as specified in section 5.2 of IES LM–66–14. Specifically, DOE proposes that reference ballasts specifications listed in ANSI_IEC C78.901–2014, ‘‘American National Standard for Electric Lamps—SingleBased Fluorescent Lamps—Dimensional and Electrical Characteristics,’’ (hereafter ‘‘ANSI_IEC C78.901–2014’’) must be used. Therefore, DOE proposes to incorporate by reference ANSI_IEC C78.901–2014. DOE requests comment on its proposed requirement that nonintegrated CFLs be tested using reference ballasts that meet ANSI_IEC C78.901–2014 specifications, except as noted. DOE is aware that certain nonintegrated CFL designs do not have reference ballast specifications listed in ANSI_IEC C78.901–2014. For these lamp designs, DOE has provided reference ballast specifications in Appendix W to reduce testing variation. In cases where there are no reference ballast specifications for a lower wattage CFL, DOE specified the reference ballast specifications of the corresponding full wattage version, if they existed. For all other cases, DOE developed specifications by matching the shape, diameter, and base of the CFL without reference ballast specifications to the most similar CFL with specifications that also had the closest wattage. DOE also proposes that manufacturers employ these two principles to apply VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 the appropriate reference ballast specifications where none are provided in ANSI_IEC C78.901–2014 or specified in Appendix W. DOE requests comment on its proposed requirement that if not listed in ANSI_IEC C78.901–2014 or Appendix W, reference ballast specifications must be based on existing reference ballast specifications for the most similar lamp in ANSI_IEC C78.901–2014 or for the higher wattage lamp it is intended to replace. To reduce testing variation in Appendix W, DOE also proposes several clarifications and specifications. Some non-integrated CFLs can be operated on more than one type of circuit. DOE proposes to specify that when nonintegrated CFLs can be operated on a low frequency or high frequency circuit, they are to be tested at low frequency. DOE has found that lamp efficacy can vary depending on if the lamp is operated at high frequency or low frequency. DOE therefore proposes that non-integrated CFLs are to be tested at low frequency to ensure consistency and comparability across testing results. DOE requests comment on the proposed requirement that non-integrated CFLs are to be tested at low frequency when a choice is available between low and high frequency reference ballast specifications. In addition, DOE proposes that nonintegrated CFLs rated for multiple circuit types (e.g., preheat or rapid start, instant start or rapid start) must be tested on rapid start circuits when possible to ensure consistent measurements. DOE has found that lamp efficacy can vary depending on the circuit type for testing. Therefore, DOE proposes that non-integrated CFLs that are rated for operation on a choice of preheat or rapid start circuits must be tested on rapid start circuits. Similarly, DOE proposes that non-integrated CFLs that are rated for operation on a choice of instant start or rapid start circuits must be tested on rapid start circuits. DOE requests comment on its proposal that non-integrated CFLs be tested on a rapid start circuit if rated for operation on (a) a choice of instant start or rapid start circuits, or (b) a choice of preheat or rapid start circuits. c. Test Procedures for Hybrid CFLs DOE proposes to establish a test procedure to measure the applicable metrics for hybrid CFLs in Appendix W. DOE considers hybrid CFLs to be CFLs with an additional light source of a different technology that is not the primary source of light. DOE proposes to define the term ‘‘hybrid compact fluorescent lamp’’ in Appendix W as a CFL that incorporates one or more PO 00000 Frm 00015 Fmt 4701 Sfmt 4702 45737 supplemental light sources of different technology. While DOE has only identified hybrid CFLs that are integrated, based on this definition a hybrid CFL could be either an integrated or non-integrated CFL. For hybrid CFLs capable of operation with both the fluorescent and supplemental light sources turned on, DOE considered proposing to apply a weighting of 7 percent to the efficacy of the lamp with both light sources on, and a weighting of 93 percent to the efficacy of the lamp with only the fluorescent light source on. DOE developed this weighting using the estimated average daily operating hours estimated for CFLs in the residential sector (1.9 hours),23 the estimated average number of times a CFL is turned on per day (4 times),24 and an estimated operation period of the supplemental light source of certain hybrid CFLs each time the hybrid CFL is turned on (120 seconds). The efficacy of the hybrid CFL would then be the sum of the weighted efficacy measured with both the fluorescent and supplementary light sources on, and the weighted efficacy measured with only the fluorescent light source on. However, DOE believes some hybrid CFLs might not fully stabilize when both the fluorescent and supplementary light sources are on, possibly presenting challenges in terms of measurement repeatability. Additionally, DOE has found at least one configuration where it may not be possible to turn on only the fluorescent light source. Therefore, DOE determined that the approach described above may not produce accurate and repeatable measurements for a majority of hybrid CFLs, and decided not to propose this methodology for testing hybrid CFLs. Instead, DOE proposes that hybrid CFLs must be tested with all supplemental light sources turned off, if possible, and that the lamp must be stabilized in the operating mode that corresponds to its labeled wattage, according to test procedures proposed for CFLs in Appendix W. DOE has tentatively determined that this is the most consistent manner in which the 23 U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Office, Solid-State Lighting Program. Residential Lighting End-Use Consumption Study: Estimation Framework and Initial Estimates. December 2012. Washington, DC. https:// apps1.eere.energy.gov/buildings/publications/pdfs/ ssl/2012_residential-lighting-study.pdf. 24 Jump, C. et al. Welcome to the Dark Side: The Effect of Switching on CFL Measure Life. ACEEE 2008 Summer Study on Energy Efficiency in Buildings. 2008. Asilomar, CA, August 17–22. American Council for an Energy-Efficient Economy. www.eceee.org/library/conference_proceedings/ ACEEE_buildings/2008/Panel_2/2_111/paper. E:\FR\FM\31JYP2.SGM 31JYP2 45738 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules asabaliauskas on DSK5VPTVN1PROD with PROPOSALS required metrics for hybrid CFLs can be measured. DOE requests comment on the proposed definition of hybrid CFLs and to test hybrid CFLs according to test procedures for non-hybrid CFLs. 6. Test Procedure for Standby Mode Power DOE proposes to establish a test procedure to measure standby mode power for CFLs, where applicable, in Appendix W. EPCA directs DOE to amend its test procedures for all covered products to incorporate a measure of standby and off mode energy consumption in accordance with IEC 62301 and IEC 62087, if technically feasible. (42 U.S.C. 6295(gg)(2)) EPCA defines the three modes that consumer products can be in as: (1) Active mode, (2) standby mode, and (3) off mode. (42 U.S.C. 6295(gg)(1)) DOE incorporated EPCA’s definitions for active, standby, and off modes into 10 CFR 430.2. Active mode is defined as the condition in which an energy-using product is connected to a main power source, has been activated, and provides one or more main functions. Standby mode is defined as the condition in which an energy using product is connected to a main power source and offers one or more of the following useroriented or protective functions: (1) To facilitate the activation or deactivation of other functions (including active mode) by remote switch (including remote control), internal sensor, or timer; or (2) continuous functions, including information or status displays (including clocks) or sensor-based functions. Off mode is defined as the condition in which an energy using product is connected to a main power source and is not providing any standby or active mode function. DOE research indicates that there are integrated CFLs incorporating either wireless controls or photocells integral to integrated CFLs. DOE did not find non-integrated CFLs that are capable of standby mode operation. Certain ballasts associated with a non-integrated lamp may be capable of a standby mode. However, this proposed test procedure covers performance of the lamp and not the lamp-and-ballast system. In addition, the controls and power requirements associated with the standby mode would be found in the ballast and not the non-integrated lamp itself. In conclusion, DOE has tentatively determined that integrated CFLs can operate in standby mode but not off mode, and non-integrated CFLs cannot operate in either standby or off mode. Consistent with EPCA’s requirements in 42 U.S.C. 6295(gg)(2), DOE proposes in this NOPR to include VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 standby mode power in its test procedures for integrated CFLs. DOE also proposes that standby mode power for integrated CFLs be measured in accordance with IEC 62301. Therefore, DOE proposes to approve IEC 62301, which is already incorporated by reference in 10 CFR 430.3, for Appendix W. DOE proposes that the test conditions and setup be as prescribed in IEC 62301, except for ambient temperature and ambient airflow. DOE proposes instead to prescribe the ambient temperature and ambient airflow requirements in IES LM–66–14 (proposed for incorporation by reference in this NOPR), to minimize differences between test procedures for active mode and standby mode. DOE also proposes to season lamps in the same manner as for the other proposed test procedures, as described in section III.B.2.e. DOE notes that the method of measuring standby mode power consumption prescribed in section 5 of IEC 62301 is to be followed for the testing of standby mode power. Standby mode must be initiated when the CFL is connected to the power supply and lumen output is set to zero via remote or other wireless/ sensor control, prior to taking measurements. DOE requests comment on its proposed test procedure for standby mode power of integrated CFLs, and on its proposal to season lamps according to requirements in the proposed active mode test procedures prior to taking measurements. DOE also requests comment on its assessment that integrated CFLs can operate in standby mode but not off mode, and that nonintegrated CFLs cannot operate in either standby or off mode. 7. Rounding Values DOE proposes to amend certain rounding requirements for existing metrics. Section 3 of the existing Appendix W specifies rounding of values; rounding requirements for individual units in a given test sample are inconsistent with rounding requirements for the test sample as a whole. Measurements are recorded at the resolution of the test instrumentation and calculations to the same number of significant digits as the previous step. While final values for initial efficacy must be rounded to one decimal place, final values for lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of rated life, rapid cycle stress test surviving units, and lifetime must be rounded to whole numbers. However, existing standards for lumen maintenance at 1,000 hours (90.0 percent) and lumen maintenance at 40 percent of lifetime (80.0 percent) PO 00000 Frm 00016 Fmt 4701 Sfmt 4702 are at one decimal place precision in 10 CFR 430.32(u). DOE proposes to specify rounding requirements for represented values in 10 CFR 429.35. Further, DOE proposes to revise the rounding requirements for lumen maintenance at 1,000 hours and lumen maintenance at 40 percent of lifetime to be to the nearest tenth, and for rapid cycle stress test surviving units to be to the nearest whole number, to align with existing standards for these metrics. DOE proposes to specify that lifetime of a compact fluorescent lamp be rounded to the nearest hour. Additionally, DOE proposes rounding requirements for new metrics, also to be specified in 10 CFR 429.35. Based on a review of manufacturer catalogs, DOE proposes that CRI be rounded to the nearest whole number, CCT to the nearest 100 kelvins (K), and power factor to the nearest hundredth. These rounding requirements are consistent with other lighting technologies. DOE also proposes that the represented value of start time be rounded to the nearest whole number in milliseconds based on the requirements specified in ENERGY STAR Lamps Specification v1.1 and the ENERGY STAR Start Time Test Method. DOE confirmed the rounding requirement for start time was reasonable based on the precision of commercially available equipment. For standby mode power, DOE proposes rounding to the nearest tenth of a watt, as it believes this to be an achievable level of accuracy. DOE requests comment on its proposed rounding requirements for metrics. C. Amendments to Definitions at 10 CFR 430.2 DOE proposes to revise the definition in 10 CFR 430.2 for the existing term ‘‘correlated color temperature,’’ and to create a definition for the term ‘‘compact fluorescent lamp.’’ The following sections detail these proposed changes. DOE is also proposing a definition for ‘‘lifetime of a compact fluorescent lamp’’ (see section III.B.3.a. for further details) in 10 CFR 430.2. DOE also expects to propose amendments to the term ‘‘basic model’’ to include CFLs, but has tentatively determined that these amendments should be proposed as part of the GSL standards rulemaking, to align the product-specific definition of ‘‘basic model’’ with any additional metrics proposed in that rulemaking. 1. Compact Fluorescent Lamp DOE proposes to add the term ‘‘compact fluorescent lamp’’ at 10 CFR 430.2. While the term ‘‘compact fluorescent lamp’’ is currently E:\FR\FM\31JYP2.SGM 31JYP2 asabaliauskas on DSK5VPTVN1PROD with PROPOSALS Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules referenced in the EPCA and DOE definitions of ‘‘general service lamp,’’ ‘‘medium base compact fluorescent lamp,’’ and ‘‘self-ballasted compact fluorescent lamp,’’ compact fluorescent lamp is not itself defined either in EPCA or by DOE. As discussed in section III.B.5, DOE is proposing test procedures for CFLs including both non-integrated and integrated CFLs. Therefore, in this NOPR, DOE proposes a definition for ‘‘compact fluorescent lamp.’’ DOE reviewed its definitions for other lighting products and considered the existing definition of the term ‘‘fluorescent lamp’’ as a basis for its proposed definition of ‘‘compact fluorescent lamp.’’ DOE defines a fluorescent lamp as a low pressure mercury electric-discharge source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light, and explicitly limits the definition to six specific categories of double-based linear fluorescent lamps. 10 CFR 430.2 In comparison, DOE’s existing definition of the term ‘‘medium base compact fluorescent lamp’’ does not describe the lamp’s operating principles, but rather its physical characteristics (integrated, medium screw base), rated input voltage range (115–130 V), intended application, and lamp designs excluded from the definition. DOE believes a more general CFL definition, similar to DOE’s definition of the term ‘‘fluorescent lamp,’’ is the most suitable to support DOE’s coverage of additional CFL categories. DOE also considered current IES definitions of ‘‘compact fluorescent lamp’’ contained in ANSI/IES RP–16–14 and IES LM–66–14 (proposed for incorporation by reference in this NOPR). Section 6.5.6.1.4 of ANSI/IES RP–16–14 defines a CFL as a fluorescent lamp with a small diameter glass tube (T5 or less) that is folded, bent, or bridged to create a long discharge path in a small volume; it also states that CFL designs generally include an amalgam and a cold chamber, or a cold spot to control the mercury vapor pressure and light output. The introduction to IES LM–66–14 provides a similar definition, but clarifies that CFLs are single-based lamps, and excludes circline (circularshaped) and U-bent (U-shaped) lamps (which are included in IES LM–9–09, ‘‘Electrical and Photometric Measurements of Fluorescent Lamps’’). Unlike DOE’s more general fluorescent lamp definition, the IES CFL definitions focus less on basic operational principles and more on specific physical characteristics. VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 DOE considered whether specific physical characteristics should be included in the definition of CFL. In addition to the lamp tube diameter and lamp geometry elements of the IES definitions, DOE also considered including a maximum overall lamp length of 21 inches, which was the greatest lamp length observed in DOE’s review of commercially available nonintegrated CFLs. A disadvantage to including detailed physical dimensions or descriptions of lamp geometry in a definition is that it may exclude future CFL form factors. However, DOE considers the single-based lamp construction specified in the IES LM– 66–14 CFL definition to be a defining characteristic of common CFL designs. DOE therefore proposes to define a CFL as a single-based lamp. DOE also considered whether Ushaped lamps and circline lamps should be included in the definition of CFL. As discussed, IES LM–66–14 specifically excludes U-shaped and circline fluorescent lamps from its CFL definition. The statutory and DOE definition for general service fluorescent lamp (GSFL) includes U-shaped lamps, and in the current energy conservation standards rulemaking for GSFLs, DOE considers circline lamps to be GSFLs as well.25 Therefore, DOE proposes to explicitly exclude circline and Ushaped lamps from its proposed definition for CFL, as they are considered GSFLs. Specifically, DOE proposes to define ‘‘compact fluorescent lamp’’ as an integrated or non-integrated single-base, low-pressure mercury, electricdischarge source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light; however, the term does not include circline or Ushaped fluorescent lamps. DOE also proposes to clarify that the term may be abbreviated ‘‘CFL,’’ thereby enabling use of this common initialism. The proposed definition of CFL aligns with the existing fluorescent lamp definition by describing the general lamp operating principles, and incorporates the salient feature of the IES definitions by describing the distinguishing physical characteristic of single-based lamp construction. It is able to encompass all categories of CFLs, including hybrid CFLs, while specifying the characteristics unique to a CFL. DOE requests comment on its proposed 25 GSFL–IRL Preliminary Analysis, Technical Support Document, Chapter 2—Analytical Framework, 2013–02–28 (https://eere.energy.gov/ buildings/appliance_standards/rulemaking.aspx/ ruleid/24). PO 00000 Frm 00017 Fmt 4701 Sfmt 4702 45739 definition of the term ‘‘compact fluorescent lamp.’’ 2. Correlated Color Temperature DOE proposes to clarify the definition of ‘‘correlated color temperature’’ in 10 CFR 430.2 by adding the abbreviation ‘‘CCT,’’ similar to the inclusion of ‘‘CRI’’ in the definition for ‘‘color rendering index.’’ The initialism ‘‘CCT’’ is widely used in industry as well as by ENERGY STAR and in 10 CFR part 430, subpart B, appendix R. DOE proposes this change to support the inclusion of this metric in the proposed new and amended test procedures for CFLs. DOE requests comment on the proposed clarification of the term ‘‘correlated color temperature.’’ D. Amendments to Materials Incorporated by Reference at 10 CFR 430.3 As noted in preceding sections of this NOPR, DOE proposes to incorporate by reference portions of a number of industry test methods in support of the proposed new and amended test procedures for CFLs. In section III.B.1, DOE proposed to incorporate by reference portions of IES LM–54–12, IES LM–65–14, and IES LM–66–14; none of these three test methods are presently listed in 10 CFR 430.3. In section III.B.4.a, DOE proposed to incorporate by reference portions of CIE 13.3–1995 and CIE 15:2004. In section III.B.5.b, DOE proposed to incorporate by reference portions of ANSI_IEC C78.901–2014. In section III.B.6, DOE proposed to incorporate by reference portions of IEC 62301. All four of these test methods are presently listed in 10 CFR 430.3 but require reference to Appendix W. DOE requests comment on its proposed incorporation by reference of portions of these eight test methods in support of the proposed new and amended test procedures for CFLs. E. Amendments to 10 CFR 430.23(y) DOE proposes to revise and add text at 10 CFR 430.23(y) to reflect the proposed changes detailed in section III.B of this NOPR. The existing text at 10 CFR 430.23(y) indicates that for MBCFLs, the initial efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40-percent of rated life, and lamp life must be measured, and the rapid cycle stress test conducted, in accordance with section 4 of appendix W of this subpart. DOE proposes to delete the text medium base to reflect the inclusion of additional CFL categories. DOE also proposes to require that specific sections of Appendix W be used as follows: Initial lamp efficacy, lumen E:\FR\FM\31JYP2.SGM 31JYP2 45740 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, CRI, CCT, and power factor must be measured in accordance with section 3.2; time to failure must be measured and rapid cycle stress test must be conducted in accordance with section 3.3; start time must be measured in accordance with section 3.4; and standby mode power must be measured in accordance with section 4. DOE requests comment on the proposed amendments to 10 CFR 430.23(y). F. Amendments to Laboratory Accreditation Requirements at 10 CFR 430.25 DOE proposes to amend 10 CFR 430.25 to extend the laboratory accreditation requirements for MBCFL testing to additional CFL categories and metrics covered under its proposed new and amended test procedures. Specifically, DOE proposes to replace the text ‘‘medium base compact fluorescent lamps’’ with the text ‘‘compact fluorescent lamps’’ and also that if a manufacturer’s or importer’s laboratory is accredited it may conduct the applicable testing. DOE requests comment on the proposed amendments to 10 CFR 430.25. asabaliauskas on DSK5VPTVN1PROD with PROPOSALS G. Clarifications to Energy Conservation Standard Text at 10 CFR 430.32(u) MBCFL energy conservation standards are codified in a table at 10 CFR 430.32(u). Certain language in the MBCFL energy conservation standards table provides clarification relevant to test procedures (e.g., sampling, test methods, and test calculations). While this clarifying language is not in conflict with the specifications in the test procedures for MBCFLs contained in Appendix W and in 10 CFR 429.35, DOE proposes to modify the text in the MBCFL energy conservation standards table to remove specific test procedure language and instead reference the relevant parts of the MBCFL test procedures. In addition, in the introductory paragraph of 10 CFR 430.32(u), DOE proposes to replace the text bare lamp and covered lamp with the text bare or covered, to align with existing text in 10 CFR 429.35. DOE considers these revisions to be clarifications that do not modify the energy conservation standards. Revisions to specific metrics in the table at 10 CFR 430.32(u) are described in the sections that follow. DOE requests comment on the proposed amendments to the energy conservations standards for MBCFLs at 10 CFR 430.32(u) that remove test procedure specifications and align the language with existing and VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 proposed terminology in Appendix W and 10 CFR 429.35. 1. Initial Lamp Efficacy DOE proposes to amend the first column of the table in 10 CFR 430.32(u) by replacing the seven instances of the text ‘‘lamp power’’ with the text ‘‘labeled wattage.’’ DOE also proposes to amend the last two sentences of footnote 1, which pertains to labeled wattage. DOE proposes to delete the current text in footnote 1 that indicates to use wattages placed on packaging to select proper specification efficacy in this table, not measured wattage, and that labeled wattages are for reference only. DOE proposes to replace this language with text indicating to use labeled wattage to determine the appropriate minimum efficacy requirements in this table, to not use measured wattage for this purpose. These revisions clarify that the labeled wattage must be used to determine the applicable standard (see section III.B.3.e regarding proposed definition of ‘‘labeled wattage’’). DOE also proposes to remove the first two sentences from footnote 1, which currently indicate that performance and electrical requirements must be taken at the end of the 100-hour aging period according to ANSI Standard C78.5, and that the lamp efficacy shall be the average of the lesser of the lumens per watt measured in the base up and/or other specified positions. These are sampling and calculation specifications that are provided in more detail and clarity in Appendix W and 10 CFR 429.35. Additionally, DOE proposes to correct initial lamp efficacy requirements for covered lamps with no reflector in the table in 10 CFR 430.32(u). Specifically DOE proposes to amend the first column of the table by replacing the greater than or equal to operators in the eighth and ninth rows (addressing lamps rated at least 15 W but less than 25 W) with less than or equal to operators. These changes would clarify the intended continuity from category to category (grouped by labeled wattage). DOE proposes replacing the text in the second row of the second column (which indicates that the six values in the next rows correspond to minimum efficacy and lumens/watt based upon initial lumen data) with text that indicates these six values correspond to minimum initial lamp efficacy, expressed in lumens per watt. The data upon which initial lamp efficacy must be based are specified in Appendix W. In addition, as detailed in sections III.B.2.i and III.I.1, DOE proposes to remove the text from footnote 2 indicating that for multi-level or PO 00000 Frm 00018 Fmt 4701 Sfmt 4702 dimmable systems, measurements shall be at the highest setting, and acceptable measurement error is ±3%. DOE proposes to address dimmable systems and measurement error in Appendix W and 10 CFR 429.35, respectively, thereby clarifying the test procedures. DOE also proposes to remove footnote 2, which indicates that efficacies are based on measured values for lumens and wattages from pertinent test data, and that wattages and lumens placed on packages may not be used in calculation and are not governed by this specification. DOE proposes to make these amendments in order to maintain Appendix W and 10 CFR 429.35 as the main references for test procedure requirements, thereby avoiding confusion and ambiguity regarding the source of pertinent test data. DOE considers these proposed revisions to the energy conservation standards requirements table to be clarifications that align with the existing test procedures and do not modify the energy conservation standards. 2. Lumen Maintenance at 1,000 Hours DOE proposes to amend the text for 1,000-hour lumen maintenance in the second column of the table in 10 CFR 430.32(u), which indicates that the average of at least 5 lamps must be a minimum 90.0 percent of initial (100hour) lumen output at 1,000 hours of rated life. DOE proposes to delete this text and to only state the standard (≥90.0 percent). Complete sampling requirements are provided in 10 CFR 429.35, and complete test procedures are provided in Appendix W. In addition, DOE proposes to replace the text in the first column of this row to read lumen maintenance at 1,000 hours. This provides a more specific label of the metric and corresponds with the terminology used in the test procedures. DOE considers these proposed revisions to the energy conservation standards table to be clarifications that do not modify the energy conservation standards. 3. Lumen Maintenance at 40 Percent of Lifetime DOE proposes to amend the text for lumen maintenance in the second column of the table in 10 CFR 430.32(u), which indicates 80.0 percent of initial (100-hour) rating at 40 percent of rated life (per ANSI C78.5 Clause 4.10). DOE proposes to delete this text and state only the standard (≥80.0 percent). The reference to ANSI C78.5 Clause 4.10 only reiterates the requirement that lumen maintenance at 40 percent of lifetime shall not be less than 80 E:\FR\FM\31JYP2.SGM 31JYP2 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules percent, and is therefore unnecessary. Further, the test procedures for lumen maintenance are provided in more detail and complete form in Appendix W. In addition, DOE proposes to replace the text in the first column of this row to read lumen maintenance at 40 percent of lifetime. This provides a more specific label of the metric and corresponds with the terminology used in the test procedures. DOE considers these proposed revisions to the energy conservation standards to be clarifications that do not modify the energy conservation standards. asabaliauskas on DSK5VPTVN1PROD with PROPOSALS 4. Rapid Cycle Stress Test DOE proposes to amend the text in the second column of the table for rapid cycle stress test in 10 CFR 430.32(u). DOE proposes to delete the first two sentences of this text, which indicate that testing must be conducted as per ANSI C78.5 and IESNA LM–65 (clauses 2, 3, 5, and 6) except cycle times must be 5 minutes on and 5 minutes off. DOE proposes to state that each lamp must be cycled once for every 2 hours of lifetime and at least 5 lamps must meet or exceed the minimum number of cycles. ANSI C78.5 does not address rapid cycle stress testing, and DOE proposes to incorporate by reference IES LM–65 in the test procedures proposed in this NOPR. DOE proposes to address these test specifications in Appendix W instead, thereby avoiding confusion and ambiguity by maintaining Appendix W as the main reference for test procedures. DOE considers these proposed revisions to the energy conservation standards requirements table to be clarifications that do not modify the energy conservation standards. 5. Lifetime As detailed in section III.B.3.a, DOE proposes to amend 10 CFR 430.32(u) by deleting the term ‘‘average rated lamp life’’ and replacing it with the term ‘‘lifetime.’’ In addition, DOE proposes to amend the text in the second column of this row, which indicates that lifetime must be ≥6,000 hours as declared by the manufacturer on packaging, and that at 80 percent of rated life, statistical methods may be used to confirm lifetime claims based on sampling performance. DOE proposes to remove this text and state only the standard (≥6,000 hours). DOE proposes to no longer allow the use of statistical methods at 80 percent of rated life to determine the represented value of lifetime. DOE is proposing to allow manufacturers to submit annual certifications of lifetime based on an estimated value followed by full VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 certification once lifetime testing is completed (see section III.H for details). H. Amendments to Certification Report Requirements DOE recognizes that testing of CFL lifetime and lumen maintenance at 40 percent of lifetime requires considerably more time than testing of other required CFL metrics. Currently, MBCFLs may be marketed before completion of testing for lifetime and lumen maintenance at 40 percent of lifetime with supporting engineering predictions and analysis, pursuant to 42 U.S.C. 6293(b)(12)(C). DOE proposes to allow new basic models of CFLs to be distributed prior to completion of the full testing for lifetime and lumen maintenance at 40 percent of lifetime, as well as for the rapid cycle stress test because it is also dependent on lifetime. Similar to treatment of GSFLs and incandescent reflector lamps in 10 CFR 429.12(e)(2), DOE proposes that prior to distribution of the new basic model of CFL, manufacturers must submit an initial certification report. If testing for time to failure is not complete, manufacturers may include estimated values for lifetime, lumen maintenance at 40 percent of lifetime, and rapid cycle stress surviving units. If reporting estimated values, the certification report must state the description of the prediction method and the prediction method must be generally representative of the methods specified in appendix W. Manufacturers are also required to maintain records per 10 CFR 429.71 of the development of all estimated values and any associated initial test data. If reporting estimated values, the certification report must indicate that the values are estimated until testing for time to failure is complete. If, prior to completion of testing, a manufacturer ceases to distribute in commerce a basic model, the manufacturer must submit a full certification report and provide all of the information listed in 10 CFR 429.12(b), including the productspecific information required by 10 CFR 429.35(b)(2), as part of its notification to DOE that the model has been discontinued. DOE requests comment on the proposed changes to the certification report requirements. I. Amendments to 10 CFR 429.35 The text of the 10 CFR 429.35 title currently addresses bare or covered (no reflector) medium base compact fluorescent lamps. DOE proposes to remove this text and identical text found in § 429.35(a)(1) and § 429.35(a)(2), and replace it with the text ‘‘compact fluorescent lamps’’ to PO 00000 Frm 00019 Fmt 4701 Sfmt 4702 45741 reflect the proposed inclusion of additional CFL categories. In addition, to support the proposed new and amended test procedures in Appendix W, DOE proposes to clarify and amend the sampling requirements for existing and new metrics, including standby mode power, and to provide clarification on reuse of samples. DOE has tentatively concluded that these clarifications and amendments would not have a significant impact on measured values or test burden. DOE requests comment on the proposed clarifications to sampling requirements for initial lamp efficacy, lumen maintenance, rapid cycle stress test, and lifetime, and the tentative conclusion that they would not have a significant impact on measured values or test burden. These proposed changes to sampling requirements are discussed in detail in the following sections. 1. Initial Lamp Efficacy and Lumen Maintenance Currently, in 10 CFR 429.35, sampling requirements are specified for efficacy, 1,000-hour lumen maintenance, and lumen maintenance. DOE proposes to replace the terms efficacy, 1,000-hour lumen maintenance, and lumen maintenance, respectively, with the terms initial lamp efficacy, lumen maintenance at 1,000 hours, and lumen maintenance at 40 percent of lifetime. Further, DOE proposes to include language that specifies that for each sample unit, a measured value for each metric must be determined. This addition will clarify that the mean and lower confidence limit (LCL) calculations must be applied to measured values of each metric. DOE also proposes to create a separate sampling requirement section for initial efficacy in order to include an allowance of 3 percent tolerance on the represented value of this metric until the compliance date of any amended energy conservation standards for MBCFLs.26 MBCFL energy conservation standards are codified in 10 CFR 430.32(u) and include footnotes that provide clarification on test procedures. Footnote 2 includes the statement that acceptable measurement error is ±3%. Because this statement pertains to measurement of initial lamp efficacy, DOE proposes to remove this statement from the table in 10 CFR 430.32(u), as noted in section III.G.1, and to reflect this provision instead in an amendment to 10 CFR 429.35. Specifically, DOE proposes to state that, to account for measurement error, 26 The provision would not be applicable for early certification to the proposed GSL standards. E:\FR\FM\31JYP2.SGM 31JYP2 asabaliauskas on DSK5VPTVN1PROD with PROPOSALS 45742 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules the represented value for MBCFL initial lamp efficacy may include 3 percent added to the lower of (a) the mean of the sample and (b) the lower 97.5 percent LCL of the true mean divided by 0.95. For example, if the mean of the sample is the lower value at 60.0 lumens per watt, then the 1.03 multiplier could be applied to yield a represented value for initial lamp efficacy of 61.8 lumens per watt. DOE has tentatively concluded that this clarification will not result in a significant impact to measured values. In addition, DOE proposes to amend 10 CFR 429.35 to clarify that the 3 percent tolerance is only applicable to MBCFLs, and only until the compliance date of any amended energy conservation standards for MBCFLs if adopted by the ongoing GSL standards rulemaking. DOE requests comment on its proposed amendments to 10 CFR 429.35 regarding the existing allowance for measurement error of initial lamp efficacy. Additionally, DOE proposes to expand the sample size from a minimum of 5 units to a minimum of 10 units for initial lamp efficacy, 1,000 hour lumen maintenance, and lumen maintenance at 40 percent of lifetime. DOE also proposes to require that half of the units are tested base up and half of the units are tested base down, rather than testing all units base up as currently required. DOE further proposes to specify that if more than 10 units are tested as part of the sample for these three metrics, the total number of units must be a multiple of two so that an equal number of units can be tested base up and base down. Testing in both the base up and base down positions provides an accurate representation of performance under both orientations since the end-use orientation is unknown. Because the current sampling requirements already require at least 10 units for determining lifetime, and initial lamp efficacy and lumen maintenance values can be determined in the course of time to failure testing, DOE has tentatively concluded that the proposed sampling size would not be overly burdensome for manufacturers. Further, DOE is proposing to require the use of the same samples for representations of lifetime and lumen maintenance values (see section III.I.5 for details). Additionally, this sampling plan is consistent with the sampling requirements for these metrics in the current ENERGY STAR Lamps Specification v1.1. As noted in section III.B.4, DOE proposes to move all lamp orientation text from § 429.35 to Appendix W in order to consolidate test requirements. DOE therefore proposes to specify in section 3.2.1.1 of Appendix W that half VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 of the units must be tested in the base up position, and half of the units must be tested in the base down position; if the position is restricted by the manufacturer, units must be tested in the manufacturer specified position. DOE also proposes to specify in 10 CFR 429.35 that any represented value of lumen maintenance at 40 percent of lifetime must be based on a lifetime value that is equal to or greater than the represented value of lifetime. DOE also proposes to specify in 10 CFR 429.35 that any represented value of initial lamp efficacy be expressed in lumens per watt and rounded to the nearest tenth; any represented value of lumen maintenance at 1,000 hours be expressed as a percentage and rounded to the nearest tenth; and any represented value of lumen maintenance at 40 percent of lifetime be expressed as a percentage and rounded to the nearest tenth. DOE requests comment on its proposed rounding requirements. 2. Rapid Cycle Stress Testing DOE proposes to restrict the sample size for rapid cycle stress testing to an exact number of units. Currently, the sampling size for rapid cycle stress testing is specified at 10 CFR 429.35(a)(2)(ii) as no less than 6 unique units. DOE proposes to specify that exactly 6 unique units must be tested per basic model for rapid cycle stress testing. This proposed specification will minimize confusion and improve consistency in the number of samples used for testing. This proposed sampling requirement would also align with the sample size requirement for rapid cycle stress testing in the ENERGY STAR Lamps Specification v1.1. As noted in section III.B.4, DOE proposes to move all lamp orientation text from 10 CFR 429.35 to Appendix W in order to consolidate test requirements; the relevant text for rapid cycle stress testing currently indicates that each unit can be tested in the base up or base down position as stated by the manufacturer. To align with other test procedures, DOE proposes to specify in section 3.3.1.1 of Appendix W that half of the units must be tested in the base up position, and half of the units must be tested in the base down position; if the position is restricted by the manufacturer, units must be tested in the manufacturer-specified position. DOE also proposes to specify at a new paragraph in 10 CFR 429.35 that any represented value of rapid cycle stress test surviving units must be based on a lifetime value that is equal to or greater than the represented value of lifetime. DOE also proposes to specify in 10 CFR PO 00000 Frm 00020 Fmt 4701 Sfmt 4702 429.35 that any represented value of the results of rapid cycle stress testing be expressed in the number of surviving units. DOE requests comment on its proposed rounding requirements. 3. Lifetime of a Compact Fluorescent Lamp DOE proposes to clarify the sampling requirements for lifetime of a compact fluorescent lamp, including the position in which lamps are tested. Currently, 10 CFR 429.35(a)(2)(iii) states that no less than 10 units per basic model must be used when testing for the average rated lamp life, and that half the sample should be tested in the base up position and half of the sample should be tested in the base down position, unless specific use or position appears on the packaging of that particular unit. As noted in section III.B.3.a, DOE proposes to replace the term ‘‘average rated lamp life’’ with the term ‘‘lifetime of a compact fluorescent lamp.’’ In addition, DOE proposes amendments to align the sampling requirements for lifetime with the sampling requirements for initial lamp efficacy and lumen maintenance. DOE proposes to specify within the sampling requirements for lifetime, that if more than 10 units are tested as part of the sample, the total number of units must be a multiple of two. DOE also proposes to specify how the time to failure value determined per Appendix W must be used to determine the represented value of lifetime. Specifically, DOE proposes the lifetime of a compact fluorescent lamp must be calculated by determining the median time to failure of the sample (calculated as the arithmetic mean of the time to failure of the two middle sample units when the numbers are sorted in value order). DOE also proposes to reference section 3.3 of Appendix W in the sampling requirements for lifetime to clarify the use of the time to failure test procedure when determining lifetime. DOE also proposes to specify in 10 CFR 429.35 that any represented value of lifetime be expressed in hours and rounded to nearest whole number. DOE requests comment on its proposed rounding requirements. As noted in section III.B.4, DOE proposes to move all lamp orientation text from § 429.35 to Appendix W in order to consolidate test requirements. DOE therefore proposes to specify in section 3.3.1.1 of Appendix W that half of the units must be tested in the base up position and half of the units must be tested in the base down position, but that if the position is restricted by the manufacturer, units must be tested in the manufacturer-specified position. E:\FR\FM\31JYP2.SGM 31JYP2 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules asabaliauskas on DSK5VPTVN1PROD with PROPOSALS 4. New Metrics As discussed in section III.B.4, DOE is proposing test procedures for measuring new metrics including CRI, power factor, CCT, start time, and standby mode power. For CRI, power factor, CCT, and standby mode power, DOE proposes to require a sample size of at least 10 (half base up and half base down). Testing in both the base up and base down positions provides an accurate representation of performance under both orientations since the enduse orientation is unknown. DOE also proposes to specify within the sampling requirements for CRI, power factor, CCT, and standby mode power, that, if more than 10 units are tested as part of the sample, the total number of units must be a multiple of two. DOE proposes to specify the same sampling requirements for CRI and power factor as those specified for initial lamp efficacy, lumen maintenance at 1,000 hours, and lumen maintenance at 40 percent of lifetime in 10 CFR 429.35. Thus, for CRI and power factor, DOE proposes that representations of these metrics be equal to the lesser of the mean of the sample and the 97.5 percent LCL divided by 0.95. Since higher values are desirable for CRI and power factor, use of the lesser of the mean and LCL ensures that a representative value is reported. Because there are no targeted upper or lower bound values for CCT, DOE proposes to specify in 10 CFR 429.35 that representations of CCT be the mean of the sample. For the start time, DOE proposes a sample size of three units. DOE believes this is an appropriate sample size to determine an accurate value for the lamp start time. Further, DOE proposes that representations be equal to the greater of the mean of the sample and the 97.5 percent upper confidence limit (UCL) divided by 1.05, since lower values are desirable. DOE proposes to describe the sampling requirements for start time in 10 CFR 429.35. For standby mode power, DOE proposes to specify in 10 CFR 429.35 a sample size of at least 10 units, consistent with that used for the active mode power metric, initial lamp efficacy. DOE proposes that representations be equal to the greater of the mean of the sample and the 97.5 percent UCL divided by 1.05, since lower values are desirable. DOE has tentatively concluded that the proposed sampling size for CRI, power factor, CCT, start time, and standby mode power would not increase test burden on manufacturers. The current sampling requirements already VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 require 10 units for determining lifetime, and several of these metrics (e.g., CRI, CCT, and power factor values) can be determined in the course of time to failure testing. Additionally, this sampling plan is consistent with the sampling requirements for these metrics in the ENERGY STAR Lamps Specification v1.1. DOE requests comment on the proposed sampling requirements for CRI, power factor, CCT, start time, and standby mode power and the preliminary determination that these requirements do not increase test burden on manufacturers. DOE proposes to specify in 10 CFR 429.35 that any represented value of CCT be expressed in kelvins (K) and rounded to the nearest 100; any represented value of standby mode power be expressed in watts and rounded to the nearest tenth; any represented value of CRI be rounded to the nearest whole number; and any represented value of power factor be rounded to the nearest hundredths place. Further DOE proposes to specify in 10 CFR 429.35 any represented value of start time be expressed in milliseconds and rounded to the nearest whole number. DOE requests comment on its proposed rounding requirements. 5. Reuse of Samples DOE proposes to specify in 10 CFR 429.35 that the same sample of units must be used to determine initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CRI, CCT, power factor, start time, and standby mode power. DOE believes that using the same sample units for all metrics reduces testing burden. For example, lifetime and lumen maintenance testing are inherently lengthy procedures, involving thousands of hours of lamp operation. Avoiding duplicate sets of long-term sample units could therefore reduce the effort and resources required for testing. DOE requests comment on its proposed clarifications and amendments to the reuse of samples. J. Federal Trade Commission (FTC) Labeling Requirements DOE is proposing to add provisions to 10 CFR 429 to support FTC’s labeling program. DOE is including provisions for initial lumen output, input power, correlated color temperature, estimated annual energy cost, and life (in years) to enable FTC to allow manufacturers to submit data through DOE’s Compliance Certification Management System (CCMS) for the FTC labeling requirements. The measurements required for these metrics are already PO 00000 Frm 00021 Fmt 4701 Sfmt 4702 45743 described in Appendix W because they support other metrics described in this test procedure. For example, initial lumen output and input power (a standalone metric and also part of the calculation for estimated annual energy cost) are the two quantities required to calculate initial lamp efficacy. Furthermore, the life (expressed in years) is determined by dividing the lifetime by an average operating hour value specified by FTC. Both initial lamp efficacy and lifetime are metrics already required by DOE and described in detail throughout this test procedure. DOE proposes modifications to 10 CFR 429.35 to support the addition of provisions for initial lumen output, input power, correlated color temperature, estimated annual energy cost, and life (expressed in years). K. Effective Date and Compliance Dates If adopted, the effective date for the test procedures proposed in this NOPR would be 30 days after publication of the CFL test procedure final rule in the Federal Register. The compliance date for an amended or new test procedure is 180 days after publication of the final rule. (42 U.S.C. 6293(c)(2)) DOE proposes that after the effective date and prior to the compliance date of a CFL test procedure final rule, manufacturers may voluntarily begin to make representations with respect to the energy use or efficiency of CFLs (including but not limited to MBCFLs) using the results of testing pursuant to that final rule. On or after 180 days after publication of a final rule, any representations including certifications of compliance (if required), made with respect to the energy use or efficiency of CFLs (including but not limited to MBCFLs) must be made in accordance with the results of testing pursuant to the proposed new and amended test procedures. DOE requests comment on the proposed effective date and compliance dates for the proposed new and amended CFL test procedures. 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. E:\FR\FM\31JYP2.SGM 31JYP2 45744 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules 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 (Aug. 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: https://energy.gov/ gc/office-general-counsel. DOE reviewed the proposed rule to amend the test procedures for CFLs 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. 1. Small Business Manufacturers of Covered Products The Small Business Administration (SBA) has set a size threshold for electric lamp manufacturers to describe those entities that are classified as ‘‘small businesses’’ for the purposes of the Regulatory Flexibility Act. DOE used the SBA’s small business size standards to determine whether any small manufacturers of CFLs would be subject to the requirements of the rule. 65 FR 30836, 30849 (May 15, 2000), as amended at 65 FR 53533, 53545 (Sept. 5, 2000) and codified at 13 CFR part 121. The size standards are listed by North American Industry Classification System (NAICS) code and industry descriptions are available at www.sba.gov/content/small-businesssize-standards. In a final rule published in March 2011 for certification, compliance, and enforcement (2011 CCE final rule), DOE identified NAICS code 335110, ‘‘Electric Lamp Bulb and Part Manufacturing,’’ for MBCFLs. 76 FR 12422, 12488 (March 7, 2011). Although the 2011 CCE final rule focused on MBCFLs, the NAICS code 335110 is applicable to all CFLs, including but not limited to MBCFLs. The SBA sets a threshold of 1,000 employees or less for an entity to be considered as a small business for NAICS code 335110. DOE conducted a focused inquiry of manufacturers of products covered by this rulemaking. During its market survey, DOE used all available public information to identify potential small manufacturers. DOE’s research involved the review of DOE’s Compliance Certification Database, the ENERGY STAR databases, individual company Web sites, and marketing research tools (e.g., Hoovers.com, Manta.com) to create a list of companies that manufacture CFLs covered by this rulemaking. Using these sources, DOE identified 159 distinct manufacturers of CFLs (integrated and non-integrated lamps). DOE then reviewed these data to determine whether the entities met the SBA’s definition of a small business manufacturer of covered lighting products and screened out companies that do not offer products covered by this rulemaking, do not meet the definition of a ‘‘small business,’’ or are foreign owned and operated. Based on this review, DOE has identified 26 manufacturers that would be considered small businesses. Through this analysis, DOE determined the expected impacts of the rule on affected small businesses and whether an IRFA was needed (i.e., whether DOE could certify that this rulemaking would not have a significant economic impact on a substantial number of small entities). Table IV.1 stratifies the small businesses according to their number of employees. The smallest company has 1 employee and the largest company 167 employees. Annual revenues associated with these small businesses were estimated at $269 million ($10.4 million average annual sales per small business). According to DOE’s analysis, small businesses comprise 16 percent of the entire CFL manufacturing industry covered by the proposed rule. TABLE IV.1—SMALL BUSINESS SIZE BY NUMBER OF EMPLOYEES Number of small businesses asabaliauskas on DSK5VPTVN1PROD with PROPOSALS Number of employees 1–10 ........................................................................................................................... 11–20 ......................................................................................................................... 21–30 ......................................................................................................................... 31–40 ......................................................................................................................... 41–50 ......................................................................................................................... 51–60 ......................................................................................................................... 61–70 ......................................................................................................................... 71–80 ......................................................................................................................... 81–90 ......................................................................................................................... 91–100 ....................................................................................................................... 101–150 ..................................................................................................................... 151–200 ..................................................................................................................... 201–300 ..................................................................................................................... 301–400 ..................................................................................................................... 401–500 ..................................................................................................................... 501–1,000 .................................................................................................................. 9 4 2 4 1 2 0 1 1 0 1 1 0 0 0 0 Total .................................................................................................................... Percentage of small businesses Cumulative percentage 26 DOE assessed elements (testing methodology, testing times and sample size) in the proposed test procedure amendments that could affect costs VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 associated with complying with this rule. The following is a synopsis of changes and analysis of costs associated with this proposed rulemaking. PO 00000 Frm 00022 Fmt 4701 Sfmt 4702 34.6 15.4 7.7 15.4 3.8 7.7 0.0 3.8 3.8 0.0 3.8 3.8 0.0 0.0 0.0 0.0 2. Burden Related to Proposed Amendments to Appendix W DOE’s analysis of burden for Appendix W focused on updates to E:\FR\FM\31JYP2.SGM 31JYP2 34.6 50.0 57.7 73.1 76.9 84.6 84.6 88.5 92.3 92.3 96.2 100.0 100.0 100.0 100.0 100.0 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules industry test methods, test procedures scope of coverage, proposed new test procedures, and sample size. a. Updates to Industry Test Methods DOE proposes in this NOPR to incorporate by reference the latest versions of industry test methods relevant to CFL performance measurements, which would collectively replace the test procedures adopted from the August 2001 version of the ENERGY STAR program requirements for CFLs that is incorporated by reference in DOE’s existing MBCFL test procedures. DOE proposes to incorporate by reference the latest IES and CIE industry test methods contained in the current ENERGY STAR Lamps Specification v1.1. Further, DOE proposes to incorporate these latest industry test methods directly, instead of indirectly through an ENERGY STAR reference as in the existing test procedures. These updated test methods provide revised procedures and do not require additional equipment. Therefore, updating the test methods should not increase the burden. asabaliauskas on DSK5VPTVN1PROD with PROPOSALS b. Test Procedures Scope of Coverage This notice proposes test procedures that cover all CFLs and not just the MBCFLs currently covered by the existing test procedures. The additional scope of coverage will increase burden compared to the existing burden. DOE analyzes the cost of testing the additional CFL categories in the analysis of burden. c. Proposed New Test Procedures DOE’s proposed amendments to Appendix W include additional elements not currently addressed in Appendix W. The additional testing for power factor, start time, and standby mode power will increase the labor and energy burden compared to the existing burden. DOE analyzes the costs of these additional metrics in the analysis of burden. As previously stated in this NOPR, DOE is also considering proposing test procedures for CCT and CRI in support of the ongoing GSL standards rule. DOE does not believe that the additional metrics of CCT or CRI will increase burden because the data to calculate the metrics can be measured at the same time and without additional setup and labor as the lumen output measurements. Further, most manufacturers already measure, calculate, and report these values as part VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 of Lighting Facts labels and specification sheets and, in many cases, participation in the ENERGY STAR program. d. Sample Size In addition to the change in scope of coverage and the additional tests added to the proposed test procedures, Appendix W also proposes to increase the sample size of lamps being tested. Many of the sample sizes would increase from 5 to 10 which will increase burden. DOE analyzes the costs associated with increased sample size in the analysis of burden. e. Analysis of Burden To determine the costs, DOE analyzed the labor cost and the cost of electricity for the different measurements discussed in the proposed test procedure. To determine the cost of labor, DOE reviewed the 2012 median pay for electrical and electronic engineering technicians ($57,850), electrical and electronics engineers ($89,630) and electro-mechanical technicians ($51,820) based on data published by the U.S. Department of Labor Bureau of Labor Statistics.27 The average annual salary of $66,433 was divided by 1,920 hours per year (40 hours per week for 48 weeks per year) to develop an hourly rate of $34.60. The hourly labor rate was increased 31.3 percent 28 to account for benefits,29 yielding an estimated total hourly labor rate of $45.43. The cost of labor was then calculated by multiplying the estimated hours of labor by the total hourly labor rate. To determine the cost of electricity, DOE used the labeled wattage of integrated lamps or referred to a ballast catalog for non-integrated lamps. The wattage value was multiplied by the estimated operating time needed to complete the required testing to determine the energy use of the lamp during testing. The energy use of the lamp during testing was then multiplied 27 United States Department of Labor. Bureau of Labor Statistics Occupational Outlook Handbook. Washington, DC. (Last accessed February 25, 2015.) www.bls.gov/ooh/Architecture-and-Engineering/ home.htm. 28 Obtained from the Bureau of Labor Statistics News Release: Employer Cost For Employee Compensation—December 2014, U.S. Department of Labor (December 2014) www.bls.gov/news.release/ ecec.nr0.htm. 29 Additional benefits include paid leave, supplemental pay, insurance, retirement savings, Social Security, Medicare, unemployment insurance, and workers compensation. PO 00000 Frm 00023 Fmt 4701 Sfmt 4702 45745 by an electricity rate of $0.1077 per kilowatt-hour (kWh) to determine the cost of electricity.30 DOE collected annual revenue estimates for 26 small businesses for CFLs using the Hoovers.com and Manta.com company profile databases. Hoovers.com and Manta.com report significantly different annual revenue for certain manufacturers; in these situations, DOE averaged the two datasets for each manufacturer. DOE determined that the mean revenue of the identified small businesses is $10,356,384. According to a combination of Hoovers.com and Manta.com, the smallest of the 26 small businesses had revenues of $0.29 million per year. DOE analyzed the potential burden for 8 of the 26 small businesses identified, including the following: The manufacturer with the fewest employees, the manufacturer with the most employees, a manufacturer with a relatively high number of MBCFL basic models, a manufacturer with a relatively high number of CFL basic models (34 basic models, 11 of which were MBCFLs), and 4 others that were near median for the 26-manufacturer dataset in terms of number of employees and basic models. Table IV.2 compares the total number of basic models, the testing cost per basic model, and the testing costs as a portion of their revenues for both the existing Appendix W and the proposed amendments to Appendix W. The average cost of testing in accordance with the existing Appendix W is $1,180 per basic model, versus $2,602 for the proposed amended Appendix W. This is a 120 percent increase in testing costs per basic model. For the 8 small businesses analyzed, costs associated with testing in accordance with the proposed Appendix W represent on average 3 percent of their annual revenue. For one small business, the proposed testing in Appendix W could represent 7.6 percent of their annual revenue; however, this value is likely overstated since the analysis for each of these businesses assumes just one unique product configuration per basic model. 30 The electricity rate of $0.1077 per kWh is the average commercial rate year to date for 2014 from the U.S. Energy Information Administration’s (EIA’s) Electric Power Monthly, March 2014, Table 5.3, available at www.eia.gov/electricity/monthly/ (last accessed February 25, 2015). E:\FR\FM\31JYP2.SGM 31JYP2 45746 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules TABLE IV.2—ANALYSIS OF SMALL BUSINESSES Small Business # 1 2 3 4 5 6 7 8 Existing Appendix W # of basic models ............. Testing cost/basic model Testing cost portion of revenue ......................... 8 $1,154 28 $1,292 5 $1,186 28 $1,246 25 $1,187 27 $1,110 85 $1,187 19 $1,078 0.13% 3.12% 1.19% 0.17% 0.61% 1.58% 0.36% 1.08% Proposed Amendments to Appendix W asabaliauskas on DSK5VPTVN1PROD with PROPOSALS # of basic models ............. Testing cost/basic model Testing cost portion of revenue ......................... 11 $2,708 34 $2,598 5 $2,500 116 $2,732 59 $2,585 31 $2,506 87 $2,657 44 $2,531 0.43% 7.62% 2.50% 1.57% 3.13% 4.09% 0.82% 5.90% f. Summary 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 representations of the new, more efficient rating. DOE analyzed the industry for CFL manufacturing to determine all manufacturers of CFLs covered in this NOPR. Analysis of the industry determined that 16 percent of all CFL manufacturers could be classified as small businesses according to SBA classification guidelines. Although 16 percent of the market could be considered a significant portion of the overall industry, these manufacturers are not substantially affected by this proposed rule because the testing represents a small portion of annual revenue and does not need to be repeated annually. Further, 80 percent of the small businesses identified participate in ENERGY STAR. Therefore, a vast majority of small businesses are already testing these same quantities and metrics for ENERGY STAR certification. Based on the criteria outlined earlier, DOE certifies that proposed testing procedure amendments would not have a ‘‘significant economic impact on a substantial number of small entities,’’ and the preparation of an IRFA is not VerDate Sep<11>2014 18:45 Jul 30, 2015 Jkt 235001 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). DOE requests comment on its tentative conclusion that the proposed test procedure changes will not have a significant economic impact on a substantial number of small entities. C. Review Under the Paperwork Reduction Act of 1995 Manufacturers of covered products must certify to DOE that their products comply with any applicable energy conservation standards. In certifying compliance, manufacturers must test their products according to the applicable DOE test procedure, including any amendments adopted for that test procedure. DOE has established regulations for the certification and recordkeeping requirements for all covered consumer products and commercial equipment, including MBCFLs. 76 FR 12422 (March 7, 2011); 80 FR 5099 (January 30, 2015). The collection-of-information requirement for the certification and recordkeeping is subject to review and approval by OMB under the Paperwork Reduction Act (PRA). This requirement has been approved by OMB under OMB Control Number 1910–1400 and includes an estimated public reporting burden for manufacturers of other CFL categories, in addition to MBCFLs, should DOE set any future energy conservation standards for these products. Public reporting burden for the certification is estimated to average 30 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. PO 00000 Frm 00024 Fmt 4701 Sfmt 4702 Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to, a penalty for failure to comply with a collection of information subject to the requirements of the PRA, unless that collection of information displays a currently valid OMB Control Number. D. Review Under the National Environmental Policy Act of 1969 In this proposed rule, DOE proposes test procedure amendments that it expects will be used to develop and implement future energy conservation standards for CFLs. DOE has determined that this rule falls into a class of actions that are categorically excluded from review under the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE’s implementing regulations at 10 CFR part 1021. Specifically, this proposed rule would amend the existing test procedures without affecting the amount, quality, or distribution of energy usage, and, therefore, would not result in any environmental impacts. Thus, this rulemaking is covered by Categorical Exclusion A5 under 10 CFR part 1021, subpart D, which applies to any rulemaking that interprets or amends an existing rule without changing the environmental effect of that rule. Accordingly, neither an environmental assessment nor an environmental impact statement is required. E. Review Under Executive Order 13132 Executive Order 13132, ‘‘Federalism,’’ 64 FR 43255 (Aug. 4, 1999), imposes certain requirements on agencies formulating and implementing policies or regulations that preempt State law or that have Federalism implications. The E:\FR\FM\31JYP2.SGM 31JYP2 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules asabaliauskas on DSK5VPTVN1PROD with PROPOSALS Executive Order requires agencies to examine the constitutional and statutory authority supporting any action that would limit the policymaking discretion of the States and to carefully assess the necessity for such actions. The Executive Order also requires agencies to have an accountable process to ensure meaningful and timely input by State and local officials in the development of regulatory policies that have Federalism implications. On March 14, 2000, DOE published a statement of policy describing the intergovernmental consultation process it will follow in the development of such regulations. 65 FR 13735. DOE has examined this proposed rule and has determined that it would not have a substantial direct effect on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government. EPCA governs and prescribes Federal preemption of State regulations as to energy conservation for the products that are the subject of 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 VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 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 likely to result 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 https://energy.gov/gc/office-generalcounsel. DOE examined this proposed rule according to UMRA and its statement of policy, and DOE 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. H. Review Under the Treasury and General Government Appropriations Act, 1999 Section 654 of the Treasury and General Government Appropriations Act, 1999, (Pub. L. 105–277) requires Federal agencies to issue a Family Policymaking Assessment for any rule that may affect family well-being. This rule would 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 PO 00000 Frm 00025 Fmt 4701 Sfmt 4702 45747 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 would not result in any takings that might require compensation under the Fifth Amendment to the U.S. Constitution. J. Review Under the 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 proposed significant energy action. A ‘‘significant energy action’’ is defined as any action by an agency that promulgated or is expected to lead to promulgation of a final rule, and that: (1) Is a significant regulatory action under Executive Order 12866, or any successor order; and (2) is likely to have a significant adverse effect on the supply, distribution, or use of energy; or (3) is designated by the Administrator of OIRA as a significant energy action. For any proposed significant energy action, the agency must give a detailed statement of any adverse effects on energy supply, distribution, or use should the proposal be implemented, and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use. The proposed regulatory action to amend the test procedures for measuring the energy efficiency of CFLs is not a significant regulatory action under Executive Order 12866. Moreover, it would not have a significant adverse effect on the supply, E:\FR\FM\31JYP2.SGM 31JYP2 45748 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules 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. asabaliauskas on DSK5VPTVN1PROD with PROPOSALS L. Review Under Section 32 of the Federal Energy Administration Act of 1974 Under section 301 of the Department of Energy Organization Act (Pub. L. 95– 91; 42 U.S.C. 7101), DOE must comply with section 32 of the Federal Energy Administration Act of 1974, as amended by the Federal Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) Section 32 essentially provides in relevant part that, where a proposed rule authorizes or requires use of commercial standards, the notice of proposed rulemaking must inform the public of the use and background of such standards. In addition, section 32(c) requires DOE to consult with the Attorney General and the Chairman of the FTC concerning the impact of the commercial or industry standards on competition. The proposed test procedures incorporate testing methods contained in the following commercial standards: (1) ANSI_IEC C78.901–2014, ‘‘American National Standard for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional and Electrical Characteristics,’’ 2014; (2) CIE 13.3–1995, ‘‘Technical Report: Method of Measuring and Specifying Colour Rendering Properties of Light Sources,’’ 1995; (3) CIE 15:2004, ‘‘Technical Report: Colorimetry, 3rd edition,’’ 2004; (4) IES LM–54–12, ‘‘IES Guide to Lamp Seasoning,’’ 2012; (5) IES LM–65–14, ‘‘IES Approved Method for Life Testing of Single-Based Fluorescent Lamps,’’ 2014; (6) IES LM–66–14, ‘‘IES Approved Method for the Electrical and Photometric Measurements of SingleBased Fluorescent Lamps,’’ 2014; and (7) 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 the Attorney General and the Chairman of the FTC concerning the impact of these test procedures on competition, prior to prescribing a final rule. VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 M. Description of Materials Proposed To Be Incorporated by Reference In this NOPR, DOE proposes to incorporate by reference the test standard published by ANSI, titled ‘‘American National Standard for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional and Electrical Characteristics,’’ ANSI_IEC C78.901–2014. ANSI_IEC C78.901–2014 is an industry accepted test standard that specifies physical and electrical characteristics of non-integrated CFLs and is applicable to products sold in North America. The test procedures proposed in this NOPR reference ANSI_ IEC C78.901–2014 for characteristics of reference ballasts that must be used when testing non-integrated CFLs. ANSI_IEC C78.901–2014 is readily available on ANSI’s Web site at https:// webstore.ansi.org/. DOE also proposes to incorporate by reference the test standard published by IES, titled ‘‘IES Guide to Lamp Seasoning,’’ IES LM–54–12. IES LM–54– 12 is an industry accepted test standard that specifies a method for seasoning CFLs prior to testing and is applicable to products sold in North America. The test procedures proposed in this NOPR reference various sections of IES LM– 54–12 that address seasoning of CFLs prior to testing. IES LM–54–12 is readily available on IES’s Web site at www.ies.org/store. DOE also proposes to incorporate by reference the test standard published by IES, titled ‘‘IES Approved Method for Life Testing of Single-Based Fluorescent Lamps,’’ IES LM–65–14. IES LM–65–14 is an industry accepted test standard that specifies a method for measuring the time to failure of CFLs and is applicable to products sold in North America. The test procedures proposed in this NOPR reference various sections of IES LM–65–14 that address test conditions and procedures for measuring time to failure and rapid cycle stress testing of CFLs. IES LM–65– 14 is readily available on IES’s Web site at www.ies.org/store. DOE also proposes to incorporate by reference the test standard published by IES, titled ‘‘IESNA Approved Method for Total Luminous Flux Measurement of Lamps Using an Integrating Sphere Photometer,’’ IESNA LM–78–07. IESNA LM–78–07 is an industry accepted test standard that specifies a method for measuring lumen output in an integrated sphere and is applicable to products sold in North America. The test procedures proposed in this NOPR reference sections of IESNA LM–78–07 that address measurements of lumen output. IESNA LM–78–07 is readily PO 00000 Frm 00026 Fmt 4701 Sfmt 4702 available on IES’s Web site at www.ies.org/store. DOE also proposes to incorporate by reference the test standard published by IES, titled ‘‘IES Approved Method for the Electrical and Photometric Measurements of Single-Based Fluorescent Lamps,’’ IES LM–66–14. IES LM–66–14 is an industry accepted test standard that specifies methods for measuring the photometric and electrical characteristics of CFLs and is applicable to products sold in North America. The test procedures proposed in this NOPR reference various sections of IES LM–66–14 that address test conditions and procedures for measuring initial lamp efficacy, lumen maintenance, CCT, CRI, power factor, start time, and standby mode power of CFLs. IES LM–66–14 is readily available on IES’s Web site at www.ies.org/store. V. Public Participation A. Attendance at Public Meeting The time, date, and location of the public meeting are listed in the DATES and ADDRESSES sections at the beginning of this notice. If you plan to attend the public meeting, please notify Ms. Brenda Edwards at (202) 586–2945 or Brenda.Edwards@ee.doe.gov. Please note that foreign nationals visiting DOE Headquarters are subject to advance security screening procedures which require advance notice prior to attendance at the public meeting. If a foreign national wishes to participate in the public meeting, please inform DOE of this fact as soon as possible by contacting Ms. Regina Washington at (202) 586–1214 or by email: Regina.Washington@ee.doe.gov so that the necessary procedures can be completed. DOE requires visitors to have laptops and other devices, such as tablets, checked upon entry into the building. Any person wishing to bring these devices into the Forrestal Building will be required to obtain a property pass. Visitors should avoid bringing these devices, or allow an extra 45 minutes to check in. Please report to the visitor’s desk to have devices checked before proceeding through security. Due to the REAL ID Act implemented by the Department of Homeland Security (DHS), there have been recent changes regarding ID requirements for individuals wishing to enter Federal buildings from specific states and U.S. territories. Driver’s licenses from the following states or territory will not be accepted for building entry and one of the alternate forms of ID listed below will be required. DHS has determined that regular driver’s licenses (and ID E:\FR\FM\31JYP2.SGM 31JYP2 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules cards) from the following jurisdictions are not acceptable for entry into DOE facilities: Alaska, American Samoa, Arizona, Louisiana, Maine, Massachusetts, Minnesota, New York, Oklahoma, and Washington. Acceptable alternate forms of Photo-ID include: U.S. Passport or Passport Card; an Enhanced Driver’s License or Enhanced ID-Card issued by the states of Minnesota, New York or Washington (Enhanced licenses issued by these states are clearly marked Enhanced or Enhanced Driver’s License); a military ID or other Federal government issued Photo-ID card. In addition, you can attend the public meeting via webinar. Webinar registration information, participant instructions, and information about the capabilities available to webinar participants will be published on DOE’s Web site https://eere.energy.gov/ buildings/appliance_standards/ product.aspx/productid/28. Participants are responsible for ensuring that their systems are compatible with the webinar software. B. Procedure for Submitting Prepared General Statement for Distribution Any person who has plans to present a prepared general statement may request that copies of his or her statement be made available at the public meeting. Such persons may submit requests, along with an advance electronic copy of their statement in PDF (preferred), Microsoft Word or Excel, WordPerfect, or text (ASCII) file format, to the appropriate address shown in the ADDRESSES section at the beginning of this notice. The request and advance copy of statements must be received at least one week before the public meeting and may be emailed, hand-delivered, or sent by mail. DOE prefers to receive requests and advance copies via email. Please include a telephone number to enable DOE staff to make a follow-up contact, if needed. asabaliauskas on DSK5VPTVN1PROD with PROPOSALS C. Conduct of Public Meeting DOE will designate a DOE official to preside at the public meeting and may also use a professional facilitator to aid discussion. The meeting will not be a judicial or evidentiary-type public hearing, but DOE will conduct it in accordance with section 336 of EPCA. (42 U.S.C. 6306) A court reporter will be present to record the proceedings and prepare a transcript. DOE reserves the right to schedule the order of presentations and to establish the procedures governing the conduct of the public meeting. After the public meeting and until the end of the comment period, interested parties may submit VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 further comments on the proceedings and any aspect of the rulemaking. The public meeting will be conducted in an informal, conference style. DOE will present summaries of comments received before the public meeting, allow time for prepared general statements by participants, and encourage all interested parties to share their views on issues affecting this rulemaking. Each participant will be allowed to make a general statement (within time limits determined by DOE), before the discussion of specific topics. DOE will allow, as time permits, other participants to comment briefly on any general statements. At the end of all prepared statements on a topic, DOE will permit participants to clarify their statements briefly and comment on statements made by others. Participants should be prepared to answer questions by DOE and by other participants concerning these issues. DOE representatives may also ask questions of participants concerning other matters relevant to this rulemaking. The official conducting the public meeting will accept additional comments or questions from those attending, as time permits. The presiding official will announce any further procedural rules or modification of the procedures that may be needed for the proper conduct of the public meeting. A transcript of the public meeting will be included in the docket, which can be viewed as described in the Docket section at the beginning of this notice. In addition, any person may buy a copy of the transcript from the transcribing reporter. D. Submission of Comments DOE will accept comments, data, and information regarding this proposed rule before or after the public meeting, but no later than the date provided in the DATES section at the beginning of this notice. Interested parties may submit comments, data, and other information using any of the methods described in the ADDRESSES section at the beginning of this notice. Submitting comments via regulations.gov. The 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 PO 00000 Frm 00027 Fmt 4701 Sfmt 4702 45749 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 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 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 E:\FR\FM\31JYP2.SGM 31JYP2 asabaliauskas on DSK5VPTVN1PROD with PROPOSALS 45750 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules 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). E. 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. VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 (1) DOE requests comment on its proposed incorporation of updated versions of industry standards and its tentative conclusion that the updates would not have a significant impact on measured values for MBCFLs or pose additional test burden for CFL manufacturers. DOE specifically requests comments on its assessment of the updates to the following standards and their impacts on test burden and measured values of MBCFLs: (a) IES LM–66–14, (b) IES LM–54–12, and (c) IES LM–65–14. (2) DOE requests comment on the proposed clarifications to test methods and setup and the tentative conclusion that they would not have a significant impact on test burden and measured values. DOE specifically requests comment on the proposed (a) requirement that all photometric values be measured by an integrating sphere, (b) ambient temperature requirements for photometric and electrical testing, (c) input voltage requirements, (d) requirement that lamp orientation must be maintained throughout testing, (e) clarifications to the lamp seasoning methods, (f) disallowed use of the peak method as an alternative to the stabilization method, (g) disallowance of the time to failure testing of CFLs in a fixture, (h) definition for the term ‘‘ballasted adapter,’’ and on its proposed requirement that CFLs packaged with or designed exclusively for use with ballasted adapters must be tested as non-integrated CFLs, and (i) clarification that all CFL testing must be conducted at labeled wattage, with no dimmer used in the circuit. (3) DOE requests comment on the proposed changes to definitions in 10 CFR 430.2 and Appendix W, and the tentative conclusion that they would not have a significant impact on test burden and measured values. DOE specifically requests comment on the proposed (a) removal of the term ‘‘average rated life’’ and addition of definitions of ‘‘lifetime of a compact fluorescent lamp’’ and ‘‘time to failure,’’ (b) removal of the terms ‘‘initial performance values’’ and ‘‘rated luminous flux or rated lumen output,’’ and addition of the terms ‘‘initial lamp efficacy,’’ ‘‘measured initial input power,’’ and ‘‘measured initial lumen output,’’ (c) clarification to the definition of ‘‘lumen maintenance,’’ (d) removal of the term ‘‘rated supply frequency,’’ (e) relabeling of the term ‘‘rated wattage’’ to ‘‘labeled wattage’’ and amendments to this definition, and (f) removal of the term ‘‘self-ballasted compact fluorescent lamp’’ and addition of definitions of ‘‘integrated compact fluorescent lamp’’ and ‘‘non-integrated compact fluorescent lamp.’’ PO 00000 Frm 00028 Fmt 4701 Sfmt 4702 (4) DOE requests comment on the proposed clarifications to test procedures for measuring initial lamp efficacy and lumen maintenance values. (5) DOE requests comment on the proposed test procedures for measuring time to failure and for rapid cycle stress testing. (6) DOE requests comment on its proposed test procedures for measuring CCT, CRI, and power factor. (7) DOE requests comment on the proposed test procedure for start time and the proposed definitions for the terms ‘‘start time,’’ ‘‘start plateau,’’ and ‘‘percent variability.’’ DOE also requests comment on the summary of start time testing and results that can be found in the docket for this rulemaking. (8) DOE requests comment on its proposal that integrated CFLs with medium screw bases and other base types are to follow the same test procedures. (9) DOE requests comment on the proposed (a) requirement that nonintegrated CFLs be tested using reference ballasts that meet ANSI_IEC C78.901–2014 specifications, except as noted, (b) requirement that nonintegrated CFLs are to be tested at low frequency when a choice is available between low and high frequency reference ballast specifications, (c) requirement that non-integrated CFLs are to be tested on a rapid start circuit when possible, and (d) requirement that if not listed in ANSI_IEC C78.901–2014 or Appendix W, reference ballast specifications be based on existing reference ballast specifications of the most similar lamp in ANSI_IEC C78.901–2014 or for the higher wattage lamp it is intended to replace. (10) DOE requests comment on the proposed definition of and test procedure for hybrid CFLs. (11) DOE requests comment on its proposed test procedure for standby mode power of integrated CFLs, and on its proposal to season lamps according to requirements in the proposed active mode test procedures prior to measuring standby mode power. DOE also requests comment on its assessment that integrated CFLs can operate in standby mode but not off mode, and that nonintegrated CFLs cannot operate in either standby mode or off mode. (12) DOE requests comment on the proposed amendments to 10 CFR 430.23(y). (13) DOE requests comment on its proposed rounding requirements for represented value of metrics. (14) DOE requests comment on its proposed definition of the term ‘‘compact fluorescent lamp.’’ DOE also requests comment on the proposed E:\FR\FM\31JYP2.SGM 31JYP2 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules Confidential business information, Energy conservation, Household appliances, Imports, Reporting and recordkeeping requirements. 10 CFR Part 430 Administrative practice and procedure, Confidential business VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 PART 429—CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT 1. The authority citation for part 429 continues to read as follows: ■ Authority: 42 U.S.C. 6291–6317. 2. Section 429.12 is amended by revising paragraph (f) to read as follows: ■ § 429.12 General requirements applicable to certification reports. * * * * * (f) Discontinued model filing. When production of a basic model has ceased and it is no longer being sold or offered for sale by the manufacturer or private labeler, the manufacturer must report this discontinued status to DOE as part of the next annual certification report following such cessation. For each basic model, the report shall include the information specified in paragraphs (b)(1) through (b)(7) of this section, except that for compact fluorescent lamps, the manufacturer must submit a full certification report, including all of the information required by paragraph (b) of this section and the productspecific information required by § 429.35(b)(2). * * * * * ■ 3. Section 429.35 is revised to read as follows: Compact fluorescent lamps. (a) Determination of represented value. Manufacturers must determine represented values, which includes the certified ratings, for each basic model of compact fluorescent lamp by testing, in conjunction with the following sampling provisions: (1) Units to be tested. (i) The requirements of § 429.11(a) are applicable; and (ii) For each basic model of CFL, the minimum number of units tested shall be no less than 10 units when testing for the initial lumen output, input power, PO 00000 Frm 00029 Fmt 4701 Sfmt 4725 x is the sample mean, n is the number of units in the sample, and xi is the ith unit; Or, (2) The lower 97.5-percent confidence limit (LCL) of the true mean divided by 0.95, where: x is the sample mean of the characteristic value; s is the sample standard deviation; n is the number of units in the sample, and t0.975 is the t statistic for a 97.5% onetailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart). (B) The represented value of CCT must be equal to the mean of the sample, where: E:\FR\FM\31JYP2.SGM 31JYP2 EP31JY15.002</GPH> asabaliauskas on DSK5VPTVN1PROD with PROPOSALS 10 CFR Part 429 For the reasons stated in the preamble, DOE proposes to amend parts 429 and 430 of chapter II of title 10, of the Code of Federal Regulations, as set forth below: § 429.35 The Secretary of Energy has approved publication of this proposed rule. List of Subjects Issued in Washington, DC, on July 9, 2015. Kathleen B. Hogan, Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and Renewable Energy. initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode power. If more than 10 units are tested as part of the sample, the total number of units must be a multiple of 2. The same sample of units must be used as the basis for representations for initial lumen output, input power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode power. No less than three units from the same sample of units must be used when testing for the start time. Exactly six unique units (i.e., units that have not previously been tested under this paragraph but are representative of the same basic model tested under this paragraph) must be used for rapid cycle stress testing. (iii) For each basic model, a sample of sufficient size shall be randomly selected and tested to ensure that: (A) Represented values of initial lumen output, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, CRI, power factor, or other measure of energy consumption of a basic model for which consumers would favor higher values must be less than or equal to the lower of: (1) The mean of the sample, where: EP31JY15.001</GPH> VI. Approval of the Office of the Secretary information, Energy conservation, Household appliances, Imports, Incorporation by reference, Intergovernmental relations, Small businesses. EP31JY15.000</GPH> clarification of the term ‘‘correlated color temperature.’’ (15) DOE requests comment on its proposed incorporation by reference of eight test methods in support of the proposed new and amended test procedures for CFLs. (16) DOE requests comment on the proposed amendments to 10 CFR 430.25. (17) DOE requests comment on the proposed amendments to the energy conservations standards for MBCFLs at 10 CFR 430.32(u) that remove test procedures specifications and align the language with existing and proposed terminology in Appendix W and 10 CFR 429.35. DOE also requests comment on its proposed amendments to 10 CFR 429.35 regarding the existing allowance for measurement error of initial lamp efficacy for MBCFLs. (18) DOE requests comment on the proposed changes to the certification report requirements. (19) DOE requests comment on the proposed clarifications and amendments to sampling requirements for initial lamp efficacy, lumen maintenance, lifetime, and rapid cycle stress testing, and the tentative conclusion that they would not have a significant impact on measured values or manufacturer test burden. (20) DOE requests comment on the proposed sampling requirements for CRI, power factor, CCT, and standby mode power, and the determination that these requirements do not increase the test burden on manufacturers. (21) DOE requests comment on its proposed clarifications and amendments to the reuse of samples. (22) DOE requests comment on the proposed effective date and compliance dates for the proposed new and amended CFL test procedures. (23) DOE requests comment on its tentative conclusion that the proposed test procedure changes will not have a significant economic impact on a substantial number of small entities. 45751 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules asabaliauskas on DSK5VPTVN1PROD with PROPOSALS x is the sample mean, n is the number of units in the sample, and xi is the ith unit; Or, (2) The upper 97.5-percent confidence limit (UCL) of the true mean divided by 1.05, where: x is the sample mean of the characteristic value; s is the sample standard deviation; n is the number of units in the sample, and t0.975 is the t statistic for a 97.5% onetailed confidence interval with n-1 degrees of freedom (from appendix A of this subpart). (D) The represented value of lifetime is the median time to failure of the sample (calculated as the arithmetic mean of the time to failure of the two middle sample units when the numbers are sorted in value order). (E) The represented value of the results of rapid cycle stress testing must be (1) Expressed in the number of surviving units and (2) Based on a lifetime value that is equal to or greater than the represented value of lifetime. (2) The represented value of life (in years) of a compact fluorescent lamp must be calculated by dividing the lifetime of a compact fluorescent lamp by the estimated annual operating hours as specified in 16 CFR 305.15(b)(3)(iii). (3) The represented value of the estimated annual energy cost for a compact fluorescent lamp, expressed in dollars per year, must be the product of the input power in kilowatts, an electricity cost rate as specified in 16 CFR 305.15(b)(1)(ii), and an estimated average annual use as specified in 16 CFR 305.15(b)(1)(ii). (4) For compliance with standards specified in § 430.32(u)(1) of this chapter, initial lamp efficacy may VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 include a 3 percent tolerance added to the value determined in accordance with paragraph (a)(1)(iii)(A) of this section. (5) The represented value of lumen maintenance at 40 percent of lifetime must be based on a lifetime value that is equal to or greater than the represented value of lifetime. (b) Certification reports. (1) The requirements of § 429.12 are applicable to bare or covered medium base compact fluorescent lamps; and (2) Values reported in certification reports are represented values. Lifetime, lumen maintenance at 40 percent of lifetime, life, and rapid cycle stress test surviving units are estimated values until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix W. Manufacturers are required to maintain records per § 429.71 of the development of all estimated values and any associated initial test data. Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The testing laboratory’s NVLAP identification number or other NVLAPapproved accreditation identification, the seasoning time in hours (h), the initial lumen output in lumens (lm), the input power in watts (W), the initial lamp efficacy in lumens per watt (lm/ W), the correlated color temperature in kelvin (K), the lumen maintenance at 1,000 hours in percent (%), the lumen maintenance at 40 percent of lifetime in percent (%), the results of rapid cycle stress testing in number of units passed, the lifetime in hours (h), and the life in years. (c) Rounding requirements. For represented values, (1) Round initial lamp efficacy to the nearest tenth of a lumen per watt. (2) Round lumen maintenance at 1,000 hours to the nearest tenth of a percent. (3) Round lumen maintenance at 40 percent of lifetime to the nearest tenth of a percent. (4) Round CRI to the nearest whole number. (5) Round power factor to the nearest hundredths place. (6) Round lifetime to the nearest whole hour. (7) Round CCT to the nearest 100 kelvin (K). (8) Round standby mode power to the nearest tenth of a watt. (9) Round start time to the nearest whole millisecond. PO 00000 Frm 00030 Fmt 4701 Sfmt 4702 PART 430—ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS 4. The authority citation for part 430 continues to read as follows: ■ Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 2461 note. 5. Section 430.2 is amended by: a. Revising the definition of ‘‘correlated color temperature’’; and ■ b. Adding in alphabetical order definitions of ‘‘compact fluorescent lamp’’ and ‘‘lifetime of a compact fluorescent lamp.’’ The revision and additions read as follows: ■ ■ § 430.2 Definitions. * * * * * Compact fluorescent lamp or CFL means 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; however, the term does not include circline or Ushaped fluorescent lamps. * * * * * Correlated color temperature or CCT means the absolute temperature of a blackbody whose chromaticity most nearly resembles that of the light source. * * * * * Lifetime of a compact fluorescent lamp means the length of operating time between first use and failure of 50 percent of the sample units (as defined in § 429.35(a)(1)), in accordance with the test procedures described in section 3.3 of appendix W to subpart B of this part. * * * * * ■ 6. Section 430.3 is amended by: ■ a. Redesignating paragraphs (d)(8) through (d)(19) as paragraphs (d)(9) through (d)(20), respectively, and adding paragraph (d)(8); ■ b. Revising paragraph (l); ■ c. Redesignating paragraph (o)(7) to be paragraph (o)(8) and adding paragraphs (o)(7), (o)(9), (o)(10), and (o)(11); ■ d. Revising paragraph (p)(4); and ■ e. Removing and reserving paragraph (v)(2). The revisions and additions read as follows: § 430.3 Materials incorporated by reference. * * * * * (d) * * * (8) ANSI_IEC C78.901–2014, Revision of ANSI C78.901–2005 (‘‘ANSI_IEC C78.901–2014’’), American National Standard for Electric Lamps—SingleBased Fluorescent Lamps—Dimensional E:\FR\FM\31JYP2.SGM 31JYP2 EP31JY15.004</GPH> x is the sample mean, n is the number of units in the sample, and xi is the ith unit. (C) Represented values of input power, standby mode power, start time or other measure of energy consumption of a basic model for which consumers would favor lower values must be greater than or equal to the higher of: (1) The mean of the sample, where: EP31JY15.003</GPH> 45752 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules and Electrical Characteristics, approved July 2, 2014; IBR approved for § 430.2 and appendix W to subpart B. * * * * * (l) * * * (1) CIE 13.3–1995 (‘‘CIE 13.3’’), Technical Report: Method of Measuring and Specifying Colour Rendering Properties of Light Sources, 1995, ISBN 3 900 734 57 7; IBR approved for § 430.2 and appendices R and W to subpart B. (2) CIE 15:2004 (‘‘CIE 15’’), Technical Report: Colorimetry, 3rd edition, 2004, ISBN 978 3 901906 33 6; IBR approved for appendices R and W to subpart B. * * * * * (o) * * * (7) IES LM–54–12, IES Guide to Lamp Seasoning, approved October 22, 2012; IBR approved for appendix W to subpart B. * * * * * (9) IES LM–65–14, IES Approved Method for Life Testing of Single-Based Fluorescent Lamps, approved December 30, 2014; IBR approved for appendix W to subpart B. (10) IES LM–66–14, IES Approved Method for the Electrical and Photometric Measurements of SingleBased Fluorescent Lamps, except Annexes A, B and C, approved December 30, 2014; IBR approved for appendix W to subpart B. (11) IESNA LM–78–07, IESNA Approved Method for Total Luminous Flux Measurement of Lamps Using an Integrating Sphere Photometer, approved January 28, 2007; IBR approved for appendix W to subpart B. * * * * * (p) * * * (4) IEC 62301 (‘‘IEC 62301’’), Household electrical appliances— Measurement of standby power, (Edition 2.0, 2011–01); IBR approved for appendices C1, D1, D2, G, H, I, J2, N, O, P, W, and X1 to subpart B. * * * * * (v) * * * (2) [Reserved] ■ 7. Section 430.23 is amended by revising paragraph (y) to read as follows: § 430.23 Test procedures for the measurement of energy and water consumption. asabaliauskas on DSK5VPTVN1PROD with PROPOSALS * * * * * (y) Compact fluorescent lamps. (1) Measure initial lumen output in accordance with section 3.2 of appendix W to this subpart. (2) Measure input power in accordance with section 3.2 of appendix W to this subpart. (3) Measure lamp initial lamp efficacy in accordance with section 3.2 of appendix W to this subpart. VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 (4) Measure lamp lumen maintenance at 1,000 hours in accordance with section 3.2 of appendix W to this subpart. (5) Measure lamp lumen maintenance at 40 percent of lifetime of a compact fluorescent lamp (as defined in 10 CFR 430.2) in accordance with section 3.2 of appendix W to this subpart. (6) Measure lamp color rendering index (CRI) in accordance with section 3.2 of appendix W to this subpart. (7) Measure lamp correlated color temperature (CCT) in accordance with section 3.2 of appendix W to this subpart. (8) Measure lamp power factor in accordance with section 3.2 of appendix W to this subpart. (9) Measure lamp time to failure in accordance with section 3.3 of appendix W to this subpart, and express time to failure in hours. (10) Conduct the rapid cycle stress test in accordance with section 3.3 of appendix W to this subpart. (11) Measure lamp start time in accordance with section 3.4 of appendix W to this subpart. (12) Measure lamp standby mode power in accordance with section 4 of appendix W to this subpart. ■ 8. Section 430.25 is revised to read as follows: § 430.25 Laboratory Accreditation Program. The testing for general service fluorescent lamps, general service incandescent lamps (with the exception of lifetime testing), incandescent reflector lamps, compact fluorescent 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. ■ 9. Appendix W to subpart B of part 430 is revised to read as follows: Appendix W to Subpart B of Part 430— Uniform Test Method for Measuring the Energy Consumption of Compact Fluorescent Lamps Note: Before January 27, 2016, any representations, including certifications of compliance, made with respect to the energy use or efficiency of medium base compact fluorescent lamps must be made in accordance with the results of testing pursuant either to this appendix, or to the applicable test requirements set forth in 10 CFR parts 429 and 430 as they appeared in the 10 CFR parts 200 to 499 annual edition revised as of January 1, 2015. PO 00000 Frm 00031 Fmt 4701 Sfmt 4702 45753 On or after January 27, 2016, any representations, including certifications of compliance (if required), made with respect to the energy use or efficiency of CFLs must be made in accordance with the results of testing pursuant to this appendix. 1. Scope 1.1. This appendix specifies the test methods required to measure the initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime of a compact fluorescent lamp (as defined in 10 CFR 430.2), time to failure, power factor, correlated color temperature (CCT), color rendering index (CRI), and start time, and to conduct rapid cycle stress testing, of CFLs. 1.2. This appendix also provides test requirements applicable to integrated CFLs capable of operation in standby mode (as defined in § 430.2), such as those that can be controlled wirelessly. 2. Definitions 2.1. Ballasted adapter means a ballast that is not permanently attached to a CFL, has no consumer-replaceable components, and serves as an adapter by incorporating both a lamp socket and a lamp base. 2.2. Hybrid compact fluorescent lamp means a CFL that incorporates one or more supplemental light sources of different technology. 2.3. Initial lamp efficacy means the lamp efficacy (as defined in § 430.2) at the end of the seasoning period, as calculated pursuant to section 3.2.2.9 of this appendix. 2.4. Integrated compact fluorescent lamp means an integrally ballasted CFL that contains all components necessary for the starting and stable operation of the lamp, contains an ANSI standard base, does not include any replaceable or interchangeable parts, and is capable of being connected directly to a branch circuit through a corresponding ANSI standard lamp-holder (socket). 2.5. Labeled wattage means the highest wattage marked on the lamp and/or lamp packaging. 2.6. Lumen maintenance means the lumen output measured at a given time in the life of the lamp and expressed as a percentage of the measured initial lumen output, respectively. 2.7. Measured initial input power means the root mean square (RMS) input power to the lamp, measured at the end of the lamp seasoning period, and expressed in watts (W). 2.8. Measured initial lumen output means the lumen output of the lamp measured at the end of the lamp seasoning period, expressed in lumens (lm). 2.9. Non-integrated compact fluorescent lamp means a CFL that is not an integrated CFL. 2.10. Percent variability means the range (calculated by subtracting the minimum from the maximum) expressed as a percentage of the mean for the contiguous set of separate lumen output measurements spanning the specified time period, where each measurement is the average value of the sampled waveform over an interval corresponding to one full cycle of sinusoidal input voltage. E:\FR\FM\31JYP2.SGM 31JYP2 45754 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules 2.11. Power factor means the measured RMS input power (watts) divided by the product of the measured RMS input voltage (volts) and the measured RMS input current (amps). 2.12. Start plateau means the first 100 millisecond period of operation during which the percent variability does not exceed 5 percent and the average measured lumen output is at least 10 percent of the measured initial lumen output. 2.13. Start time means the time, measured in milliseconds, between the application of power to the CFL and the point when the measured full-cycle lumen output (the average value of the sampled waveform over an interval corresponding to one full cycle of sinusoidal input voltage) reaches 98 percent of the average measured lumen output of the start plateau. 2.14. Time to failure means the time elapsed between first use and the point at which the CFL ceases to produce measureable lumen output. asabaliauskas on DSK5VPTVN1PROD with PROPOSALS 3. Active Mode Test Procedures 3.1. General Instructions. 3.1.1. Maintain lamp operating orientation throughout seasoning and testing, including storage and handling between tests. 3.1.2. Season CFLs prior to photometric and electrical testing in accordance with sections 4, 5, 6.1, and 6.2.2.1 of IES LM–54– 12 (incorporated by reference, see § 430.3). 3.1.2.1. Unit operating time during seasoning may be counted toward time to failure, lumen maintenance at 40 percent of lifetime of a compact fluorescent lamp (as defined in § 430.2), and lumen maintenance at 1,000 hours if the required operating cycle and test conditions for time to failure testing per section 3.3 of this appendix are satisfied. 3.1.2.2. If a lamp breaks, becomes defective, fails to stabilize, exhibits abnormal behavior (such as swirling), or stops producing light prior to the end of the seasoning period, the lamp must be replaced with a new unit. If a lamp exhibits one of the conditions listed in the previous sentence after the seasoning period, the lamp’s measurements must be included in the sample. 3.1.3. Conduct all testing with the lamp operating at labeled wattage and with no dimmer in the circuit. This requirement applies to all integrated CFLs, including those that are dimmable or multi-level. 3.1.4. Operate the CFL at the rated input voltage throughout testing. For a CFL with multiple rated input voltages including 120 volts, operate the CFL at 120 volts. If a CFL with multiple rated input voltages is not rated for 120 volts, operate the CFL at the highest rated input voltage. 3.1.5. Test CFLs packaged with ballasted adapters or designed exclusively for use with ballasted adapters as non-integrated CFLs, with no ballasted adapter in the circuit. 3.1.6. Conduct all testing of hybrid CFLs with all supplemental light sources in the lamp turned off, if possible. Before taking measurements, verify that the lamp has stabilized in the operating mode that corresponds to its labeled wattage. VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 3.2. Test Procedures for Determining Initial Lamp Efficacy, Lumen Maintenance, CCT, CRI, and Power Factor Use the test procedures specified in IES LM–66–14 (incorporated by reference; see § 430.3) where those procedures do not conflict with the test procedures specified in this section. Determine initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime of a compact fluorescent lamp (as defined in § 430.2), CCT, and CRI for integrated and non-integrated CFLs. Determine power factor for integrated CFLs only. 3.2.1. Test Conditions and Setup 3.2.1.1. Test half of the units in the sample in the base-up position, and half of the units in the base-down position; if the position is restricted by the manufacturer, test the units in the manufacturer-specified position. 3.2.1.2. Establish the ambient conditions, power supply, auxiliary equipment, circuit setup, lamp connections, and instrumentation in accordance with the specifications in sections (and corresponding subsections) 4.0, 5.0 and 6.0 of IES LM–66– 14 (incorporated by reference; see § 430.3). The following exceptions apply: 3.2.1.2.1. Maintain ambient temperature at 25 °C ±1 °C (77 °F ±1.8 °F). 3.2.1.3. Non-integrated CFLs must adhere to the ballast requirements in section 5.2 of IES LM–66–14 (incorporated by reference; see § 430.3). 3.2.1.3.1. Test non-integrated lamps rated for operation on a choice of low frequency or high frequency circuits (e.g., many preheat lamps) at low frequency. 3.2.1.3.2. Test non-integrated lamps rated for operation on a choice of preheat (starter) or rapid start (no starter) circuits on rapid start. 3.2.1.3.3. Test non-integrated lamps rated for operation on a choice of instant start (shunted) or rapid start (non-shunted) circuits on rapid start. 3.2.1.3.4. Operate non-integrated CFLs not listed in ANSI_IEC C78.901–2014 (incorporated by reference; see § 430.3) using the following reference ballast settings: 3.2.1.3.4.1. Operate 25–28 W, T5 twin 2G11-based lamps that are lower wattage replacements of the 40 W, T5 twin 2G11based lamps using the following reference ballast settings: 400 volts, 0.270 amps, and 1240 ohms. 3.2.1.3.4.2. Operate 14–15 W, T4 quad G24q-2-based lamps using the following reference ballast settings: 220 volts, 0.220 amps, and 815 ohms. 3.2.1.3.4.3. Operate 21 W, T4 quad G24q3-based lamps using the following reference ballast settings: 220 volts, 0.315 amps, and 546 ohms. 3.2.1.3.4.4. Operate 21 W, T4 quad G24d3-based lamps using the following reference ballast settings: 220 volts, 0.315 amps, and 546 ohms. 3.2.1.3.4.5. Operate 21 W, T4 multi (6) GX24q-3-based lamps using the following reference ballast settings: 220 volts, 0.315 amps, and 546 ohms. 3.2.1.3.4.6. Operate 27–28 W, T4 multi (6) GX24q-3-based lamps using the following reference ballast settings: 200 volts, 0.320 amps, and 315 ohms. PO 00000 Frm 00032 Fmt 4701 Sfmt 4702 3.2.1.3.4.7. Operate 33–38 W, T4 multi (6) GX24q-4-based lamps using the following reference ballast settings: 270 volts, 0.320 amps, and 420 ohms. 3.2.1.3.4.8. Operate 10 W, T4 square GR10q-4-based lamps using the following reference ballast settings: 236 volts, 0.165 amps, and 1,200 ohms. 3.2.1.3.4.9. Operate 16 W, T4 square GR10q-4-based lamps using the following reference ballast settings: 220 volts, 0.195 amps, and 878 ohms. 3.2.1.3.4.10. Operate 21 W, T4 square GR10q-4-based lamps using the following reference ballast settings: 220 volts, 0.260 amps, and 684 ohms. 3.2.1.3.4.11. Operate 28 W, T6 square GR10q-4-based lamps using the following reference ballast settings: 236 volts, 0.320 amps, and 578 ohms. 3.2.1.3.4.12. Operate 38 W, T6 square GR10q-4-based lamps using the following reference ballast settings: 236 volts, 0.430 amps, and 439 ohms. 3.2.1.3.4.13. Operate 55 W, T6 square GRY10q-3-based lamps using the following reference ballast settings: 236 volts, 0.430 amps, and 439 ohms. 3.2.1.3.4.14. For all other lamp designs not listed in ANSI_IEC C78.901–2014 or in section 3.2.1.3.4 of this appendix: 3.2.1.3.4.14.1. If the lamp is a lower wattage replacement of a lamp with specifications in ANSI_IEC C78.901–2014, use the reference ballast specifications of the corresponding higher wattage lamp replacement in ANSI_IEC C78.901–2014. 3.2.1.3.4.14.2. For all other lamps, use the reference ballast specifications in ANSI_IEC C78.901–2014 for a lamp with the most similar shape, diameter, and base specifications, and next closest wattage. 3.2.2. Test Methods, Measurements, and Calculations 3.2.2.1. Season CFLs as specified in section 3.1.2 of this appendix. 3.2.2.2. Stabilize CFLs as specified in section 6.2.1 of IES LM–66–14 (incorporated by reference; see § 430.3). 3.2.2.3. Measure the input power (in watts), the input voltage (in volts), and the input current (in amps) as specified in section 5.2 of IES LM–66–14 (incorporated by reference; see § 430.3). 3.2.2.4. Measure initial lumen output as specified in section 6.3.1 of IES LM–66–14 (incorporated by reference; see § 430.3) and in accordance with IESNA LM–78–07 (incorporated by reference; see § 430.3). 3.2.2.5. Measure lumen output at 1,000 hours as specified in section 6.3.1 of IES LM– 66–14 (incorporated by reference; see § 430.3) and in accordance with IESNA LM–78–07 (incorporated by reference; see § 430.3). 3.2.2.6. Measure lumen output at 40 percent of lifetime of a compact fluorescent lamp (as defined in 10 CFR 430.2) as specified in section 6.3.1 of IES LM–66–14 (incorporated by reference; see § 430.3) and in accordance with IESNA LM–78–07 (incorporated by reference; see § 430.3). 3.2.2.7. Measure CCT as specified in section 6.4 of IES LM–66–14 (incorporated by reference; see § 430.3) and in accordance with CIE 15:2004 (incorporated by reference; see § 430.3). E:\FR\FM\31JYP2.SGM 31JYP2 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules 3.2.2.8. Measure CRI as specified in section 6.4 of IES LM–66–14 (incorporated by reference; see § 430.3) and in accordance with CIE 13.3–1995 (incorporated by reference; see § 430.3). 3.2.2.9. Determine initial lamp efficacy by dividing measured initial lumen output by the measured initial input power. 3.2.2.10. Determine lumen maintenance at 1,000 hours by dividing measured lumen output at 1,000 hours by the measured initial lumen output. 3.2.2.11. Determine lumen maintenance at 40 percent of lifetime of a compact fluorescent lamp (as defined in § 430.2) by dividing measured lumen output at 40 percent of lifetime of a compact fluorescent lamp (as defined in § 430.2) by the measured initial lumen output. 3.2.2.12. Determine power factor by dividing the measured RMS input power (watts) by the product of measured RMS input voltage (volts) and measured RMS input current (amps). 3.3. Test Method for Time to Failure and Rapid Cycle Stress Test Use the test procedures specified in IES LM–65–14 (incorporated by reference; see § 430.3) where those procedures do not conflict with the test procedures specified in this section. Disregard section 3 of IES LM– 65–14. Determine time to failure and conduct rapid cycle stress testing for integrated and non-integrated CFLs. 3.3.1. Test Conditions and Setup 3.3.1.1. Test half of the units in the base up position and half of the units in the base down position; if the position is restricted by the manufacturer, test in the manufacturer specified position. 3.3.1.2. Establish the ambient and physical conditions and electrical conditions in accordance with the specifications in sections 4.0 and 5.0 of IES LM–65–14 (incorporated by reference; see § 430.3). The following exceptions apply: 3.3.1.2.1. Do not test lamps in fixtures or luminaires. 3.3.1.3. Non-integrated CFLs must adhere to ballast requirements as specified in section 3.2.1.3 of this appendix. 3.3.2. Test Methods and Measurements 3.3.2.1. Season CFLs as specified in section 3.1.2 of this appendix. 3.3.2.2. Measure time to failure of CFLs as specified in section 6.0 of IES LM–65–14 (incorporated by reference; see § 430.3). 3.3.2.3. Conduct rapid cycle stress testing of CFLs as specified in section 6.0 of IES LM– 65–14 (incorporated by reference; see § 430.3), except cycle the lamp continuously with each cycle consisting of one 5-minute ON period followed by one 5-minute OFF period. 3.4. Test Method for Start Time. Use the test procedures specified in IES LM–66–14 (incorporated by reference; see § 430.3) where those procedures do not conflict with the test procedures specified in this section. Determine start time for integrated CFLs only. 3.4.1. Test Conditions and Setup 3.4.1.1. Test all units in the base up position; if the position is restricted by the manufacturer, test units in the manufacturer specified position. 3.4.1.2. Establish the ambient conditions, power supply, auxiliary equipment, circuit setup, lamp connections, and instrumentation in accordance with the specifications in sections 4.0, 5.0 and 6.0 of IES LM–66–14 (incorporated by reference; see § 430.3). The following exceptions apply: 3.4.1.2.1. Maintain ambient temperature at 25 °C ±1 °C (77 °F ±1.8 °F). 3.4.2. Test Methods and Measurement 3.4.2.1. Season CFLs as specified in section 3.1.2 of this appendix. 3.4.2.2. After seasoning, store units at 25 °C ±5 °C ambient temperature for a minimum of 16 hours prior to the test, after which the ambient temperature must be 25 °C ±1 °C for a minimum of 2 hours immediately prior to the test. Any units that have been off for more than 24 hours must be operated for 3 hours and then be turned off for 16 to 24 hours prior to testing. 3.4.2.3. Measure lumen output as specified in section 3.2.2.4 of this appendix. 3.4.2.4. Connect multichannel oscilloscope with data storage capability to record input voltage to CFL and lumen output. Set oscilloscope to trigger at 10 V lamp input voltage. Set oscilloscope vertical scale such that vertical resolution is 1 percent of measured initial lumen output or finer. Set oscilloscope to sample the lumen output waveform at a minimum rate of 2 kHz. 3.4.2.5. Apply rated voltage and frequency to CFL. 3.4.2.6. Upon trigger for start time testing, record sampled lumen output waveform until the measured full-cycle lumen output has asabaliauskas on DSK5VPTVN1PROD with PROPOSALS Factor 18:00 Jul 30, 2015 reached the start plateau. Determine the start plateau as defined in this appendix. 3.4.2.7. Calculate the measured full-cycle lumen output as a moving average, whereby values are determined at least once every millisecond and each value represents the full-cycle interval in which it is centered. Measure input voltage and start time. 4. Standby Mode Test Procedure Use the test procedures specified in IEC 62301 (incorporated by reference; see § 430.3) where those procedures do not conflict with the test procedures specified in this section. Measure standby mode power only for integrated CFLs that are capable of standby mode operation. 4.1. Test Conditions and Setup 4.1.1. Test half of the units in the sample in the base up position and half of the units in the base down position; if the position is restricted by the manufacturer, test units in the manufacturer specified position. 4.1.2. Maintain ambient temperature at 25 °C ±1 °C (77 °F ±1.8 °F). 4.1.3. Ambient airflow must be maintained in accordance with section 4.4 of IES LM– 66–14 (incorporated by reference, see § 430.3). 4.2. Test Methods and Measurements 4.2.1. Season CFLs as specified in section 3.1.2 of this appendix. 4.2.2. Utilize the methodology for measuring power consumption specified in section 5 of IEC 62301 (incorporated by reference; see § 430.3) for the testing of standby mode power. 4.2.3. Standby mode is initiated when the CFL is connected to the power supply and lumen output is zero. 10. Section 430.32 is amended by revising paragraph (u) to read as follows: ■ § 430.32 Energy and water conservation standards and their effective dates. * * * * * (u) Compact fluorescent lamps—(1) Medium base compact fluorescent lamps. A bare or covered (no reflector) medium base compact fluorescent lamp manufactured on or after January 1, 2006, must meet the following requirements: Requirements Labeled Wattage (Watts) & Configuration * ................. Bare Lamp: Labeled Wattage < 15 .......................................... Labeled Wattage ≥ 15 .......................................... Covered Lamp (no reflector): Labeled Wattage < 15 .......................................... 15 ≤ Labeled Wattage < 19 .................................. 19 ≤ Labeled Wattage < 25 .................................. Labeled Wattage ≥ 25 .......................................... Lumen Maintenance at 1,000 Hours ........................... Lumen Maintenance at 40 Percent of Lifetime ........... Rapid Cycle Stress Test .............................................. VerDate Sep<11>2014 45755 Jkt 235001 PO 00000 Measured initial lamp efficacy (lumens per watt) must be at least: 45.0. 60.0. 40.0. 48.0. 50.0. 55.0. ≥90.0%. ≥80.0%. Each lamp must be cycled once for every 2 hours of lifetime of compact fluorescent lamp as defined in § 430.2. At least 5 lamps must meet or exceed the minimum number of cycles. Frm 00033 Fmt 4701 Sfmt 4702 E:\FR\FM\31JYP2.SGM 31JYP2 45756 Federal Register / Vol. 80, No. 147 / Friday, July 31, 2015 / Proposed Rules Factor Requirements Lifetime ........................................................................ ≥6,000 hours. * Use labeled wattage to determine the appropriate efficacy requirements in this table; do not use measured wattage for this purpose. * (2) [Reserved] * * * * [FR Doc. 2015–17866 Filed 7–30–15; 8:45 am] asabaliauskas on DSK5VPTVN1PROD with PROPOSALS BILLING CODE 6450–01–P VerDate Sep<11>2014 18:00 Jul 30, 2015 Jkt 235001 PO 00000 Frm 00034 Fmt 4701 Sfmt 9990 E:\FR\FM\31JYP2.SGM 31JYP2

Agencies

DEPARTMENT OF ENERGY

[Federal Register Volume 80, Number 147 (Friday, July 31, 2015)]
[Proposed Rules]
[Pages 45723-45756]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-17866]

[[Page 45723]]

Vol. 80

Friday,

No. 147

July 31, 2015

Part II

Department of Energy

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10 CFR Parts 429 and 430

Energy Conservation Program: Test Procedures for Compact Fluorescent
Lamps; Proposed Rule

Federal Register / Vol. 80 , No. 147 / Friday, July 31, 2015 /
Proposed Rules

[[Page 45724]]

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2015-BT-TP-0014]
RIN 1904-AC74

Energy Conservation Program: Test Procedures for Compact
Fluorescent Lamps

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

ACTION: Notice of proposed rulemaking and announcement of public
meeting.

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SUMMARY: The U.S. Department of Energy (DOE) proposes to amend and
expand its test procedures for medium base compact fluorescent lamps
(MBCFLs). DOE proposes to replace references to ENERGY STAR
requirements with references to the latest versions of industry
standard test methods, which, with certain modifications, would replace
the existing MBCFL test procedures. DOE is proposing to make these
amendments in the existing appendix W to subpart B (Appendix W),
renamed as ``Uniform Test Method for Measuring the Energy Consumption
of Compact Fluorescent Lamps.'' In addition, DOE proposes to establish
test procedures that would support the ongoing energy conservation
standards rulemaking for general service lamps (GSLs) (GSL standards
rulemaking), including test methods for new performance metrics and for
additional compact fluorescent lamp (CFL) categories, including non-
integrated CFLs and integrated CFLs that are not MBCFLs. DOE also
proposes to revise its sampling plan for manufacturers to certify that
their CFLs comply with the applicable energy conservation standards.
DOE proposes to incorporate measures of standby mode power consumption
in its test procedures. DOE also proposes various other conforming
amendments. DOE also announces a public meeting to receive comments on
these proposed amendments to the test procedures.

DATES: DOE will hold a public meeting on Monday, August 31, 2015, from
9 a.m. to 4 p.m., in Washington, DC. The meeting will also be broadcast
as a webinar. See section V, ``Public Participation,'' for webinar
registration information, participant instructions, and information
about the capabilities available to webinar participants.
DOE will accept comments, data, and information regarding this
Notice of Proposed Rulemaking (NOPR) before and after the public
meeting, but no later than October 14, 2015. See section V, ``Public
Participation,'' for details.

ADDRESSES: The public meeting will be held at the U.S. Department of
Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue SW.,
Washington, DC 20585.
Any comments submitted must identify the NOPR for Test Procedures
for Compact Fluorescent Lamps, and provide docket number EERE-2015-BT-
TP-0014 and/or regulatory information number (RIN) 1904-AC74. 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: CFL2015TP0014@ee.doe.gov. Include the docket number EERE-
2015-BT-TP-0014 and/or RIN 1904-AC74 in the subject line of the
message.
3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building
Technologies Office, Mailstop EE-2J, 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. Brenda Edwards, 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 notice,
``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 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 www.eere.energy.gov/buildings/appliance_standards/product.aspx/productid/28. This Web page
will link to the docket for this notice on the www.regulations.gov
site. The www.regulations.gov site will contain 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 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:
Lucy.deButts@ee.doe.gov.
Ms. Celia Sher, U.S. Department of Energy, Office of the General
Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 287-6122. Email: celia.sher@hq.doe.gov.
For further information on how to submit a comment, review other
public comments and the docket, or participate in the public meeting,
contact Ms. Brenda Edwards at (202) 586-2945 or by email:
Brenda.Edwards@ee.doe.gov.

SUPPLEMENTARY INFORMATION: DOE intends to incorporate by reference the
following industry standards into 10 CFR part 430:
(1) ANSI_IEC C78.901-2014, ``American National Standard for
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and
Electrical Characteristics.''
Copies of ANSI_IEC C78.901-2014 can be obtained from ANSI Attn:
Customer Service Department, 25 W. 43rd Street, 4th Floor, New York, NY
10036, or by going to https://webstore.ansi.org/.
(2) IES LM-54-12, ``IES Guide to Lamp Seasoning.''
(3) IES LM-65-14, ``IES Approved Method for Life Testing of Single-
Based Fluorescent Lamps.''
(4) IES LM-66-14, ``IES Approved Method for the Electrical and
Photometric Measurements of Single-Based Fluorescent Lamps.''
(5) IESNA LM-78-07, ``IESNA Approved Method for Total Luminous Flux
Measurement of Lamps Using an Integrating Sphere Photometer.''
Copies of IES LM-54-12, IES LM-65-14, IES LM-66-14, and IES LM-78-
07 can be obtained from IES, 120 Wall Street, Floor 17, New York, NY
10005-4001, or by going to www.ies.org/store.

Table of Contents

I. Authority and Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
A. Seven-Year Test Procedure Review
B. Amendments to Appendix W to Subpart B of 10 CFR Part 430
1. Updates to Industry Test Methods
a. IES LM-66-14 ``IES Approved Method for the Electrical and
Photometric

[[Page 45725]]

Measurements of Single-Based Fluorescent Lamps''
b. IES LM-54-12 ``IES Guide to Lamp Seasoning''
c. IES LM-65-14 ``IES Approved Method for Life Testing of
Single-Based Fluorescent Lamps''
2. Clarifications to General Test Conditions and Setup
a. Instrumentation
b. Ambient Temperature
c. Input Voltage
d. Lamp Orientation
e. Lamp Seasoning
f. Lamp Stabilization
g. Fixtures
h. Ballasted Adapters
i. Multi-Level CFLs and Dimmable CFLs
3. Clarifications to Definitions
a. Average Rated Life
b. Initial Performance Values
c. Lumen Maintenance
d. Rated Supply Frequency
e. Rated Wattage
f. Self-Ballasted Compact Fluorescent Lamp
4. Test Procedures for Existing and New Metrics
a. Test Procedures for Initial Lamp Efficacy, Lumen Maintenance,
CCT, CRI, and Power Factor
b. Test Procedures for Time to Failure and Rapid Cycle Stress
c. Test Procedure for Start Time
5. Test Procedures for New CFL Categories
a. Test Procedures for Integrated CFLs
b. Test Procedures for Non-Integrated CFLs
c. Test Procedures for Hybrid CFLs
6. Test Procedure for Standby Mode Power
7. Rounding Values
C. Amendments to Definitions at 10 CFR 430.2
1. Compact Fluorescent Lamp
2. Correlated Color Temperature
D. Amendments to Materials Incorporated by Reference at 10 CFR
430.3
E. Amendments to 10 CFR 430.23(y)
F. Amendments to Laboratory Accreditation Requirements at 10 CFR
430.25
G. Clarifications to Energy Conservation Standard Text at 10 CFR
430.32(u)
1. Initial Lamp Efficacy
2. Lumen Maintenance at 1,000 Hours
3. Lumen Maintenance at 40 Percent of Lifetime
4. Rapid Cycle Stress Test
5. Lifetime
H. Amendments to Certification Report Requirements
I. Amendments to 10 CFR 429.35
1. Initial Lamp Efficacy and Lumen Maintenance
2. Rapid Cycle Stress Testing
3. Lifetime of a Compact Fluorescent Lamp
4. New Metrics
5. Reuse of Samples
J. Federal Trade Commission (FTC) Labeling Requirements
K. Effective Date and Compliance Dates
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
1. Small Business Manufacturers of Covered Products
2. Burden Related to Proposed Amendments to Appendix W
a. Updates to Industry Test Methods
b. Test Procedures Scope of Coverage
c. Proposed New Test Procedures
d. Sample Size
e. Analysis of Burden
f. Summary
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 the 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. Attendance at Public Meeting
B. Procedure for Submitting Prepared General Statement for
Distribution
C. Conduct of Public Meeting
D. Submission of Comments
E. 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. All references to
EPCA refer to the statute as amended through the Energy Efficiency
Improvement Act of 2015 (EEIA 2015), Public Law 114-11 (April 30,
2015). 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 include CFLs, the
subject of this NOPR.
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 the 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))
The Energy Policy Act of 2005 (Pub. L. 109-58) amended EPCA to
require that MBCFL test procedures be based on the August 2001 version
of the ``ENERGY STAR[supreg] Program Requirements for CFLs.'' \1\ (42
U.S.C. 6293(b)(12)) Consistent with this requirement, DOE published a
final rule in December 2006 (December 2006 final rule) and established
DOE's current test procedures for MBCFLs under 10 CFR part 430, subpart
B, appendix W. 71 FR 71340 (Dec. 8, 2006).\2\
---------------------------------------------------------------------------

\1\ ENERGY STAR[supreg] Program Requirements for CFLs Partner
Commitments, Version 2.0. August 9, 2001. Washington, DC.
www.energystar.gov/ia/partners/product_specs/program_reqs/archive/CFLs_Program_RequirementsV2.0.pdf.
\2\ On December 8, 2006, DOE incorporated by reference the
ENERGY STAR[supreg] Program Requirements for CFLs, ENERGY STAR
Eligibility Criteria, Energy-Efficiency Specification, Version 2.0
as the Department's test procedures for measuring the energy
performance of MBCFLs. Information on the ENERGY STAR program is
available at www.energystar.gov.
---------------------------------------------------------------------------

Additionally, EPCA requires that at least once every 7 years, DOE
must conduct an evaluation of all covered products and either amend the
test procedures or publish a determination in the Federal Register not
to amend them. (42 U.S.C. 6293(b)(1)(A)) DOE is undertaking this
rulemaking, including the publication of this NOPR, to meet this EPCA
requirement. As discussed in section III.B.1 of this NOPR, DOE is
proposing to replace the existing references to ENERGY STAR program
requirements with direct references to the latest versions of the
appropriate industry test methods from IES. Directly referencing the
latest industry standards will allow DOE to adopt current best
practices and technological developments in its test procedures.
Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures
DOE must follow when prescribing or amending test procedures for
covered products. (42 U.S.C. 6293(b)) EPCA provides, in relevant part,
that any test procedures prescribed or amended under this section shall
be reasonably designed to produce test results that 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 amend the test procedures
currently applicable to MBCFLs to include additional CFL categories in
support of the ongoing GSL standards rulemaking.
If DOE determines that a test procedure amendment is warranted, it

[[Page 45726]]

must publish the proposed test procedure and offer the public an
opportunity to present oral and written comments on them. (42 U.S.C.
6293(b)(2)) In any rulemaking to amend test procedures, DOE must
determine to what extent, if any, the proposed test procedures would
alter the measured energy efficiency of any covered products as
determined under the existing test procedures. (42 U.S.C. 6293(e)(1))
Finally, EPCA directs DOE to amend its test procedures for all
covered products to integrate measures of standby mode and off mode
energy consumption, if technically feasible. (42 U.S.C. 6295(gg)(2)(A))
Standby mode and off mode energy must be incorporated into the overall
energy efficiency, energy consumption, or other energy descriptor for
each covered product unless the current test procedures already account
for and incorporate standby and off mode energy consumption or such
integration is technically infeasible. If an integrated test procedure
is technically infeasible, DOE must prescribe a separate standby mode
and off mode energy use test procedure for the covered product. Id. Any
such amendment must consider the most current versions of the IEC
Standard 62301 \3\ and IEC Standard 62087 \4\ as applicable. DOE has
tentatively determined that CFLs operate under standby mode but not
under off mode. Consistent with EPCA's relevant requirement, DOE
proposes to address measurement of standby mode power in Appendix W, as
detailed in section III.B.6 of this NOPR.
---------------------------------------------------------------------------

\3\ Household electrical appliances--Measurement of standby
power (Edition 2.0, 2011-01).
\4\ Methods of measurement for the power consumption of audio,
video, and related equipment (Edition 3.0, 2011-04).
---------------------------------------------------------------------------

II. Synopsis of the Notice of Proposed Rulemaking

In this NOPR, DOE proposes to amend DOE's current test procedures
for MBCFLs contained in Appendix W. These amendments include (1)
replacing references to ENERGY STAR requirements with references to the
latest versions of industry standards; (2) revising certain
definitions; (3) providing further instruction on test setup, test
methods, and sampling requirements; and (4) removing testing specific
language from the existing MBCFL energy conservation standards
contained in 10 CFR 430.32(u). DOE has tentatively concluded that these
proposed amendments will not affect any measurements required to comply
with existing standards, as detailed in the discussion of each proposed
amendment.
DOE also proposes to (1) adopt test procedures for additional CFL
categories in support of the ongoing GSL standards rulemaking, (2)
adopt test procedures for additional CFL metrics in support of the
ongoing GSL standards rulemaking, (3) adopt a test procedure for
measuring standby mode power consumption for MBCFLs and all other CFL
categories covered by the ongoing GSL standards rulemaking, as
appropriate, and (4) adopt a revised sampling plan for MBCFLs and all
other CFL categories covered by the ongoing GSL standards rulemaking.
In order to support the ongoing GSL standards rulemaking, DOE is
proposing to expand the existing MBCFL test procedures to include
additional CFL categories. DOE's existing energy conservation standards
and test procedures apply only to integrated (also referred to as self-
ballasted or integrally ballasted) MBCFLs. The ongoing GSL standards
rulemaking addresses CFLs, including non-integrated CFLs and integrated
CFLs. Similarly, additional CFL metrics may be necessary to support
potential standards from the ongoing GSL standards rulemaking.\5\
Therefore, in this NOPR, DOE proposes to establish test procedures for
additional CFL categories and CFL metrics in Appendix W. Additionally,
DOE proposes to establish a test procedure for CFL standby mode power
consumption, as directed by EPCA; this test procedure would only apply
to integrated CFLs because non-integrated CFLs are not capable of
standby mode operation. DOE also proposes to revise the current
sampling plan in 10 CFR 429.35 to ensure more representative and
accurate values of the existing metrics and to address the proposed new
metrics in Appendix W.
---------------------------------------------------------------------------

\5\ Information regarding the General Service Lamps Rulemaking
can be found on regulations.gov, docket number EERE-2013-BT-STD-0051
at www.regulations.gov/#!docketDetail;D=EERE-2013-BT-STD-0051.
---------------------------------------------------------------------------

DOE is also proposing a revised sampling plan that is consistent
with ``ENERGY STAR[supreg] Program Requirements Product Specification
for Lamps (Light Bulbs), Eligibility Criteria, Version 1.1'' (effective
September 30, 2014) \6\ (hereafter ``ENERGY STAR Lamps Specification
v1.1''), as detailed in section III.I. Further, the metrics required in
the proposed test procedures are also required by ENERGY STAR Lamps
Specification v1.1. Therefore, the proposed test procedures in Appendix
W can be conducted concurrently with ENERGY STAR certification without
significant additional burden.
---------------------------------------------------------------------------

\6\ ENERGY STAR[supreg] Program Requirements Product
Specification for Lamps (Light Bulbs), Eligibility Criteria, Version
1.1. August 28, 2014. Washington, DC. www.energystar.gov/sites/default/files/ENERGY%20STAR%20Lamps%20V1%201_Specification.pdf
---------------------------------------------------------------------------

III. Discussion

A. Seven-Year Test Procedure Review

In undertaking this rulemaking, DOE is fulfilling its statutory
obligation under EPCA to review its test procedures for all covered
products, including MBCFLs, at least once every 7 years. (42 U.S.C.
6293(b)(1)(A)) Within this period, DOE must either: (1) Amend the test
procedure to improve its measurement representativeness or accuracy or
reduce its burden, or (2) determine that such amendments are
unnecessary. Id. Although DOE is proposing revisions only to certain
parts of the existing test procedures, DOE requests comment on all
aspects of DOE's test procedures, including those provisions appearing
at 10 CFR 429.35, 10 CFR 430.23, and Appendix W, as well as comments on
current best practices and technological developments that may warrant
additional amendments.

B. Amendments to Appendix W to Subpart B of 10 CFR Part 430

In this NOPR, DOE proposes several updates to the existing test
procedures for MBCFLs as specified in Appendix W. Specifically, DOE
proposes to (1) replace references to ENERGY STAR requirements with
references to the latest versions of industry standards, (2) revise
certain definitions, and (3) provide further instruction on test setup
and test methods. DOE has tentatively concluded that since these
changes mainly provide clarifications to the existing test procedures
for MBCFLs, these amendments would not significantly alter measured
values requiring compliance for existing standards for MBCFLs, nor
would they pose an increased test burden to manufacturers.
This NOPR also proposes to expand the existing test procedures to
additional CFL categories (i.e., non-MBCFL integrated, non-integrated,
and hybrid CFLs), include test procedures for additional CFL metrics,
and include a test procedure to measure standby mode power consumption
of CFLs where applicable.
DOE is proposing the inclusion of additional CFL categories and
metrics in support of the ongoing GSL standards rulemaking. In the
ongoing GSL standards rulemaking, DOE is considering revising and/or
developing

[[Page 45727]]

standards for integrated and non-integrated CFLs, as well as requiring
additional CFL metrics, including correlated color temperature (CCT),
color rendering index (CRI), start time, and power factor. Should DOE
establish energy conservation standards for these additional CFL
categories and require additional metrics in the ongoing GSL standards
rulemaking, DOE must first prescribe test procedures for these
products, as required by EPCA. (42 U.S.C. 6295(o)(3)(A)) Therefore, DOE
is proposing test procedures for additional CFL categories and metrics
in this NOPR. DOE also proposes to delete the text ``medium base'' from
the title of Appendix W to reflect the proposed inclusion of additional
CFL categories.
Further, DOE is proposing a test procedure for measuring standby
mode power consumption of CFLs, where applicable, according to the EPCA
requirement that test procedures for all covered products must
integrate measures of standby mode and off mode energy consumption, if
technically feasible. (42 U.S.C. 6295(gg)(2)(A))
DOE has tentatively concluded that test procedures proposed in
Appendix W do not pose an undue burden to manufacturers. The additional
metrics of CCT, CRI, start time, and power factor would require
equipment that is considered standard laboratory equipment or already
used for the measurement of existing metrics. The measurements of these
metrics would likely not require considerable time. Additionally, DOE
is proposing to require the same sample of units to be used for initial
lamp efficacy, lifetime, lumen maintenance values, CRI, CCT, power
factor, start time, and standby mode power.
In the sections that follow, DOE discusses the proposed test
procedures for CFLs in Appendix W including (1) industry standard test
procedures incorporated by reference; (2) definitions; (3) general
instructions; (4) test procedures for existing and new metrics (i.e.,
CCT, CRI, power factor, and start time); (5) test procedures for
additional CFL categories (i.e., non-MBCFL integrated, non-integrated,
and hybrid CFLs); (6) a test procedure for measuring standby mode power
consumption; and (7) rounding requirements.
1. Updates to Industry Test Methods
DOE's existing MBCFL test procedures contained in Appendix W are
based on the August 2001 version of the ``ENERGY STAR[supreg] Program
Requirements for CFLs,'' \7\ which has since been updated several
times. DOE is proposing to replace the existing references to ENERGY
STAR program requirements with direct references to the latest versions
of the appropriate industry test methods from IES. Directly referencing
the latest industry standards will allow DOE to adopt current best
practices and technological developments in its test procedures. Test
procedures for all additional CFL categories and new CFL metrics
proposed in this NOPR would also reference these latest versions of
relevant industry standards.
---------------------------------------------------------------------------

\7\ ENERGY STAR[supreg] Program Requirements for CFLs Partner
Commitments, Version 2.0. August 9, 2001. Washington, DC.
www.energystar.gov/ia/partners/product_specs/program_reqs/archive/CFLs_Program_RequirementsV2.0.pdf
---------------------------------------------------------------------------

More specifically, the ENERGY STAR program requirements referenced
IES LM-66-1991 \8\ for photometric measurements and IES LM-65-1991 \9\
for lifetime testing measurements.\10\ IES LM-66-1991 in turn
referenced IES LM-54-1991 \11\ for lamp seasoning guidance. Therefore,
DOE proposes to directly incorporate by reference in Appendix W the
latest versions of these industry test procedures: IES LM-66-14,\12\
IES LM-65-14,\13\ and IES LM-54-12.\14\ Accordingly, DOE proposes to no
longer incorporate by reference the August 2001 version of the ENERGY
STAR Program Requirements for CFLs, previously approved for Appendix
W.\15\
---------------------------------------------------------------------------

\8\ Electrical and Photometric Measurements of Single-Ended
Compact Fluorescent Lamps (approved June 1991).
\9\ Life Testing of Single-Ended Compact Fluorescent Lamps
(approved June 1991).
\10\ Until recently, the Illuminating Engineering Society of
North America used the acronym ``IESNA.'' For simplicity, this NOPR
applies the currently used ``IES'' acronym to all IES publications.
\11\ Lamp Seasoning (approved June 1991).
\12\ IES Approved Method for the Electrical and Photometric
Measurements of Single-Based Fluorescent Lamps (approved December
30, 2014).
\13\ IES Approved Method for Life Testing of Single-Based
Fluorescent Lamps (approved December 30, 2014).
\14\ IES Guide to Lamp Seasoning (approved October 22, 2012).
\15\ Incorporation by reference located at 10 CFR 430.3.
---------------------------------------------------------------------------

Industry periodically updates its test procedure standards to
account for changes in product lines and/or developments in test
methodology and equipment. In considering whether to incorporate an
updated industry standard, DOE must ensure that any amended test
procedure would not be unduly burdensome to conduct. (42 U.S.C.
6293(b)(3)) DOE has preliminarily determined that the changes
associated with adoption of the updated versions of industry standards
would not be unduly burdensome for manufacturers of CFLs for which DOE
is proposing test procedures in this NOPR.
When DOE modifies test procedures, EPCA requires that DOE determine
to what extent, if any, the new test procedure would alter the measured
energy use of covered products. (42 U.S.C. 6293(e)(1)) DOE compared the
currently referenced versions and the proposed updated versions of the
relevant industry standards to determine, as directed by EPCA, whether
adopting the latest industry standards would alter measured energy
efficiency for MBCFLs, which are currently regulated and are subject to
existing DOE test procedures. In its review of the updated versions of
industry standards, DOE identified some provisions in the revised
industry test procedures that could potentially result in small changes
in measured values of MBCFLs (e.g., modifications to impedance
thresholds, preburning ambient conditions). DOE has tentatively
determined that these changes would have no more than a de minimis
effect on measured values and test burden.\16\ Thus, DOE tentatively
concludes that these amendments in the NOPR do not affect reported
efficacy values to the extent that would warrant modifications to
energy conservation standards. DOE requests comment on its proposed
incorporation of updated versions of industry standards and its
tentative conclusion that the updates would not have a significant
impact on measured values for MBCFLs or test burden for CFL
manufacturers. The following sections discuss in more detail each of
the updated industry standards and impacts on measured values of MBCFLs
and test burden.
---------------------------------------------------------------------------

\16\ In this notice, changes in efficacy that are described as
``de minimis'' are considered to be within measurement error or
variation.
---------------------------------------------------------------------------

a. IES LM-66-14 ``IES Approved Method for the Electrical and
Photometric Measurements of Single-Based Fluorescent Lamps''
IES LM-66-1991 specified procedures for taking electrical and
photometric measurements of CFLs (including MBCFLs). As discussed in
section III.B.1, this industry standard has been updated with a 2014
edition. DOE is proposing to directly incorporate by reference IES LM-
66-14, and to no longer incorporate by reference the August 2001
version of the ENERGY STAR Program Requirements for CFLs, which
referenced the 1991 version of LM-66. A review indicates that
incorporating the 2014 edition of IES LM-66 would provide further

[[Page 45728]]

clarification of the test procedures and improve the test methodology.
DOE has identified the following eight key updates in the 2014
edition of IES LM-66 (IES LM-66-14) and discusses their impact on
MBCFLs in greater detail in this section. Specifically, IES LM-66-14:
(1) Adds lamp vibration requirements,
(2) removes the quantitative airflow recommendation from ambient
conditions,
(3) modifies the lamp orientation requirements,
(4) clarifies the voltage waveshape requirements for the power
supply,
(5) modifies the type of instrument used for measuring power,
voltage, and current,
(6) modifies electrical instrumentation requirements related to
frequency response, impedance, tolerance, and power factor
(7) modifies the lamp handling requirements, and
(8) modifies the lamp stabilization methodology.
One of the key updates in IES LM-66-14 is the addition of vibration
requirements. Section 4.2 of IES LM-66-14 states that lamps should not
be subjected to excessive vibration or shock during testing, storage,
or handling. Section 7.2 of IES LM-66-1991 stated that care must be
taken to avoid shaking or bumping the lamp during transfer as this
could cause mercury to dislodge from the cool zones. DOE has determined
that this update only rephrases the requirement that lamps should not
be subjected to excessive vibration or shock, during testing, storage,
or handling without changing the substantive meaning. For this reason,
DOE has tentatively concluded that the revised vibration requirements
would not impact measured values or increase test burden.
IES LM-66-14 does not include a quantitative airflow recommendation
that was included in the 1991 edition. Section 4.4 of IES LM-66-14
states that air movement can substantially alter measured values and
that no discernable airflow, other than that from the tested device, is
allowed; it also specifies that discernable airflow can be tested by
hanging a single ply tissue paper in place of the lamp. Section 3.3 of
IES LM-66-1991 had recommended that the airflow not exceed 5 meters per
minute. Upon review, DOE has tentatively concluded that because the
quantitative airflow specification in IES LM-66-1991 was only a
recommendation and the guidelines of the procedure remain the same, the
changes would have no more than a de minimis effect on measured values
and test burden.
IES LM-66-14 also modifies the lamp orientation (i.e., position)
requirements during testing. Section 4.5 of IES LM-66-14 states that
the operating orientation of the lamps under test should be as
specified by the manufacturer, and that when an orientation is not
specified, or where more than one orientation is specified, the lamp
should be tested in the orientation that will be used in the
application and shall be reported in the test report; it also states
that seasoning, preburning, and photometric measurements shall all be
done with the lamp in the same orientation. Sections 7.1, 7.2, 7.6, and
11.2 of IES LM-66-1991 required testing in a base up position. However,
10 CFR 429.35 specifies the operating orientation for MBCFLs. The
modification to the lamp orientation in IES LM-66-14 will not impact
measured values as the requirements currently in 10 CFR 429.35, and as
proposed in Appendix W, dictate orientation. For these reasons, DOE has
tentatively concluded that the revised lamp orientation requirement in
IES LM-66-14 would not impact measured values or increase test burden.
IES LM-66-14 also clarifies the voltage waveshape requirements of
the power supply. Section 5.1.1 of IES LM-66-14 states that the power
supply shall have a sinusoidal voltage waveshape such that the total
harmonic distortion (THD) does not exceed 3 percent of the fundamental
frequency when operating a purely resistive load. Section 2.1 of IES
LM-66-1991 stated that the AC power supply, while operating the test
lamp, should have a voltage waveshape such that the root mean square
(RMS) summation of the harmonic components does not exceed 3 percent of
the fundamental. DOE understands that alternating current (AC) power
supplies are expected to provide a sinusoidal voltage waveshape, and
that in practice industry may already use a purely resistive load to
determine power supply THD. For these reasons, DOE has tentatively
concluded that the clarified voltage waveshape requirements in IES LM-
66-14 would not impact measured values or increase test burden.
IES LM-66-14 also restricts the type of instrument used for
measurement of power, voltage, and current. Section 5.2 of IES LM-66-14
requires the use of a multifunction instrument in the measurement
circuit. Section 5 of IES LM-66-1991 permitted the use of multiple
single-function instruments in lieu of a single multifunction
instrument; however, it also stated that a single multifunction
instrument offers the advantage of simplicity and in most cases
eliminates the need for correction. DOE understands that in practice
industry may already use a single multifunction instrument in lieu of
multiple single-function instruments. DOE has tentatively concluded
that the required use of a multifunction instrument would not impact
measured values or increase test burden.
IES LM-66-14 also adds a requirement for frequency response of
measurement instruments. Section 5.3.1 of IES LM-66-14 states that for
high frequency measurements, instruments shall have minimum frequency
response of 100 kilohertz (kHz). IES LM-66-1991 did not state a minimum
frequency response for high frequency measurements. DOE understands
that in practice industry may already use instruments with a minimum
100 kHz frequency response for high frequency measurements of MBCFLs
that contain electronic ballasts. DOE has tentatively concluded that
the added requirement for minimum frequency response would not impact
measured values or increase test burden.
IES LM-66-14 also modifies the impedance thresholds for electrical
instrumentation. Section 5.3.2 of IES LM-66-14 states that voltage
inputs of the multifunction meter must have input impedances greater
than 1 megaohm (M[Omega]), and current inputs must have impedances less
than 20 milliohms (m[Omega]). Accordingly, IES LM-66-14 also does not
contain a section from IES LM-66-1991 addressing measurement
corrections for using instruments with lower impendences (i.e., under 1
M[Omega]). Section 8.2 of IES LM-66-1991 had stated that instruments
connected in parallel with the lamp may not draw more than 1 percent of
the lamp rated current, and instruments in series should have an
impedance such that the voltage across the instrument coil does not
exceed 2 percent of the rated lamp voltage. The updated impedance
thresholds in IES LM-66-14 should help reduce potential error by
eliminating the need to correct measured values. Because the updates to
impedance limitations mainly affect error correction and ensure
accurate measurements, DOE has tentatively concluded that these changes
would not affect measured values or pose additional test burden.
IES LM-66-14 also modifies electrical instrumentation requirements
related to instrument tolerance and power factor. Section 5.3.3 of IES
LM-66-14 states that instrument tolerance (i.e., accuracy) shall be
0.5 percent or less for voltage and current, and 0.75 percent or less

[[Page 45729]]

for wattage. Section 8.1 of IES LM-66-1991 included these same criteria
as recommendations rather than requirements, and had limited their
application to frequencies up to 2,000 hertz (Hz). Further, IES LM-66-
14 does not contain a specification from IES LM-66-1991 that the power
factor for ammeters and voltmeters not exceed 20 percent. Upon review,
DOE has tentatively concluded that these modifications would ensure
accurate and consistent measurements and would not have more than a de
minimis impact on measured values and test burden.
IES LM-66-14 also modifies the handling requirements for CFLs,
including MBCFLs. Section 6.1.1 of IES LM-66-14 references the
description for handling in IES LM-54-12. Section 6.1.1 of IES LM-54-12
states that CFLs should cool for at least one hour prior to being
disturbed. It also recommends that lamps removed for evaluation,
handling, transporting, or storing should be maintained in the same
orientation as during the seasoning to reduce lamp stabilization time.
Section 7.2 of IES LM-66-1991 stated that the lamp will be less
sensitive to movement if it is allowed to cool down for 15 minutes
before being transferred to the photometric equipment. DOE understands
that in practice industry may already be handling CFLs in this manner
to maintain the consistency and integrity of the testing while
evaluating, transporting, and/or storing lamps. Therefore, DOE has
tentatively concluded that the modified handling requirements would not
have a significant impact on measured values or increase test burden.
Section 6.2.1 of IES LM-66-14 also modifies the lamp stabilization
methodology by now including a preferred four step method for
determining if a CFL is stable. The new methodology involves taking six
consecutive lumen output measurements at 1-minute intervals, averaging
these measurements, and then calculating the stability, as a
percentage, by dividing the difference between the maximum and minimum
measured values by the average value. If stability exceeds 1 percent
for the period, lumen output measurements in 1-minute intervals must
continue until stability over six consecutive lumen output measurements
is achieved. When the 1 percent threshold is met, the lamp is
considered stable. Section 1.2 of IES LM-66-1991 stated that
stabilization refers to the burning of test lamps for a sufficient
period of time such that electrical and photometric values are
constant; section 7.3 further stated that 15 minutes is usually
sufficient for stability, although periodically checking measured
lumens, lamp volts, or both is preferred. Upon review, DOE has
tentatively concluded that the new methodology provides more detailed
instruction for determining when a lamp is stable and would have no
more than a de minimis effect on measured values and test burden.
In addition to the previously mentioned updates, IES LM-66-14
provides recommendations and further guidance that remove a number of
ambiguities in the previous version (e.g., updates to definitions,
organization, and references). Because these proposed updates do not
involve substantive changes to the test setup and methodology, but
rather just clarifications, DOE has tentatively concluded they would
not affect measured values or pose additional test burden.
DOE requests comments on its assessment of the updates in IES LM-
66-14 and their impacts on measured values of MBCFLs and test burden.
b. IES LM-54-12 ``IES Guide to Lamp Seasoning''
IES LM-54-1991 specified procedures for seasoning CFLs (including
MBCFLs). As discussed in section III.B.1, IES LM-54-1991 has been
updated with a 2012 edition, IES LM-54-12. Section 6.1.2 of IES LM-66-
14, which DOE is proposing to directly incorporate by reference, states
that all new single-based fluorescent lamps selected for test shall be
seasoned per IES LM-54-12. DOE is proposing to directly incorporate by
reference IES LM-54-12, and to no longer incorporate by reference the
August 2001 version of the ENERGY STAR Program Requirements for CFLs,
which referenced the 1991 version of LM-54. A review of the updated
standard indicates that incorporating the 2012 edition of IES LM-54
would provide further clarification and improvements in the methodology
for lamp seasoning.
DOE has identified the following six key updates to the seasoning
procedures in the 2012 edition of IES LM-54 (IES LM-54-12) and
discusses their impact on MBCFL testing and their measured values.
Specifically, IES LM-54-12
(1) specifies ambient temperature limits and clarifies general
temperature conditions,
(2) adds an airflow requirement,
(3) modifies the lamp operating cycle,
(4) adds several electrical conditions,
(5) modifies the lamp operating orientation, and
(6) modifies the lamp seasoning time.
The first key update in IES LM-54-12 is a specification of ambient
temperature limits during seasoning. Section 4.3 of IES LM-54-12 allows
ambient temperature to be within manufacturer specified limits and
suggests that these limits are typically between 15 [deg]C and 35
[deg]C. IES LM-54-1991 did not specify ambient temperature
requirements. However, IES LM-66-1991, indirectly referenced in DOE's
existing test procedures for MBCFLs, contained ambient temperature
requirements for preburning. Specifically, section 7.1 of IES LM-66-
1991 stated that ambient temperature for preburning should not exceed
40 [deg]C. While IES LM-54-12 does not contain this specification, it
does state that seasoning should be suspended when the recommended
testing temperature range is exceeded and notes that temperatures above
40 [deg]C could be deleterious to the lamp and its components. The
updated version also now requires maintaining critical lamp
temperatures (e.g., bulb wall temperature or control point temperature)
when specified by the manufacturer. Therefore, the changes in ambient
temperature and general temperature requirements for seasoning from the
adoption of IES LM-54-12 are not in conflict with the currently
incorporated industry standards, but rather provide testing
clarification and more substantial guidance. For these reasons, DOE has
tentatively concluded that the updates in temperature conditions for
seasoning adopted in IES LM-54-12 would not have more than a de minimis
impact on measured values or test burden.
IES LM-54-12 also adds an airflow requirement for CFLs during
seasoning. Section 4.4 of IES LM-54-12 states that airflow shall be
minimized for proper lamp starting and operation, and notes that the
lamps shall be spaced to allow airflow around each lamp. IES LM-54-1991
did not address airflow during seasoning. It is DOE's understanding,
however, that the airflow requirements of IES LM-54-12 were, in
practice, already followed prior to their adoption. Therefore, DOE has
tentatively concluded that the addition of a qualitative requirement
for lamp spacing to ensure proper airflow during seasoning in IES LM-
54-12 would not impact measured values. In addition, IES LM-54-12
modifies the lamp operating cycle requirements. Section 2.2 of IES LM-
54-1991 required that all lamps be seasoned at a 3 hour on, 20 minute
off cycle for 100 operating hours. Section 6.2.2.1 of IES LM-54-12
specifies that lamps that are to be

[[Page 45730]]

lifetime tested shall be cycled during seasoning. However, IES LM-54-12
further states that lamps to be tested for other performance metrics
can be continuously burned during seasoning to shorten the time
required for seasoning. Nonetheless, both versions of the standard
require seasoning the lamp for a certain period of time before taking
photometric and electrical measurements; consequently, DOE believes
that measured photometric and electrical values do not depend on the
extent to which lamps are cycled during seasoning. Similarly, because
lamps are still required to be seasoned prior to lifetime testing, DOE
believes that no longer providing a specific operating cycle for this
seasoning would not have a significant impact on the measured value of
lifetime. Because these modifications do not remove the requirement of
seasoning but only modify how it is conducted, DOE believes that they
do not change the ultimate result of seasoning the lamp prior to
measurements and subsequently do not have more than a de minimis impact
on the measured values and test burden.
IES LM-54-12 specifies several electrical conditions that should be
maintained during seasoning. Section 5.1.1 of IES LM-54-12 states that
frequency of the power supply shall conform to the rated frequency of
the ballast, while IES LM-54-1991 did not contain a requirement for
frequency of the power supply. DOE does not anticipate measured values
or test burden would be impacted by the added specification because
this statement is simply a clarification and not a departure from
existing test procedures.
Section 5.1.2 of IES LM-54-12 states that for AC power
installations, the power supply shall have a voltage waveshape such
that the total harmonic distortion does not exceed 3 percent of the
fundamental frequency. IES LM-54-1991 did not contain a requirement for
voltage waveshape, but this same requirement was given in section 2.1
of IES LM-66-1991 and is also given in section 5.1.1 of IES LM-66-14,
as discussed in section III.B.1.a of this NOPR. DOE understands this is
general practice in industry and is a clarifying statement only. For
these reasons, DOE has tentatively concluded that the electrical
conditions specified would not affect measured values or increase test
burden.
In addition, section 5.1.3 of IES LM-54-12 adds an electrical
condition for voltage regulation of integrated CFLs (including MBCFLs).
IES LM-54-12 requires AC voltage to be monitored and regulated to
within 10 percent of the rated input voltage, or 2 percent of the rated input voltage if the seasoning time
includes the preburning time. Voltage regulation limits were not
prescribed in LM-54-1991. However, DOE has tentatively concluded that
requiring the rated input voltage to adhere to certain tolerances
during seasoning would not have a significant impact on measured values
or test burden as it likely reflects current general industry practice.
As discussed in section III.B.1.a of this NOPR, IES LM-54-12 also
modifies the lamp position and orientation requirements during
seasoning. Section 6.2.2.1 of IES LM-54-12 states that CFLs shall be
seasoned and measured in the same orientation. Section 2.2 of IES LM-
54-1991 stated that non-linear lamps should be seasoned in their
intended operating position or as recommended by the manufacturer. 10
CFR 429.35 specifies the operating orientation for MBCFLs. The
modification to the lamp orientation in IES LM-54-12 will not impact
measured values as the requirements currently in 10 CFR 429.35, and as
proposed in Appendix W, dictate orientation. Further, section 7.2 of
IES LM-66-1991, a currently incorporated industry standard through the
reference of ENERGY STAR program requirements, contained guidance to
maintain lamp position when transferring lamps from preburning to the
location for testing. As detailed in section III.B.2.d, DOE is
proposing to clarify within Appendix W that lamp orientation must
remain unchanged during testing. For these reasons, DOE has tentatively
concluded that the revised lamp orientation requirement in IES LM-54-12
would not impact measured values or increase test burden.
Lastly, IES LM-54-12 modifies the lamp seasoning time. Section
6.2.2.1 of IES LM-54-12 states that seasoning time shall be a minimum
of 100 operating hours or as specified by the manufacturer so
measurements can reliably establish initial lumen output values.
Section 2.2 of IES LM-54-1991 stated that lamps are to be seasoned for
100 operating hours. In practice industry may already be using
manufacturer specifications for certain lamp designs that may require a
different seasoning time than the standard 100 operating hours.
Therefore, DOE has tentatively concluded that the allowance of using
manufacturer specifications would not have a significant impact on
measured values or increase test burden.
In addition to the previously mentioned updates, IES LM-54-12
provides recommendations and further guidance that remove a number of
ambiguities in the previous version (e.g., updates definitions,
instrumentation, and references). Because these proposed updates do not
involve substantive changes to the test setup and methodology, but
rather just clarification, DOE has tentatively concluded they would not
affect measured values or increase test burden.
DOE requests comments on its assessment of the updates in IES LM-
54-12 and their impacts on measured values of MBCFLs and test burden.
c. IES LM-65-14 ``IES Approved Method for Life Testing of Single-Based
Fluorescent Lamps''
IES LM-65-1991 specified procedures for lifetime testing of CFLs
(including MBCFLs). As discussed in section III.B.1, this industry
standard has been updated with a 2014 edition. DOE is proposing to
directly incorporate by reference IES LM-65-14 and to no longer
incorporate by reference the August 2001 version of the ENERGY STAR
Program Requirements for CFLs, which referenced the 1991 version of LM-
65. A review indicates that incorporating the 2014 edition of IES LM-65
would provide further clarification of the test procedures and
improvements in test methodology. DOE has identified the following five
key updates in the 2014 edition of IES LM-65 (IES LM-65-14) and
discusses their impact on MBCFL testing and measured values.
Specifically, IES LM-65-14
(1) modifies ambient temperature conditions,
(2) modifies the lamp spacing requirement,
(3) clarifies the power supply voltage waveshape requirement,
(4) modifies the lamp operating cycle requirement, and
(5) specifies a methodology for the recording of lamp failures.
One of the key updates in IES LM-65-14 is the modification of the
ambient temperature requirement for lifetime testing. Section 4.3 of
IES LM-65-14 specifies that ambient temperature shall be controlled
between 15 [deg]C and 40 [deg]C, and that lifetime testing shall be
suspended when this range is exceeded. Section 6.3 of IES LM-65-1991
stated that the ambient temperature for CFL lifetime testing should be
kept within the range of 25 [deg]C 10 [deg]C. Thus, the
updated version only raises the maximum allowable ambient temperature
by 5 [deg]C. DOE has tentatively concluded that this change in
allowable ambient temperature range would not have a significant impact
on measured values of lifetime or increase test burden.

[[Page 45731]]

IES LM-65-14 also modifies the lamp spacing requirement of the
lifetime testing rack. Section 4.5 of IES LM-65-14 states that lamps
shall be spaced to allow airflow around each lamp and notes that this
is facilitated by designing open lifetime testing racks with minimal
structural components to block airflow. Section 6.4 of IES LM-65-1991
had required spacing between lamps to be a minimum of 1 inch (25
millimeters) to minimize mutual heating effects. DOE has tentatively
concluded that the IES LM-65-14 guideline is sufficient to ensure that
there are minimal mutual heating effects. Therefore, DOE has determined
that removing the specific spacing criterion would not have a
significant impact on measured values or increase test burden.
IES LM-65-14 also clarifies the power supply voltage waveshape
requirement. Section 5.1.2 of IES LM-65-14 states that the power supply
shall have a sinusoidal voltage waveshape such that the total harmonic
distortion does not exceed 3 percent of the fundamental frequency when
operating a purely resistive load. Section 5.2 of IES LM-65-1991 stated
that the type of the power supply used shall have a voltage wave shape
such that the RMS summation of the harmonic components does not exceed
3 percent of the fundamental. DOE understands that power supplies are
expected to provide a sinusoidal voltage waveshape, and that in
practice industry may already use a purely resistive load to determine
power supply THD. For these reasons, DOE has tentatively concluded that
the clarified voltage waveshape requirement in IES LM-65-14 would not
impact measured values or increase test burden.
In addition, section 6.4 of IES LM-65-14 revises the lamp operating
cycle requirement to be used during CFL lifetime testing. Both versions
of the standard prescribe an operating cycle of 180 minutes on and 20
minutes off; however, section 6.1 of IES LM-65-1991 provided an
allowance for other cycles to be used if the manufacturer's
recommendation or use in the field dictates. IES LM-65-14 does not
contain this allowance, and effectively requires the operating cycle to
be 180 minutes on and 20 minutes off. DOE believes that this cycle (180
minutes on and 20 minutes off) is industry standard and is already in
use by manufacturers of MBCFLs and other CFLs. Therefore, DOE has
tentatively concluded that removing the allowance of alternative
operating cycles would not have a significant impact on the measured
value of lifetime or increase test burden.
Lastly, IES LM-65-14 specifies a more detailed methodology for
recording lamp failures. Section 6.5 of IES LM-65-14 requires checking
for lamp failure by visual observation or automatic monitoring at an
interval of no more than 1 percent of the rated lifetime; it also added
that the recorded failure time shall be determined as the midpoint of
the last monitored interval. Section 6.5 of IES LM-65-1991 had only
included a qualitative methodology for checking for lamp failure that
required monitoring lifetime test racks on a regular basis. DOE has
tentatively concluded that providing a specific interval for monitoring
and recording failure time would not have a significant impact on the
overall measured value of lifetime or increase test burden.
In addition to the previously mentioned updates, IES LM-65-14
provides recommendations and further guidance that remove a number of
ambiguities in the previous version (e.g., updates to scope,
instrumentation, and references). Because these proposed updates do not
involve substantive changes to the test setup and methodology, but
rather just clarification, DOE has tentatively concluded they would not
affect lamp failure measurements or pose additional testing burden.
DOE requests comments on its assessment of the updates in IES LM-
65-14 and their impacts on measured values of MBCFLs and test burden.
2. Clarifications to General Test Conditions and Setup
DOE proposes to provide further clarification on general
instructions for (1) instrumentation, (2) ambient temperature, (3)
input voltage, (4) lamp orientation, (5) lamp seasoning, (6) lamp
stabilization, (7) lifetime testing, (8) treatment of ballasted
adapters, and (9) test setup for dimmable or multi-level lamps. These
are clarifications to existing test methods and setup in Appendix W,
and DOE has tentatively concluded that they would not impact measured
values or increase test burden. DOE requests comment on the proposed
clarifications to test methods and setup and the tentative conclusion
that they would not have a significant impact on measured values or
increase test burden. These clarifications on general instructions are
discussed in detail in the following sections.
a. Instrumentation
Section 6.3 of IES LM-66-14 (proposed for incorporation by
reference in this NOPR) and section 11.0 of IES LM-66-1991 state that a
goniophotometer or integrating sphere can be used to measure lumen
output, CCT, and CRI. While DOE recognizes that the integrating sphere
and goniophotometer (a goniometer fitted with a photometer as the light
detector) are both valid means of photometric measurement, DOE is
concerned about the potential for a difference in the measured values.
The DOE test procedure must yield repeatable and reproducible results.
If different parties use different test methods, the measured values
may not be comparable.
IES LM-66-14 also identifies several sources of measurement error
related to the use of goniophotometers such as drafts introduced
through goniophotometer movement and errors in the scan angles.
Further, IES LM-66-14 does not explicitly specify the scanning
resolution (i.e., quantity and location of measurements around the
lamp), and instead provides general guidance to prevent inaccuracies
from irregular distributions. In contrast, use of an integrating sphere
enables photometric characteristics of the CFL to be determined with a
single measurement. For these reasons, DOE is proposing to require all
photometric measurements, including lumen output, CCT, and CRI, to be
carried out in an integrating sphere, rather than a goniophotometer
system. Additionally, for lumen output measurements, DOE is proposing
to also reference IESNA LM-78-07, which is referenced by IES LM-66-14
and provides more specific guidance on measuring lumen output in an
integrated sphere. DOE requests comment on the proposal to require that
all photometric values be measured by an integrating sphere.
b. Ambient Temperature
Section 4.3 of IES LM-66-14 (proposed for incorporation by
reference in this NOPR) states that the ambient temperature during
photometric and electrical testing must be maintained at 25 [deg]C
1 [deg]C unless the CFL is designed to perform optimally
under non-standard conditions. One such example noted in IES LM-66-14
is a CFL that is used in special fixtures or locations and therefore is
designed to produce maximum lumen output at elevated temperatures. IES
LM-66-14 indicates that testing at non-standard conditions may be
desirable to quantify performance of the CFL in its expected operating
environment. Similar requirements and allowance were given in IES LM-
66-1991. However, DOE analysis of manufacturer-published product
literature suggests that photometric and electrical testing of MBCFLs
is typically conducted at the standard 25 [deg]C 1 [deg]C
temperature conditions. DOE believes that allowing testing to be
conducted at non-standard

[[Page 45732]]

temperature conditions can introduce inconsistencies between
represented values. DOE proposes to clarify in Appendix W that
photometric and electrical testing of CFLs must be conducted at an
ambient temperature within the range of 25 [deg]C 1 [deg]C.
DOE requests comment on its proposal for ambient temperature
requirements for photometric and electrical testing.
c. Input Voltage
Section 5.1.1 of IES LM-65-14 (proposed for incorporation by
reference in this NOPR) specifies that when the rated input voltage of
a lamp or ballast is a range, a nominal value should be selected for
lifetime testing and reported as a test condition. This allowance for
selecting from a choice of input voltages, rather than requiring a
specific input voltage, could result in testing variation. DOE is
therefore proposing to require that if rated input voltage is a range
that includes 120 volts, the CFL must be operated at 120 volts. If the
CFL with multiple rated input voltages is not rated for 120 volts, the
CFL must be operated at the highest rated input voltage. Specifying the
input voltage to be used for testing will ensure more accurate and
consistent measurements of time to failure (see section III.B.3.a). DOE
requests comment on the proposed input voltage requirements.
d. Lamp Orientation
As noted in section III.B.1.b, DOE proposes to clarify that lamp
orientation must be maintained throughout all testing, including
preparation (e.g., seasoning and preburning), storage, and handling
between tests. This practice minimizes changes in lamp operating
characteristics between various stages of testing and allows for more
accurate and repeatable measurements. Further, maintaining lamp
orientation can result in a shorter lamp stabilization period, thus
reducing total testing time and subsequently testing burden. DOE
requests comment on specifying that lamp orientation must be maintained
throughout testing.
e. Lamp Seasoning
DOE proposes that the seasoning guidance in IES LM-54-12 (proposed
for incorporation by reference in this NOPR) must be followed prior to
the testing of all CFLs. DOE also proposes to clarify two provisions
related to lamp seasoning. First, DOE is proposing to clarify in
Appendix W that unit operating time during seasoning can be counted
toward time to failure, lumen maintenance at 40 percent of lifetime,
and lumen maintenance at 1,000 hours if the required operating cycle
and test conditions are satisfied as stated in the test method for time
to failure (section 3.3 of Appendix W). This clarification is
consistent with the specification in section 6.2.2.1 of IES LM-54-12
that lamps intended to be tested for lifetime must be cycled during
seasoning (see section III.B.1.b). Further, the clarification would
reduce testing burden by minimizing the overall testing time required
for measuring time to failure and lumen maintenance values.
The second provision related to seasoning that DOE proposes to
clarify is that, if a lamp breaks, becomes defective, fails to
stabilize, exhibits abnormal behavior such as swirling prior to the end
of the seasoning period, or stops producing light, the lamp must be
replaced with a new unit. If a lamp fails after the seasoning period,
the lamp's measurements must be included when calculating values
submitted for compliance. The IES standards relevant to these test
procedures do not provide specific guidance on lamp failure. However,
section 6.1.2 of ANSI C78.5-2003,\17\ which provides specifications on
integrated CFLs and is referenced by IES LM-65-14 (proposed for
incorporation by reference in this NOPR), states that ``If a specimen
breaks or becomes defective for reasons not as a result of the testing,
the specimen shall be discarded. Similarly if a unit fails to stabilize
or exhibits abnormal behavior, the lamp shall be discarded. Testing
shall resume with a suitable replacement specimen procured and prepared
in the same manner as the original specimen. The use of replacement
specimens shall be documented in the test report.'' Therefore, based on
this industry guidance, DOE proposes to clarify that test units must be
replaced if deemed defective during the seasoning period (i.e., prior
to measuring initial lumen output). DOE requests comment on the
proposed clarifications to the lamp seasoning methods.
---------------------------------------------------------------------------

\17\ American National Standard For Electric Lamps:
Specifications for Performance of Self-Ballasted Compact Fluorescent
lamps (approved 2003).
---------------------------------------------------------------------------

f. Lamp Stabilization
DOE proposes to disallow the ``peak'' method provided for reference
in Annex B of IES LM-66-14 (proposed for incorporation by reference in
this NOPR), which can serve as a time saving alternative to the
stabilization method specified in section 6.2.1. This method was also
included in section 7.4 of IES LM-66-1991. However, IES LM-66-14 states
that the information in the Annex is not intended to be a specific
recommended procedure, but is presented as reference information; it
also notes that the stabilized method specified in section 6.2.1 is
preferred since considerable testing and experience with a given lamp
design may be required due to the number of lamp design and process
variations that exist. Consequently, DOE believes that the peak method
could cause inconsistent and potentially inaccurate results. DOE
requests comment on disallowing use of the peak method provided for
reference in Annex B of IES LM-66-14.
g. Fixtures
IES LM-65-14 (proposed for incorporation by reference in this NOPR)
contains an allowance for fixtures to be used in CFL lifetime testing.
Section 4.5 of IES LM-65-14 notes that fixtures used in applications
can influence CFL lifetime, and thus allows simulated fixtures to be
used in lifetime testing to approximate this effect. No such allowance
was provided in IES LM-65-1991. DOE is proposing to clarify in Appendix
W that the use of simulated fixtures during time to failure testing of
CFLs is not allowed. Excluding this provision removes potential
variation in the testing of CFLs and ensures that all CFLs are tested
in a consistent manner. DOE requests comment on its proposal to
disallow the time to failure testing of CFLs in a fixture.
h. Ballasted Adapters
DOE proposes to further clarify the proposed CFL test procedures by
defining in Appendix W that the term ``ballasted adapter'' means a
ballast that is not permanently attached to a CFL, has no consumer-
replaceable components, and serves as an adapter by incorporating both
a lamp socket and a lamp base. DOE proposes to specify in Appendix W
that CFLs packaged with or designed exclusively for use with ballasted
adapters must be tested as non-integrated CFLs, without the inclusion
of the ballasted adapter. DOE requests comment on its proposed
definition for the term ``ballasted adapter,'' and on its proposed
requirement that CFLs packaged with or designed exclusively for use
with ballasted adapters must be tested as non-integrated CFLs.
i. Multi-Level CFLs and Dimmable CFLs
Footnote 2 to the energy conservation standards table at 10 CFR
430.32(u) includes the statement that for multi-level or dimmable
systems, measurements shall be at the highest

[[Page 45733]]

setting. To consolidate text pertaining to testing, DOE proposes to
remove this text from Sec. 430.32(u), and address dimmable CFLs in the
general instructions section of Appendix W. The lumen output level, and
subsequently input power, can be adjusted for some CFLs (e.g.,
dimmable), and thus not clarifying the input power for testing these
lamps can introduce testing variation. Therefore, to ensure consistent
results, DOE also proposes to clarify in Appendix W that a dimmer
cannot be used in the circuit. DOE requests comment on the
clarification that all CFL testing must be conducted at labeled
wattage, with no dimmer used in the circuit.
3. Clarifications to Definitions
DOE proposes to make the following changes to the definitions
provided in Appendix W: (1) Remove the existing term ``average rated
life'' and add new terms ``lifetime'' and ``time to failure''; (2)
remove the existing terms ``initial performance values'' and ``rated
luminous flux or rated lumen output'' and add new terms ``initial lamp
efficacy,'' ``measured initial input power,'' and ``measured initial
lumen output''; (3) remove the existing term ``rated wattage'' and add
the new term ``labeled wattage''; (4) amend the existing definition for
the term ``lumen maintenance''; (5) delete the existing term ``rated
supply frequency''; and (6) remove the existing term ``self-ballasted
compact fluorescent lamp'' and add new terms ``integrated compact
fluorescent lamp'' and ``non-integrated compact fluorescent lamp.''
Because the proposed changes are clarifications to existing definitions
and only provide further guidance for existing test procedures and
amended test procedures proposed in this NOPR, DOE has tentatively
concluded that they would not impact measured values or increase test
burden. DOE requests comment on the proposed changes to definitions in
Appendix W and the tentative conclusion that they would not have a
significant impact on measured values or test burden. These
definitional clarifications are discussed in detail in the following
sections.
DOE also proposes to add definitions that are discussed in later
sections. Specifically, DOE proposes to add definitions in Appendix W
for the terms ``ballasted adapter,'' ``hybrid compact fluorescent
lamp,'' ``percent variability,'' ``power factor,'' ``start plateau,''
and ``start time.'' These definitions support the proposed test
procedures included in Appendix W for new CFL metrics and new CFL
categories, and are addressed in sections III.B.2.h (ballasted
adapter), III.B.4.a (power factor), III.B.4.c (percent variability,
start plateau, and start time), and III.B.5.c (hybrid compact
fluorescent lamp).
a. Average Rated Life
DOE proposes to remove the term ``average rated life'' and adopt
the terms ``lifetime of a compact fluorescent lamp'' and ``time to
failure.'' Currently, ``average rated life'' is defined in Appendix W
as the length of time declared by the manufacturer at which 50 percent
of any large number of units of a lamp reaches the end of their
individual lives.
The definition of ``average rated life'' makes only general
reference to the sample size for time to failure testing (i.e., large
number of units) when an actual minimum sample size of 10 units is
prescribed in DOE's existing sampling plan at 10 CFR 429.35. Further,
DOE believes the use of the word ``average'' in the term ``average
rated life'' may be confusing because the definition describes the
process by which lifetime is determined, i.e., lifetime is, by
definition, a median value. DOE also notes that the term ``average
rated life,'' while defined in Appendix W, is not otherwise used in
Appendix W or in specifications of existing MBCFL energy conservation
standards. Further, the term ``rated life'' is used as a descriptor in
Appendix W but is not defined.
Therefore, DOE proposes to remove the terms ``average rated life''
and ``rated life'' in Appendix W and add definitions for ``lifetime of
a compact fluorescent lamp'' in 10 CFR 430.2 and ``time to failure'' in
Appendix W. The term ``lifetime of a compact fluorescent lamp'' denotes
a measured value based on a sample of lamps; this term would provide
sampling requirements and specify that the median value must be used.
The term ``time to failure'' would support the revised definition of
lifetime.
In order to develop the definition for ``lifetime of a compact
fluorescent lamp,'' DOE reviewed the EPCA definition of lifetime in 42
U.S.C. 6291(30)(P). This statutory definition states that lifetime
means the length of operating time of a statistically large group of
lamps between first use and failure of 50 percent of the group in
accordance with test procedures described in the IES Lighting
Handbook--Reference Volume. Therefore, consistent with the statutory
definition in EPCA, DOE proposes to define ``lifetime of a compact
fluorescent lamp'' as the time to failure of 50 percent of the sample
size (as defined and calculated in 10 CFR 429.35) in accordance with
the test procedures described in of section 3.3 of Appendix W.
DOE also proposes to define ``time to failure'' in Appendix W to
support the proposed definition of lifetime of a compact fluorescent
lamp. ``Time to failure'' in the context of CFLs is the time elapsed
between first use and the point at which the lamp fully extinguishes
and no longer creates light. DOE proposes to define ``time to failure''
as the time elapsed between first use and the point at which the CFL
stops operating. This definition aligns with the definition of lamp
failure in section 8.2 of ANSI/IES RP-16-14.\18\
---------------------------------------------------------------------------

\18\ Nomenclature and Definitions for Illuminating Engineering
(approved 2010).
---------------------------------------------------------------------------

As noted in section III.B.1.c, DOE proposes to reference IES LM-65-
14 for lifetime testing of CFLs. Section 3.0 of IES LM-65-14 specifies
the terms ``lamp failure,'' ``lamp life,'' and ``rated lamp life.''
However, DOE is specifically proposing the above terms, ``time to
failure'' and ``lifetime of compact fluorescent lamp'' to support its
proposed lifetime testing of CFLs and align with terminology used in
other lamp test procedures. While the definitions in section 3.0 of IES
LM-65-14 are not incorrect, to avoid confusion regarding terminology
when executing the lifetime test procedure for CFLs, DOE proposes that
section 3.0 of IES LM-65-14 be disregarded and the above proposed
definitions be used for lifetime testing of CFLs.
DOE requests comment on the proposal to remove the term ``average
rated life'' and add definitions of ``lifetime of a compact fluorescent
lamp'' and ``time to failure.''
b. Initial Performance Values
Currently, ``initial performance values'' is defined in Appendix W
as the photometric and electrical characteristics of the lamp at the
end of 100 hours of operation. Such values include the initial
efficacy, the rated luminous flux, and the rated lumen output. This
term is not used, and conflicts with elements of other terms defined in
section 2 of the existing Appendix W. To resolve these issues, and to
provide specific guidance on calculations required in the test
procedures, DOE proposes to (1) delete the term ``initial performance
values''; (2) add a definition for the term ``initial lamp efficacy'';
(3) add a definition for the term ``measured initial input power''; (4)
delete the term ``rated luminous flux or rated lumen output''; and (5)
add a definition for the term ``measured initial lumen output.''

[[Page 45734]]

DOE proposes that the ``initial lamp efficacy'' is the lamp
efficacy at the end of the seasoning period, which is calculated by
dividing the measured initial lumen output of a lamp by its measured
initial input power. Initial lamp efficacy would be expressed in lumens
per watt (lm/W). In addition, DOE proposes to define ``measured initial
input power'' as the root mean square (RMS) input power to the lamp,
measured at the end of the lamp seasoning period, and expressed in
watts (W). These definitions provide further guidance on the
calculation of initial lamp efficacy.
DOE proposes to delete the term ``rated luminous flux or rated
lumen output'' in Appendix W. This term is defined in Appendix W as the
initial lumen rating (100 hour) declared by the manufacturer, which
consists of the lumen rating of a lamp at the end of 100 hours of
operation. This term could be misinterpreted as a nominal rating,
similar to other nominal ratings marked on a lamp and/or its packaging
(e.g., wattage, voltage, or supply frequency). Therefore, to provide
greater clarity in the definition and application of the term ``lumen
maintenance,'' DOE proposes to remove the term ``rated luminous flux or
rated lumen output'' and add the term ``measured initial lumen output''
to more clearly distinguish measured initial values from nominal rated
values.
DOE proposes to define ``measured initial lumen output'' in
Appendix W as the lumen output of the lamp measured at the end of the
lamp seasoning period, expressed in lumens (lm).
In summary, DOE proposes to no longer define the terms ``initial
performance values'' and ``rated luminous flux or rated lumen output,''
and proposes definitions for ``initial lamp efficacy,'' ``measured
initial input power,'' and ``measured initial lumen output.'' These
terms clarify the measurements of CFL initial performance values, and
eliminate the need for the terms ``initial performance values'' and
``rated luminous flux or rated lumen output.'' DOE requests comment on
deletion of the terms ``initial performance values'' and ``rated
luminous flux or rated lumen output,'' and addition of the terms
``initial lamp efficacy,'' ``measured initial input power,'' and
``measured initial lumen output.''
c. Lumen Maintenance
DOE proposes to amend the definition of the term ``lumen
maintenance'' to clarify that calculated lumen maintenance values are
based on measured lumen output. ``Lumen maintenance'' is defined in
Appendix W as the luminous flux or lumen output at a given time in the
life of the lamp and expressed as a percentage of the rated luminous
flux or rated lumen output, respectively.
The term ``lumen maintenance'' does not clearly distinguish between
rated and measured values. As noted in section III.B.3.b, DOE proposes
to remove the term ``rated luminous flux or rated lumen output'' and
add the term ``measured initial lumen output,'' which clearly specifies
these to be measured values. DOE proposes to implement this change in
the term ``lumen maintenance'' to clarify the definition and
application of the term ``lumen maintenance.''
In summary, DOE proposes to define ``lumen maintenance'' in
Appendix W as the lumen output measured at a given time in the life of
the lamp and expressed as a percentage of the measured initial lumen
output, respectively. DOE requests comment on its proposed
clarification of the definition for ``lumen maintenance.''
d. Rated Supply Frequency
DOE proposes to remove from Appendix W the definition of the term
``rated supply frequency'' because Appendix W does not use this term.
DOE requests comment on the proposed removal of the definition of
``rated supply frequency.''
e. Rated Wattage
DOE proposes to change the term ``rated wattage'' to ``labeled
wattage'' and amend the definition to clarify its applicability to
multi-level (i.e., multi-power) and dimmable CFLs. Currently, in
Appendix W ``rated wattage'' is defined as the wattage marked on the
lamp. The term is intended to denote the wattage marked on the lamp
that should be used to determine the applicable minimum efficacy
requirement for existing MBCFL energy conservation standards as
specified in 10 CFR 430.32(u). To avoid confusion with different usage
of the term ``rated wattage'' in ANSI standards for non-integrated
CFLs, DOE proposes to use the term ``labeled wattage'' rather than
``rated wattage'' to denote the wattage marked on a CFL.
Further, as discussed in section III.B.2.i, multi-level and
dimmable CFLs can operate over a range of wattages, and the existing
MBCFL energy conservation standards at 10 CFR 430.32(u) as well as the
test procedures proposed in this rule prescribe that measurements be
conducted at the lamp's highest power setting. The current definition
of ``rated wattage'' does not provide clear direction on how to measure
multi-level and dimmable lamps. Therefore, DOE proposes to remove this
definition and define ``labeled wattage'' as the highest wattage marked
on the lamp and/or lamp packaging. DOE requests comment on the proposed
clarification to the definition of ``labeled wattage.''
f. Self-Ballasted Compact Fluorescent Lamp
The term ``self-ballasted compact fluorescent lamp'' is defined in
Appendix W as a CFL unit that incorporates, permanently enclosed, all
elements that are necessary for the starting and stable operation of
the lamp, and does not include any replaceable or interchangeable
parts. The terms self-ballasted CFL, integrally ballasted CFL, and
integrated CFL are used interchangeably in industry to identify a CFL
in which all the elements for starting and stable operation are
permanently enclosed within the lamp structure, enabling the lamp to be
connected directly to a branch circuit through an ANSI base and socket.
DOE proposes to remove the definition of ``self-ballasted compact
fluorescent lamp'' and add a new definition of ``integrated compact
fluorescent lamp'' as an integrally ballasted CFL that contains all
components necessary for the starting and stable operation of the lamp,
does not include any replaceable or interchangeable parts, and is
connected directly to a branch circuit through an ANSI base and
corresponding ANSI standard lamp-holder (socket).
To support the proposed test procedures for additional categories
of CFLs, DOE also proposes to define the term ``non-integrated compact
fluorescent lamp'' in Appendix W as a CFL that is not integrated. DOE
requests comment on the proposed removal of the term ``self-ballasted
compact fluorescent lamp'' and addition of the new term ``integrated
compact fluorescent lamp,'' and on the proposed new definition of
``non-integrated compact fluorescent lamp.''
4. Test Procedures for Existing and New Metrics
The following sections detail proposed new and amended test
procedures for new and existing metrics. In addition, as noted in
sections III.I.1 through III.I.3, DOE proposes to move all lamp
orientation specifications from 10 CFR 429.35 to Appendix W in order to
consolidate test requirements.

[[Page 45735]]

a. Test Procedures for Initial Lamp Efficacy, Lumen Maintenance, CCT,
CRI, and Power Factor
DOE proposes to continue to include test procedures for measuring
initial lamp efficacy and lumen maintenance in Appendix W. In addition,
DOE proposes to include test procedures for measuring CCT, CRI, and
power factor in Appendix W. DOE proposes that test conditions and setup
for measuring initial lamp efficacy, lumen maintenance at 1,000 hours,
lumen maintenance at 40 percent of lifetime, CCT, CRI, and power factor
be as specified in IES LM-66-14 (proposed for incorporation by
reference in this NOPR).
Appendix W currently does not explicitly state how initial lamp
efficacy and lumen maintenance values should be measured and
calculated. DOE proposes to clarify its existing method for measuring
and calculating the initial lamp efficacy and lumen maintenance values
in Appendix W. Specifically, DOE proposes to state in Appendix W that
initial lamp efficacy must be the measured initial lumen output divided
by the measured initial input power; lumen maintenance at 1,000 hours
must be the measured lumen output at 1,000 hours divided by the
measured initial lumen output; and lumen maintenance at 40 percent of
lifetime must be the measured lumen output at 40 percent of lifetime of
a compact fluorescent lamp divided by the measured initial lumen
output. DOE requests comment on clarifications to measuring initial
lamp efficacy and lumen maintenance values.
DOE proposes that the test procedures for initial lamp efficacy,
lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of
lifetime, CCT, and CRI apply to integrated and non-integrated lamps.
DOE proposes that the test procedure for power factor only apply to
integrated lamps. The following sections discuss in more detail the new
metrics proposed to be measured in accordance with IES LM-66-14: CCT,
CRI, and power factor.
Correlated Color Temperature (CCT)
DOE proposes to establish a test procedure for measuring CCT in
Appendix W. The term correlated color temperature is defined in 10 CFR
430.2 as the absolute temperature of a blackbody whose chromaticity
most nearly resembles that of the light source. DOE proposes to add the
abbreviation ``CCT'' to this definition as explained in section
III.C.2.
DOE proposes that CCT must be measured and calculated in accordance
with IES LM-66-14, which references CIE 15:2004 (3rd edition),
``Colorimetry.'' As noted, IES LM-66-14 is the industry reference test
method for electrical and photometric measurements of CFLs. CIE 15:2004
is an internationally accepted industry standard that provides
recommendations concerning basic colorimetry. CIE 15:2004 was
previously incorporated by reference in a test procedure final rule
published on July 6, 2009 for general service fluorescent lamps,
incandescent reflector lamps, and general service incandescent lamps
(hereafter ``2009 GSFL, IRL, and GSIL Test Procedure''). 74 FR 31829,
31834 (July 6, 2009). DOE proposes in this NOPR to incorporate CIE
15:2004 by reference for Appendix W. DOE requests comment on its
proposed test procedure for measuring CCT.
Color Rendering Index (CRI)
DOE proposes to establish a test procedure for measuring CRI in
Appendix W. The term color rendering index or ``CRI'' is defined 10 CFR
430.2 as the measured degree of color shift objects undergo when
illuminated by a light source as compared with the color of those same
objects when illuminated by a reference source of comparable color
temperature. DOE proposes that CRI must be measured and calculated in
accordance with IES LM-66-14, which references CIE 13.3-1995, ``Method
of Measuring and Specifying Colour Rendering Properties of Light
Sources.'' As noted, IES LM-66-14 is the industry reference test method
for the electrical and photometric measurements of CFLs, and CIE 13.3-
1995 is an internationally accepted industry standard that provides
guidance on measuring CRI. CIE 13.3-1995 was previously incorporated by
reference in the 2009 GSFL, IRL, and GSIL Test Procedure. 74 FR 31834
(July 6, 2009). DOE proposes in this NOPR to incorporate CIE 13.3-1995
by reference for Appendix W. DOE requests comment on the proposed test
procedure for CRI.
Power Factor
DOE proposes to establish a test procedure for measuring power
factor in Appendix W. Currently, DOE does not define power factor for
CFLs. DOE proposes to define the term ``power factor'' in Appendix W as
the measured RMS input power (watts) divided by the product of the
measured RMS input voltage (volts) and the measured RMS input current
(amps). This proposed definition aligns with the definition for power
factor in the industry reference for power quality requirements of
lighting equipment, ANSI C82.77-10-2014.\19\ Section 5 of the ANSI
standard states that power factor is calculated by dividing input power
(expressed in watts) by the product of the RMS input voltage and
current.
---------------------------------------------------------------------------

\19\ American National Standard for Lighting Equipment--Harmonic
Emission Limits--Related Power Quality Requirements (approved August
15, 2014).
---------------------------------------------------------------------------

DOE proposes that power factor be required only for integrated
CFLs. Power factor is a metric directly related to the ballast
component of the lamp. Non-integrated CFLs are tested on reference
ballasts (see section III.B.5.b for further details) and can be paired
with multiple ballasts of varying performance in practice, and
therefore, a measurement of a power factor would not be an accurate
representation of an non-integrated CFL. DOE proposes that the power
factor of an integrated CFL be determined based on electrical
measurements conducted in accordance with section 5.0 of IES LM-66-14.
DOE requests comment on the proposed definition and test procedure for
power factor.
b. Test Procedures for Time to Failure and Rapid Cycle Stress
DOE proposes to include test procedures for measuring time to
failure and conducting rapid cycle stress testing in Appendix W for
integrated and non-integrated CFLs. DOE proposes that test conditions,
setup, measurement of time to failure, and rapid cycle stress testing
be as specified in IES LM-65-14 (proposed for incorporation by
reference in this NOPR). As noted in section III.G.4 and III.G.5,
respectively, DOE proposes to move text relating to rapid cycle stress
testing and measurement of lifetime from 10 CFR 430.32(u) into Appendix
W. DOE proposes to retain its existing operating cycle for rapid cycle
stress testing, i.e., that CFLs must be cycled continuously with each
cycle consisting of one 5-minute on period followed by one 5-minute off
period. DOE requests comment on the proposed test procedures for
measuring time to failure and rapid cycle stress testing.
c. Test Procedure for Start Time
DOE proposes to establish a test procedure for measuring start time
in Appendix W. Currently, DOE does not define start time for CFLs. In
determining the definition and test procedure for start time of a CFL,
DOE reviewed the August 2013 ``ENERGY STAR[supreg] Program Requirements
Product Specification for Lamps Version 1.0: Start Time Test Method''
\20\ (hereafter

[[Page 45736]]

``ENERGY STAR Start Time Test Method''), which still applies to the
current ENERGY STAR Lamps Specification v1.1. DOE found the definitions
and test methods described to be valid and an accurate representation
of the start time for a CFL. Based on this method, DOE proposes to
define the term ``start time'' in Appendix W as the time, measured in
milliseconds, between the application of power to the CFL and the point
when the measured full-cycle lumen output (the average value of the
sampled waveform over an interval corresponding to one full cycle of
sinusoidal input voltage) reaches 98 percent of the average measured
lumen output of the start plateau.
---------------------------------------------------------------------------

\20\ ENERGY STAR[supreg] Program Requirements Product
Specification for Lamps Version 1.0: Start Time Test Method, August
2013. www.energystar.gov/sites/default/files/specs//ENERGY%20STAR%20Lamps%20V1%200%20Final%20Test%20Methods%20and%20Recommended%20Practices.pdf.
---------------------------------------------------------------------------

IES LM-28-12,\21\ the general guide to using electrical instruments
in photometric laboratories, states that fluorescent lamps can
oscillate at twice the fundamental frequency of the lamp input (i.e.,
line) voltage. IES LM-28-12 also recommends that a minimum of one
complete cycle (not half cycle) of the line frequency be used because
the waveform may not be exactly the same for the positive and negative
phase of the line cycle. DOE understands that using shorter cycles such
as half cycles in lamps with such asymmetry could result in inaccurate
measurements.
---------------------------------------------------------------------------

\21\ IES Guide for Selection, Care and Use of Electrical
Instruments in the Photometric Laboratory (approved December 5,
2012).
---------------------------------------------------------------------------

To further clarify the definition of start time, DOE proposes to
define the terms ``start plateau'' and ``percent variability.'' in
Appendix W. DOE proposes to define the term ``start plateau'' in
Appendix W as the first 100 millisecond period of operation during
which the percent variability does not exceed 5 percent and the average
measured lumen output is at least 10 percent of the measured initial
lumen output. Section 9.1 of the ENERGY STAR Start Time Test Method
gives the starting profile for an example CFL. No sinusoidal
oscillation is evident in the blue trace of light output for this
example; consequently, DOE understands the diagram presents moving-
average values, where each point along the trace is the average of
sampled waveform values for some measurement interval. No scale is
provided for the x-axis in the figure, but the period of the 50 Hz
input voltage cycle is 20 milliseconds, and a start time of 18
milliseconds is also indicated at 98 percent of the ``initial''
plateau; although the plateau duration is not indicated, it can be seen
to persist for at least three power cycles, or 60 milliseconds. DOE
proposes using a period of 100 milliseconds to calculate percent
variability for determination of the start plateau; DOE selected this
value to evenly capture either 5 or 6 full cycles of the sampled
waveform (for 50 or 60 Hz input voltage, respectively). DOE
additionally proposes using the term ``start plateau'' in lieu of the
ENERGY STAR term ``initial plateau'' to avoid confusion between startup
characteristics and initial performance characteristics.
DOE proposes to add the term ``percent variability'' in Appendix W,
defined as the range (calculated by subtracting the minimum from the
maximum) expressed as a percentage of the mean for the contiguous set
of separate lumen output measurements spanning the specified time
period, where each lumen output measurement is the average value of the
sampled waveform over an interval corresponding to one full cycle of
sinusoidal input voltage. For example, 5 measurements at 20 millisecond
intervals would span the 100 millisecond period of the start plateau at
50 Hz input voltage; if the interval average was 10.0 lumens for each
of the first four measurements and 12.0 lumens for the fifth
measurement, then the percent variability would be 19 percent (not yet
sufficiently stable) for the first 100 millisecond period of operation.
In this way, definition of the term ``percent variability'' enables
determination of the start plateau. The 5 percent and 10 percent
thresholds proposed for percent variability in the proposed start time
definition were determined based on start time testing conducted by DOE
for a variety of CFLs; a summary of the testing and results can be
found in the docket for this rulemaking.
DOE proposes that start time only be measured for integrated CFLs.
Start time is a metric directly related to the ballast component of the
lamp and therefore could vary depending on the ballast used in
practice. For test setup and conditions for measuring start time, DOE
proposes to reference IES LM-66-14. As noted, IES LM-66-14 is the
industry reference test method for the electrical and photometric
measurements of CFLs. DOE proposes to adopt the measurement circuit
requirements specified in section 5.2 of IES LM-66-14 for start time
testing of integrated CFLs. DOE proposes that after seasoning, units
must be stored at 25 [deg]C 5 [deg]C ambient temperature
for a minimum of 16 hours prior to testing, after which the ambient
temperature must be 25 [deg]C 1 [deg]C for a minimum of 2
hours prior to testing. To further align with ENERGY STAR requirements,
DOE also proposes that any units that have been off for more than 24
hours must be operated for 3 hours and then be turned off for 16 to 24
hours prior to testing.
DOE proposes that lumen output measurements be taken as specified
in section 6.3.1 of IES LM-66-14. DOE proposes that a multichannel
oscilloscope with data storage capability be connected to record the
input voltage to the CFL and its lumen output. DOE proposes that the
power supply must be set as proposed in section III.B.2.c, and the
oscilloscope must be set to trigger at 10 volts lamp input voltage. DOE
proposes that the oscilloscope vertical scale be set such that vertical
resolution is 1 percent of measured initial lumen output or finer.
Similarly, DOE proposes that the oscilloscope be set to sample the
lumen output waveform at a minimum rate of 2 kHz. ENERGY STAR requires
a minimum 2 kHz sampling rate for flicker testing,\22\ and DOE
understands that this requirement would also provide sufficient
horizontal resolution for start time testing. DOE proposes that upon
trigger for start time testing, the sampled lumen output waveform must
be recorded until the measured lumen output has reached the start
plateau. In addition, DOE proposes that the trace of full-cycle lumen
output be calculated as a moving average, whereby values are determined
at least once every millisecond and each value represents the full-
cycle interval in which it is centered.
---------------------------------------------------------------------------

\22\ ENERGY STAR[supreg] Program Requirements Product
Specification for Lamps Version 1.0--Light Source Flicker
Recommended Practice. August 2013. Washington, DC.
www.energystar.gov/sites/default/files/specs//ENERGY%20STAR%20Lamps%20V1%200%20Final%20Test%20Methods%20and%20Recommended%20Practices.pdf.
---------------------------------------------------------------------------

As specified in the proposed definition, the start time is then
determined as the time in milliseconds to reach 98 percent of the
average measured lumen output of the start plateau. DOE requests
comment on the proposed test procedure for start time and the proposed
definitions for the terms ``start time,'' ``start plateau,'' and
``percent variability.'' DOE also requests comment on the summary of
start time testing and results that can be found in the docket for this
rulemaking.
5. Test Procedures for New CFL Categories
a. Test Procedures for Integrated CFLs
DOE proposes to specify test procedures to measure the applicable

[[Page 45737]]

metrics for integrated CFLs. As noted in section II, DOE is considering
revising and/or developing standards in the ongoing GSL standards
rulemaking for integrated CFLs including but not limited to MBCFLs. The
definition of ``integrated compact fluorescent lamp'' that DOE is
proposing in Appendix W (see section III.B.3.f) does not specify base
type. Therefore, the test procedures proposed in Appendix W for
integrated CFLs will apply to all integrated CFLs, including MBCFLs.
DOE requests comment on its proposal that integrated CFLs with medium
screw bases and other base types are to follow the same test
procedures.
b. Test Procedures for Non-Integrated CFLs
DOE proposes to specify test procedures for metrics applicable to
non-integrated CFLs in Appendix W. As noted in section III.B.4.a, DOE
proposes to adopt the measurement circuit requirements specified in
section 5.2 of IES LM-66-14 (proposed for incorporation by reference in
this NOPR) for electrical and photometric testing of non-integrated
CFLs. Further, DOE proposes that non-integrated CFLs must be tested
using the appropriate reference ballasts as specified in section 5.2 of
IES LM-66-14. Specifically, DOE proposes that reference ballasts
specifications listed in ANSI_IEC C78.901-2014, ``American National
Standard for Electric Lamps--Single-Based Fluorescent Lamps--
Dimensional and Electrical Characteristics,'' (hereafter ``ANSI_IEC
C78.901-2014'') must be used. Therefore, DOE proposes to incorporate by
reference ANSI_IEC C78.901-2014. DOE requests comment on its proposed
requirement that non-integrated CFLs be tested using reference ballasts
that meet ANSI_IEC C78.901-2014 specifications, except as noted.
DOE is aware that certain non-integrated CFL designs do not have
reference ballast specifications listed in ANSI_IEC C78.901-2014. For
these lamp designs, DOE has provided reference ballast specifications
in Appendix W to reduce testing variation. In cases where there are no
reference ballast specifications for a lower wattage CFL, DOE specified
the reference ballast specifications of the corresponding full wattage
version, if they existed. For all other cases, DOE developed
specifications by matching the shape, diameter, and base of the CFL
without reference ballast specifications to the most similar CFL with
specifications that also had the closest wattage. DOE also proposes
that manufacturers employ these two principles to apply the appropriate
reference ballast specifications where none are provided in ANSI_IEC
C78.901-2014 or specified in Appendix W. DOE requests comment on its
proposed requirement that if not listed in ANSI_IEC C78.901-2014 or
Appendix W, reference ballast specifications must be based on existing
reference ballast specifications for the most similar lamp in ANSI_IEC
C78.901-2014 or for the higher wattage lamp it is intended to replace.
To reduce testing variation in Appendix W, DOE also proposes
several clarifications and specifications. Some non-integrated CFLs can
be operated on more than one type of circuit. DOE proposes to specify
that when non-integrated CFLs can be operated on a low frequency or
high frequency circuit, they are to be tested at low frequency. DOE has
found that lamp efficacy can vary depending on if the lamp is operated
at high frequency or low frequency. DOE therefore proposes that non-
integrated CFLs are to be tested at low frequency to ensure consistency
and comparability across testing results. DOE requests comment on the
proposed requirement that non-integrated CFLs are to be tested at low
frequency when a choice is available between low and high frequency
reference ballast specifications.
In addition, DOE proposes that non-integrated CFLs rated for
multiple circuit types (e.g., preheat or rapid start, instant start or
rapid start) must be tested on rapid start circuits when possible to
ensure consistent measurements. DOE has found that lamp efficacy can
vary depending on the circuit type for testing. Therefore, DOE proposes
that non-integrated CFLs that are rated for operation on a choice of
preheat or rapid start circuits must be tested on rapid start circuits.
Similarly, DOE proposes that non-integrated CFLs that are rated for
operation on a choice of instant start or rapid start circuits must be
tested on rapid start circuits. DOE requests comment on its proposal
that non-integrated CFLs be tested on a rapid start circuit if rated
for operation on (a) a choice of instant start or rapid start circuits,
or (b) a choice of preheat or rapid start circuits.
c. Test Procedures for Hybrid CFLs
DOE proposes to establish a test procedure to measure the
applicable metrics for hybrid CFLs in Appendix W. DOE considers hybrid
CFLs to be CFLs with an additional light source of a different
technology that is not the primary source of light. DOE proposes to
define the term ``hybrid compact fluorescent lamp'' in Appendix W as a
CFL that incorporates one or more supplemental light sources of
different technology. While DOE has only identified hybrid CFLs that
are integrated, based on this definition a hybrid CFL could be either
an integrated or non-integrated CFL.
For hybrid CFLs capable of operation with both the fluorescent and
supplemental light sources turned on, DOE considered proposing to apply
a weighting of 7 percent to the efficacy of the lamp with both light
sources on, and a weighting of 93 percent to the efficacy of the lamp
with only the fluorescent light source on. DOE developed this weighting
using the estimated average daily operating hours estimated for CFLs in
the residential sector (1.9 hours),\23\ the estimated average number of
times a CFL is turned on per day (4 times),\24\ and an estimated
operation period of the supplemental light source of certain hybrid
CFLs each time the hybrid CFL is turned on (120 seconds). The efficacy
of the hybrid CFL would then be the sum of the weighted efficacy
measured with both the fluorescent and supplementary light sources on,
and the weighted efficacy measured with only the fluorescent light
source on. However, DOE believes some hybrid CFLs might not fully
stabilize when both the fluorescent and supplementary light sources are
on, possibly presenting challenges in terms of measurement
repeatability. Additionally, DOE has found at least one configuration
where it may not be possible to turn on only the fluorescent light
source. Therefore, DOE determined that the approach described above may
not produce accurate and repeatable measurements for a majority of
hybrid CFLs, and decided not to propose this methodology for testing
hybrid CFLs.
---------------------------------------------------------------------------

\23\ U.S. Department of Energy, Office of Energy Efficiency and
Renewable Energy, Building Technologies Office, Solid-State Lighting
Program. Residential Lighting End-Use Consumption Study: Estimation
Framework and Initial Estimates. December 2012. Washington, DC.
https://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/2012_residential-lighting-study.pdf.
\24\ Jump, C. et al. Welcome to the Dark Side: The Effect of
Switching on CFL Measure Life. ACEEE 2008 Summer Study on Energy
Efficiency in Buildings. 2008. Asilomar, CA, August 17-22. American
Council for an Energy-Efficient Economy. www.eceee.org/library/conference_proceedings/ACEEE_buildings/2008/Panel_2/2_111/paper.
---------------------------------------------------------------------------

Instead, DOE proposes that hybrid CFLs must be tested with all
supplemental light sources turned off, if possible, and that the lamp
must be stabilized in the operating mode that corresponds to its
labeled wattage, according to test procedures proposed for CFLs in
Appendix W. DOE has tentatively determined that this is the most
consistent manner in which the

[[Page 45738]]

required metrics for hybrid CFLs can be measured. DOE requests comment
on the proposed definition of hybrid CFLs and to test hybrid CFLs
according to test procedures for non-hybrid CFLs.
6. Test Procedure for Standby Mode Power
DOE proposes to establish a test procedure to measure standby mode
power for CFLs, where applicable, in Appendix W. EPCA directs DOE to
amend its test procedures for all covered products to incorporate a
measure of standby and off mode energy consumption in accordance with
IEC 62301 and IEC 62087, if technically feasible. (42 U.S.C.
6295(gg)(2)) EPCA defines the three modes that consumer products can be
in as: (1) Active mode, (2) standby mode, and (3) off mode. (42 U.S.C.
6295(gg)(1)) DOE incorporated EPCA's definitions for active, standby,
and off modes into 10 CFR 430.2.
Active mode is defined as the condition in which an energy-using
product is connected to a main power source, has been activated, and
provides one or more main functions. Standby mode is defined as the
condition in which an energy using product is connected to a main power
source and offers one or more of the following user-oriented or
protective functions: (1) To facilitate the activation or deactivation
of other functions (including active mode) by remote switch (including
remote control), internal sensor, or timer; or (2) continuous
functions, including information or status displays (including clocks)
or sensor-based functions. Off mode is defined as the condition in
which an energy using product is connected to a main power source and
is not providing any standby or active mode function.
DOE research indicates that there are integrated CFLs incorporating
either wireless controls or photocells integral to integrated CFLs. DOE
did not find non-integrated CFLs that are capable of standby mode
operation. Certain ballasts associated with a non-integrated lamp may
be capable of a standby mode. However, this proposed test procedure
covers performance of the lamp and not the lamp-and-ballast system. In
addition, the controls and power requirements associated with the
standby mode would be found in the ballast and not the non-integrated
lamp itself. In conclusion, DOE has tentatively determined that
integrated CFLs can operate in standby mode but not off mode, and non-
integrated CFLs cannot operate in either standby or off mode.
Consistent with EPCA's requirements in 42 U.S.C. 6295(gg)(2), DOE
proposes in this NOPR to include standby mode power in its test
procedures for integrated CFLs.
DOE also proposes that standby mode power for integrated CFLs be
measured in accordance with IEC 62301. Therefore, DOE proposes to
approve IEC 62301, which is already incorporated by reference in 10 CFR
430.3, for Appendix W. DOE proposes that the test conditions and setup
be as prescribed in IEC 62301, except for ambient temperature and
ambient airflow. DOE proposes instead to prescribe the ambient
temperature and ambient airflow requirements in IES LM-66-14 (proposed
for incorporation by reference in this NOPR), to minimize differences
between test procedures for active mode and standby mode. DOE also
proposes to season lamps in the same manner as for the other proposed
test procedures, as described in section III.B.2.e. DOE notes that the
method of measuring standby mode power consumption prescribed in
section 5 of IEC 62301 is to be followed for the testing of standby
mode power. Standby mode must be initiated when the CFL is connected to
the power supply and lumen output is set to zero via remote or other
wireless/sensor control, prior to taking measurements. DOE requests
comment on its proposed test procedure for standby mode power of
integrated CFLs, and on its proposal to season lamps according to
requirements in the proposed active mode test procedures prior to
taking measurements. DOE also requests comment on its assessment that
integrated CFLs can operate in standby mode but not off mode, and that
non-integrated CFLs cannot operate in either standby or off mode.
7. Rounding Values
DOE proposes to amend certain rounding requirements for existing
metrics. Section 3 of the existing Appendix W specifies rounding of
values; rounding requirements for individual units in a given test
sample are inconsistent with rounding requirements for the test sample
as a whole. Measurements are recorded at the resolution of the test
instrumentation and calculations to the same number of significant
digits as the previous step. While final values for initial efficacy
must be rounded to one decimal place, final values for lumen
maintenance at 1,000 hours, lumen maintenance at 40 percent of rated
life, rapid cycle stress test surviving units, and lifetime must be
rounded to whole numbers. However, existing standards for lumen
maintenance at 1,000 hours (90.0 percent) and lumen maintenance at 40
percent of lifetime (80.0 percent) are at one decimal place precision
in 10 CFR 430.32(u).
DOE proposes to specify rounding requirements for represented
values in 10 CFR 429.35. Further, DOE proposes to revise the rounding
requirements for lumen maintenance at 1,000 hours and lumen maintenance
at 40 percent of lifetime to be to the nearest tenth, and for rapid
cycle stress test surviving units to be to the nearest whole number, to
align with existing standards for these metrics. DOE proposes to
specify that lifetime of a compact fluorescent lamp be rounded to the
nearest hour.
Additionally, DOE proposes rounding requirements for new metrics,
also to be specified in 10 CFR 429.35. Based on a review of
manufacturer catalogs, DOE proposes that CRI be rounded to the nearest
whole number, CCT to the nearest 100 kelvins (K), and power factor to
the nearest hundredth. These rounding requirements are consistent with
other lighting technologies. DOE also proposes that the represented
value of start time be rounded to the nearest whole number in
milliseconds based on the requirements specified in ENERGY STAR Lamps
Specification v1.1 and the ENERGY STAR Start Time Test Method. DOE
confirmed the rounding requirement for start time was reasonable based
on the precision of commercially available equipment. For standby mode
power, DOE proposes rounding to the nearest tenth of a watt, as it
believes this to be an achievable level of accuracy.
DOE requests comment on its proposed rounding requirements for
metrics.

C. Amendments to Definitions at 10 CFR 430.2

DOE proposes to revise the definition in 10 CFR 430.2 for the
existing term ``correlated color temperature,'' and to create a
definition for the term ``compact fluorescent lamp.'' The following
sections detail these proposed changes. DOE is also proposing a
definition for ``lifetime of a compact fluorescent lamp'' (see section
III.B.3.a. for further details) in 10 CFR 430.2. DOE also expects to
propose amendments to the term ``basic model'' to include CFLs, but has
tentatively determined that these amendments should be proposed as part
of the GSL standards rulemaking, to align the product-specific
definition of ``basic model'' with any additional metrics proposed in
that rulemaking.
1. Compact Fluorescent Lamp
DOE proposes to add the term ``compact fluorescent lamp'' at 10 CFR
430.2. While the term ``compact fluorescent lamp'' is currently

[[Page 45739]]

referenced in the EPCA and DOE definitions of ``general service lamp,''
``medium base compact fluorescent lamp,'' and ``self-ballasted compact
fluorescent lamp,'' compact fluorescent lamp is not itself defined
either in EPCA or by DOE. As discussed in section III.B.5, DOE is
proposing test procedures for CFLs including both non-integrated and
integrated CFLs. Therefore, in this NOPR, DOE proposes a definition for
``compact fluorescent lamp.''
DOE reviewed its definitions for other lighting products and
considered the existing definition of the term ``fluorescent lamp'' as
a basis for its proposed definition of ``compact fluorescent lamp.''
DOE defines a fluorescent lamp as a low pressure mercury electric-
discharge source in which a fluorescing coating transforms some of the
ultraviolet energy generated by the mercury discharge into light, and
explicitly limits the definition to six specific categories of double-
based linear fluorescent lamps. 10 CFR 430.2 In comparison, DOE's
existing definition of the term ``medium base compact fluorescent
lamp'' does not describe the lamp's operating principles, but rather
its physical characteristics (integrated, medium screw base), rated
input voltage range (115-130 V), intended application, and lamp designs
excluded from the definition. DOE believes a more general CFL
definition, similar to DOE's definition of the term ``fluorescent
lamp,'' is the most suitable to support DOE's coverage of additional
CFL categories.
DOE also considered current IES definitions of ``compact
fluorescent lamp'' contained in ANSI/IES RP-16-14 and IES LM-66-14
(proposed for incorporation by reference in this NOPR). Section
6.5.6.1.4 of ANSI/IES RP-16-14 defines a CFL as a fluorescent lamp with
a small diameter glass tube (T5 or less) that is folded, bent, or
bridged to create a long discharge path in a small volume; it also
states that CFL designs generally include an amalgam and a cold
chamber, or a cold spot to control the mercury vapor pressure and light
output. The introduction to IES LM-66-14 provides a similar definition,
but clarifies that CFLs are single-based lamps, and excludes circline
(circular-shaped) and U-bent (U-shaped) lamps (which are included in
IES LM-9-09, ``Electrical and Photometric Measurements of Fluorescent
Lamps''). Unlike DOE's more general fluorescent lamp definition, the
IES CFL definitions focus less on basic operational principles and more
on specific physical characteristics.
DOE considered whether specific physical characteristics should be
included in the definition of CFL. In addition to the lamp tube
diameter and lamp geometry elements of the IES definitions, DOE also
considered including a maximum overall lamp length of 21 inches, which
was the greatest lamp length observed in DOE's review of commercially
available non-integrated CFLs. A disadvantage to including detailed
physical dimensions or descriptions of lamp geometry in a definition is
that it may exclude future CFL form factors. However, DOE considers the
single-based lamp construction specified in the IES LM-66-14 CFL
definition to be a defining characteristic of common CFL designs. DOE
therefore proposes to define a CFL as a single-based lamp.
DOE also considered whether U-shaped lamps and circline lamps
should be included in the definition of CFL. As discussed, IES LM-66-14
specifically excludes U-shaped and circline fluorescent lamps from its
CFL definition. The statutory and DOE definition for general service
fluorescent lamp (GSFL) includes U-shaped lamps, and in the current
energy conservation standards rulemaking for GSFLs, DOE considers
circline lamps to be GSFLs as well.\25\ Therefore, DOE proposes to
explicitly exclude circline and U-shaped lamps from its proposed
definition for CFL, as they are considered GSFLs.
---------------------------------------------------------------------------

\25\ GSFL-IRL Preliminary Analysis, Technical Support Document,
Chapter 2--Analytical Framework, 2013-02-28 (https://eere.energy.gov/buildings/appliance_standards/rulemaking.aspx/ruleid/24).
---------------------------------------------------------------------------

Specifically, DOE proposes 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; however, the term does not include circline or U-shaped
fluorescent lamps. DOE also proposes to clarify that the term may be
abbreviated ``CFL,'' thereby enabling use of this common initialism.
The proposed definition of CFL aligns with the existing fluorescent
lamp definition by describing the general lamp operating principles,
and incorporates the salient feature of the IES definitions by
describing the distinguishing physical characteristic of single-based
lamp construction. It is able to encompass all categories of CFLs,
including hybrid CFLs, while specifying the characteristics unique to a
CFL. DOE requests comment on its proposed definition of the term
``compact fluorescent lamp.''
2. Correlated Color Temperature
DOE proposes to clarify the definition of ``correlated color
temperature'' in 10 CFR 430.2 by adding the abbreviation ``CCT,''
similar to the inclusion of ``CRI'' in the definition for ``color
rendering index.'' The initialism ``CCT'' is widely used in industry as
well as by ENERGY STAR and in 10 CFR part 430, subpart B, appendix R.
DOE proposes this change to support the inclusion of this metric in the
proposed new and amended test procedures for CFLs. DOE requests comment
on the proposed clarification of the term ``correlated color
temperature.''

D. Amendments to Materials Incorporated by Reference at 10 CFR 430.3

As noted in preceding sections of this NOPR, DOE proposes to
incorporate by reference portions of a number of industry test methods
in support of the proposed new and amended test procedures for CFLs. In
section III.B.1, DOE proposed to incorporate by reference portions of
IES LM-54-12, IES LM-65-14, and IES LM-66-14; none of these three test
methods are presently listed in 10 CFR 430.3.
In section III.B.4.a, DOE proposed to incorporate by reference
portions of CIE 13.3-1995 and CIE 15:2004. In section III.B.5.b, DOE
proposed to incorporate by reference portions of ANSI_IEC C78.901-2014.
In section III.B.6, DOE proposed to incorporate by reference portions
of IEC 62301. All four of these test methods are presently listed in 10
CFR 430.3 but require reference to Appendix W. DOE requests comment on
its proposed incorporation by reference of portions of these eight test
methods in support of the proposed new and amended test procedures for
CFLs.

E. Amendments to 10 CFR 430.23(y)

DOE proposes to revise and add text at 10 CFR 430.23(y) to reflect
the proposed changes detailed in section III.B of this NOPR. The
existing text at 10 CFR 430.23(y) indicates that for MBCFLs, the
initial efficacy, lumen maintenance at 1,000 hours, lumen maintenance
at 40-percent of rated life, and lamp life must be measured, and the
rapid cycle stress test conducted, in accordance with section 4 of
appendix W of this subpart. DOE proposes to delete the text medium base
to reflect the inclusion of additional CFL categories.
DOE also proposes to require that specific sections of Appendix W
be used as follows: Initial lamp efficacy, lumen

[[Page 45740]]

maintenance at 1,000 hours, lumen maintenance at 40 percent of
lifetime, CRI, CCT, and power factor must be measured in accordance
with section 3.2; time to failure must be measured and rapid cycle
stress test must be conducted in accordance with section 3.3; start
time must be measured in accordance with section 3.4; and standby mode
power must be measured in accordance with section 4. DOE requests
comment on the proposed amendments to 10 CFR 430.23(y).

F. Amendments to Laboratory Accreditation Requirements at 10 CFR 430.25

DOE proposes to amend 10 CFR 430.25 to extend the laboratory
accreditation requirements for MBCFL testing to additional CFL
categories and metrics covered under its proposed new and amended test
procedures. Specifically, DOE proposes to replace the text ``medium
base compact fluorescent lamps'' with the text ``compact fluorescent
lamps'' and also that if a manufacturer's or importer's laboratory is
accredited it may conduct the applicable testing. DOE requests comment
on the proposed amendments to 10 CFR 430.25.

G. Clarifications to Energy Conservation Standard Text at 10 CFR
430.32(u)

MBCFL energy conservation standards are codified in a table at 10
CFR 430.32(u). Certain language in the MBCFL energy conservation
standards table provides clarification relevant to test procedures
(e.g., sampling, test methods, and test calculations). While this
clarifying language is not in conflict with the specifications in the
test procedures for MBCFLs contained in Appendix W and in 10 CFR
429.35, DOE proposes to modify the text in the MBCFL energy
conservation standards table to remove specific test procedure language
and instead reference the relevant parts of the MBCFL test procedures.
In addition, in the introductory paragraph of 10 CFR 430.32(u), DOE
proposes to replace the text bare lamp and covered lamp with the text
bare or covered, to align with existing text in 10 CFR 429.35. DOE
considers these revisions to be clarifications that do not modify the
energy conservation standards. Revisions to specific metrics in the
table at 10 CFR 430.32(u) are described in the sections that follow.
DOE requests comment on the proposed amendments to the energy
conservations standards for MBCFLs at 10 CFR 430.32(u) that remove test
procedure specifications and align the language with existing and
proposed terminology in Appendix W and 10 CFR 429.35.
1. Initial Lamp Efficacy
DOE proposes to amend the first column of the table in 10 CFR
430.32(u) by replacing the seven instances of the text ``lamp power''
with the text ``labeled wattage.'' DOE also proposes to amend the last
two sentences of footnote 1, which pertains to labeled wattage. DOE
proposes to delete the current text in footnote 1 that indicates to use
wattages placed on packaging to select proper specification efficacy in
this table, not measured wattage, and that labeled wattages are for
reference only. DOE proposes to replace this language with text
indicating to use labeled wattage to determine the appropriate minimum
efficacy requirements in this table, to not use measured wattage for
this purpose. These revisions clarify that the labeled wattage must be
used to determine the applicable standard (see section III.B.3.e
regarding proposed definition of ``labeled wattage'').
DOE also proposes to remove the first two sentences from footnote
1, which currently indicate that performance and electrical
requirements must be taken at the end of the 100-hour aging period
according to ANSI Standard C78.5, and that the lamp efficacy shall be
the average of the lesser of the lumens per watt measured in the base
up and/or other specified positions. These are sampling and calculation
specifications that are provided in more detail and clarity in Appendix
W and 10 CFR 429.35.
Additionally, DOE proposes to correct initial lamp efficacy
requirements for covered lamps with no reflector in the table in 10 CFR
430.32(u). Specifically DOE proposes to amend the first column of the
table by replacing the greater than or equal to operators in the eighth
and ninth rows (addressing lamps rated at least 15 W but less than 25
W) with less than or equal to operators. These changes would clarify
the intended continuity from category to category (grouped by labeled
wattage). DOE proposes replacing the text in the second row of the
second column (which indicates that the six values in the next rows
correspond to minimum efficacy and lumens/watt based upon initial lumen
data) with text that indicates these six values correspond to minimum
initial lamp efficacy, expressed in lumens per watt. The data upon
which initial lamp efficacy must be based are specified in Appendix W.
In addition, as detailed in sections III.B.2.i and III.I.1, DOE
proposes to remove the text from footnote 2 indicating that for multi-
level or dimmable systems, measurements shall be at the highest
setting, and acceptable measurement error is 3%. DOE
proposes to address dimmable systems and measurement error in Appendix
W and 10 CFR 429.35, respectively, thereby clarifying the test
procedures. DOE also proposes to remove footnote 2, which indicates
that efficacies are based on measured values for lumens and wattages
from pertinent test data, and that wattages and lumens placed on
packages may not be used in calculation and are not governed by this
specification.
DOE proposes to make these amendments in order to maintain Appendix
W and 10 CFR 429.35 as the main references for test procedure
requirements, thereby avoiding confusion and ambiguity regarding the
source of pertinent test data. DOE considers these proposed revisions
to the energy conservation standards requirements table to be
clarifications that align with the existing test procedures and do not
modify the energy conservation standards.
2. Lumen Maintenance at 1,000 Hours
DOE proposes to amend the text for 1,000-hour lumen maintenance in
the second column of the table in 10 CFR 430.32(u), which indicates
that the average of at least 5 lamps must be a minimum 90.0 percent of
initial (100-hour) lumen output at 1,000 hours of rated life. DOE
proposes to delete this text and to only state the standard (>=90.0
percent). Complete sampling requirements are provided in 10 CFR 429.35,
and complete test procedures are provided in Appendix W. In addition,
DOE proposes to replace the text in the first column of this row to
read lumen maintenance at 1,000 hours. This provides a more specific
label of the metric and corresponds with the terminology used in the
test procedures. DOE considers these proposed revisions to the energy
conservation standards table to be clarifications that do not modify
the energy conservation standards.
3. Lumen Maintenance at 40 Percent of Lifetime
DOE proposes to amend the text for lumen maintenance in the second
column of the table in 10 CFR 430.32(u), which indicates 80.0 percent
of initial (100-hour) rating at 40 percent of rated life (per ANSI
C78.5 Clause 4.10). DOE proposes to delete this text and state only the
standard (>=80.0 percent). The reference to ANSI C78.5 Clause 4.10 only
reiterates the requirement that lumen maintenance at 40 percent of
lifetime shall not be less than 80

[[Page 45741]]

percent, and is therefore unnecessary. Further, the test procedures for
lumen maintenance are provided in more detail and complete form in
Appendix W. In addition, DOE proposes to replace the text in the first
column of this row to read lumen maintenance at 40 percent of lifetime.
This provides a more specific label of the metric and corresponds with
the terminology used in the test procedures. DOE considers these
proposed revisions to the energy conservation standards to be
clarifications that do not modify the energy conservation standards.
4. Rapid Cycle Stress Test
DOE proposes to amend the text in the second column of the table
for rapid cycle stress test in 10 CFR 430.32(u). DOE proposes to delete
the first two sentences of this text, which indicate that testing must
be conducted as per ANSI C78.5 and IESNA LM-65 (clauses 2, 3, 5, and 6)
except cycle times must be 5 minutes on and 5 minutes off. DOE proposes
to state that each lamp must be cycled once for every 2 hours of
lifetime and at least 5 lamps must meet or exceed the minimum number of
cycles. ANSI C78.5 does not address rapid cycle stress testing, and DOE
proposes to incorporate by reference IES LM-65 in the test procedures
proposed in this NOPR. DOE proposes to address these test
specifications in Appendix W instead, thereby avoiding confusion and
ambiguity by maintaining Appendix W as the main reference for test
procedures. DOE considers these proposed revisions to the energy
conservation standards requirements table to be clarifications that do
not modify the energy conservation standards.
5. Lifetime
As detailed in section III.B.3.a, DOE proposes to amend 10 CFR
430.32(u) by deleting the term ``average rated lamp life'' and
replacing it with the term ``lifetime.'' In addition, DOE proposes to
amend the text in the second column of this row, which indicates that
lifetime must be >=6,000 hours as declared by the manufacturer on
packaging, and that at 80 percent of rated life, statistical methods
may be used to confirm lifetime claims based on sampling performance.
DOE proposes to remove this text and state only the standard (>=6,000
hours). DOE proposes to no longer allow the use of statistical methods
at 80 percent of rated life to determine the represented value of
lifetime. DOE is proposing to allow manufacturers to submit annual
certifications of lifetime based on an estimated value followed by full
certification once lifetime testing is completed (see section III.H for
details).

H. Amendments to Certification Report Requirements

DOE recognizes that testing of CFL lifetime and lumen maintenance
at 40 percent of lifetime requires considerably more time than testing
of other required CFL metrics. Currently, MBCFLs may be marketed before
completion of testing for lifetime and lumen maintenance at 40 percent
of lifetime with supporting engineering predictions and analysis,
pursuant to 42 U.S.C. 6293(b)(12)(C). DOE proposes to allow new basic
models of CFLs to be distributed prior to completion of the full
testing for lifetime and lumen maintenance at 40 percent of lifetime,
as well as for the rapid cycle stress test because it is also dependent
on lifetime. Similar to treatment of GSFLs and incandescent reflector
lamps in 10 CFR 429.12(e)(2), DOE proposes that prior to distribution
of the new basic model of CFL, manufacturers must submit an initial
certification report. If testing for time to failure is not complete,
manufacturers may include estimated values for lifetime, lumen
maintenance at 40 percent of lifetime, and rapid cycle stress surviving
units. If reporting estimated values, the certification report must
state the description of the prediction method and the prediction
method must be generally representative of the methods specified in
appendix W. Manufacturers are also required to maintain records per 10
CFR 429.71 of the development of all estimated values and any
associated initial test data. If reporting estimated values, the
certification report must indicate that the values are estimated until
testing for time to failure is complete. If, prior to completion of
testing, a manufacturer ceases to distribute in commerce a basic model,
the manufacturer must submit a full certification report and provide
all of the information listed in 10 CFR 429.12(b), including the
product-specific information required by 10 CFR 429.35(b)(2), as part
of its notification to DOE that the model has been discontinued.
DOE requests comment on the proposed changes to the certification
report requirements.

I. Amendments to 10 CFR 429.35

The text of the 10 CFR 429.35 title currently addresses bare or
covered (no reflector) medium base compact fluorescent lamps. DOE
proposes to remove this text and identical text found in Sec.
429.35(a)(1) and Sec. 429.35(a)(2), and replace it with the text
``compact fluorescent lamps'' to reflect the proposed inclusion of
additional CFL categories.
In addition, to support the proposed new and amended test
procedures in Appendix W, DOE proposes to clarify and amend the
sampling requirements for existing and new metrics, including standby
mode power, and to provide clarification on reuse of samples. DOE has
tentatively concluded that these clarifications and amendments would
not have a significant impact on measured values or test burden. DOE
requests comment on the proposed clarifications to sampling
requirements for initial lamp efficacy, lumen maintenance, rapid cycle
stress test, and lifetime, and the tentative conclusion that they would
not have a significant impact on measured values or test burden. These
proposed changes to sampling requirements are discussed in detail in
the following sections.
1. Initial Lamp Efficacy and Lumen Maintenance
Currently, in 10 CFR 429.35, sampling requirements are specified
for efficacy, 1,000-hour lumen maintenance, and lumen maintenance. DOE
proposes to replace the terms efficacy, 1,000-hour lumen maintenance,
and lumen maintenance, respectively, with the terms initial lamp
efficacy, lumen maintenance at 1,000 hours, and lumen maintenance at 40
percent of lifetime. Further, DOE proposes to include language that
specifies that for each sample unit, a measured value for each metric
must be determined. This addition will clarify that the mean and lower
confidence limit (LCL) calculations must be applied to measured values
of each metric.
DOE also proposes to create a separate sampling requirement section
for initial efficacy in order to include an allowance of 3 percent
tolerance on the represented value of this metric until the compliance
date of any amended energy conservation standards for MBCFLs.\26\ MBCFL
energy conservation standards are codified in 10 CFR 430.32(u) and
include footnotes that provide clarification on test procedures.
Footnote 2 includes the statement that acceptable measurement error is
3%. Because this statement pertains to measurement of
initial lamp efficacy, DOE proposes to remove this statement from the
table in 10 CFR 430.32(u), as noted in section III.G.1, and to reflect
this provision instead in an amendment to 10 CFR 429.35.
---------------------------------------------------------------------------

\26\ The provision would not be applicable for early
certification to the proposed GSL standards.
---------------------------------------------------------------------------

Specifically, DOE proposes to state that, to account for
measurement error,

[[Page 45742]]

the represented value for MBCFL initial lamp efficacy may include 3
percent added to the lower of (a) the mean of the sample and (b) the
lower 97.5 percent LCL of the true mean divided by 0.95. For example,
if the mean of the sample is the lower value at 60.0 lumens per watt,
then the 1.03 multiplier could be applied to yield a represented value
for initial lamp efficacy of 61.8 lumens per watt. DOE has tentatively
concluded that this clarification will not result in a significant
impact to measured values. In addition, DOE proposes to amend 10 CFR
429.35 to clarify that the 3 percent tolerance is only applicable to
MBCFLs, and only until the compliance date of any amended energy
conservation standards for MBCFLs if adopted by the ongoing GSL
standards rulemaking. DOE requests comment on its proposed amendments
to 10 CFR 429.35 regarding the existing allowance for measurement error
of initial lamp efficacy.
Additionally, DOE proposes to expand the sample size from a minimum
of 5 units to a minimum of 10 units for initial lamp efficacy, 1,000
hour lumen maintenance, and lumen maintenance at 40 percent of
lifetime. DOE also proposes to require that half of the units are
tested base up and half of the units are tested base down, rather than
testing all units base up as currently required. DOE further proposes
to specify that if more than 10 units are tested as part of the sample
for these three metrics, the total number of units must be a multiple
of two so that an equal number of units can be tested base up and base
down. Testing in both the base up and base down positions provides an
accurate representation of performance under both orientations since
the end-use orientation is unknown. Because the current sampling
requirements already require at least 10 units for determining
lifetime, and initial lamp efficacy and lumen maintenance values can be
determined in the course of time to failure testing, DOE has
tentatively concluded that the proposed sampling size would not be
overly burdensome for manufacturers. Further, DOE is proposing to
require the use of the same samples for representations of lifetime and
lumen maintenance values (see section III.I.5 for details).
Additionally, this sampling plan is consistent with the sampling
requirements for these metrics in the current ENERGY STAR Lamps
Specification v1.1.
As noted in section III.B.4, DOE proposes to move all lamp
orientation text from Sec. 429.35 to Appendix W in order to
consolidate test requirements. DOE therefore proposes to specify in
section 3.2.1.1 of Appendix W that half of the units must be tested in
the base up position, and half of the units must be tested in the base
down position; if the position is restricted by the manufacturer, units
must be tested in the manufacturer specified position. DOE also
proposes to specify in 10 CFR 429.35 that any represented value of
lumen maintenance at 40 percent of lifetime must be based on a lifetime
value that is equal to or greater than the represented value of
lifetime.
DOE also proposes to specify in 10 CFR 429.35 that any represented
value of initial lamp efficacy be expressed in lumens per watt and
rounded to the nearest tenth; any represented value of lumen
maintenance at 1,000 hours be expressed as a percentage and rounded to
the nearest tenth; and any represented value of lumen maintenance at 40
percent of lifetime be expressed as a percentage and rounded to the
nearest tenth. DOE requests comment on its proposed rounding
requirements.
2. Rapid Cycle Stress Testing
DOE proposes to restrict the sample size for rapid cycle stress
testing to an exact number of units. Currently, the sampling size for
rapid cycle stress testing is specified at 10 CFR 429.35(a)(2)(ii) as
no less than 6 unique units. DOE proposes to specify that exactly 6
unique units must be tested per basic model for rapid cycle stress
testing. This proposed specification will minimize confusion and
improve consistency in the number of samples used for testing. This
proposed sampling requirement would also align with the sample size
requirement for rapid cycle stress testing in the ENERGY STAR Lamps
Specification v1.1. As noted in section III.B.4, DOE proposes to move
all lamp orientation text from 10 CFR 429.35 to Appendix W in order to
consolidate test requirements; the relevant text for rapid cycle stress
testing currently indicates that each unit can be tested in the base up
or base down position as stated by the manufacturer. To align with
other test procedures, DOE proposes to specify in section 3.3.1.1 of
Appendix W that half of the units must be tested in the base up
position, and half of the units must be tested in the base down
position; if the position is restricted by the manufacturer, units must
be tested in the manufacturer-specified position. DOE also proposes to
specify at a new paragraph in 10 CFR 429.35 that any represented value
of rapid cycle stress test surviving units must be based on a lifetime
value that is equal to or greater than the represented value of
lifetime. DOE also proposes to specify in 10 CFR 429.35 that any
represented value of the results of rapid cycle stress testing be
expressed in the number of surviving units. DOE requests comment on its
proposed rounding requirements.
3. Lifetime of a Compact Fluorescent Lamp
DOE proposes to clarify the sampling requirements for lifetime of a
compact fluorescent lamp, including the position in which lamps are
tested. Currently, 10 CFR 429.35(a)(2)(iii) states that no less than 10
units per basic model must be used when testing for the average rated
lamp life, and that half the sample should be tested in the base up
position and half of the sample should be tested in the base down
position, unless specific use or position appears on the packaging of
that particular unit.
As noted in section III.B.3.a, DOE proposes to replace the term
``average rated lamp life'' with the term ``lifetime of a compact
fluorescent lamp.'' In addition, DOE proposes amendments to align the
sampling requirements for lifetime with the sampling requirements for
initial lamp efficacy and lumen maintenance. DOE proposes to specify
within the sampling requirements for lifetime, that if more than 10
units are tested as part of the sample, the total number of units must
be a multiple of two. DOE also proposes to specify how the time to
failure value determined per Appendix W must be used to determine the
represented value of lifetime. Specifically, DOE proposes the lifetime
of a compact fluorescent lamp must be calculated by determining the
median time to failure of the sample (calculated as the arithmetic mean
of the time to failure of the two middle sample units when the numbers
are sorted in value order). DOE also proposes to reference section 3.3
of Appendix W in the sampling requirements for lifetime to clarify the
use of the time to failure test procedure when determining lifetime.
DOE also proposes to specify in 10 CFR 429.35 that any represented
value of lifetime be expressed in hours and rounded to nearest whole
number. DOE requests comment on its proposed rounding requirements.
As noted in section III.B.4, DOE proposes to move all lamp
orientation text from Sec. 429.35 to Appendix W in order to
consolidate test requirements. DOE therefore proposes to specify in
section 3.3.1.1 of Appendix W that half of the units must be tested in
the base up position and half of the units must be tested in the base
down position, but that if the position is restricted by the
manufacturer, units must be tested in the manufacturer-specified
position.

[[Page 45743]]

4. New Metrics
As discussed in section III.B.4, DOE is proposing test procedures
for measuring new metrics including CRI, power factor, CCT, start time,
and standby mode power. For CRI, power factor, CCT, and standby mode
power, DOE proposes to require a sample size of at least 10 (half base
up and half base down). Testing in both the base up and base down
positions provides an accurate representation of performance under both
orientations since the end-use orientation is unknown. DOE also
proposes to specify within the sampling requirements for CRI, power
factor, CCT, and standby mode power, that, if more than 10 units are
tested as part of the sample, the total number of units must be a
multiple of two.
DOE proposes to specify the same sampling requirements for CRI and
power factor as those specified for initial lamp efficacy, lumen
maintenance at 1,000 hours, and lumen maintenance at 40 percent of
lifetime in 10 CFR 429.35. Thus, for CRI and power factor, DOE proposes
that representations of these metrics be equal to the lesser of the
mean of the sample and the 97.5 percent LCL divided by 0.95. Since
higher values are desirable for CRI and power factor, use of the lesser
of the mean and LCL ensures that a representative value is reported.
Because there are no targeted upper or lower bound values for CCT,
DOE proposes to specify in 10 CFR 429.35 that representations of CCT be
the mean of the sample.
For the start time, DOE proposes a sample size of three units. DOE
believes this is an appropriate sample size to determine an accurate
value for the lamp start time. Further, DOE proposes that
representations be equal to the greater of the mean of the sample and
the 97.5 percent upper confidence limit (UCL) divided by 1.05, since
lower values are desirable. DOE proposes to describe the sampling
requirements for start time in 10 CFR 429.35.
For standby mode power, DOE proposes to specify in 10 CFR 429.35 a
sample size of at least 10 units, consistent with that used for the
active mode power metric, initial lamp efficacy. DOE proposes that
representations be equal to the greater of the mean of the sample and
the 97.5 percent UCL divided by 1.05, since lower values are desirable.
DOE has tentatively concluded that the proposed sampling size for
CRI, power factor, CCT, start time, and standby mode power would not
increase test burden on manufacturers. The current sampling
requirements already require 10 units for determining lifetime, and
several of these metrics (e.g., CRI, CCT, and power factor values) can
be determined in the course of time to failure testing. Additionally,
this sampling plan is consistent with the sampling requirements for
these metrics in the ENERGY STAR Lamps Specification v1.1. DOE requests
comment on the proposed sampling requirements for CRI, power factor,
CCT, start time, and standby mode power and the preliminary
determination that these requirements do not increase test burden on
manufacturers.
DOE proposes to specify in 10 CFR 429.35 that any represented value
of CCT be expressed in kelvins (K) and rounded to the nearest 100; any
represented value of standby mode power be expressed in watts and
rounded to the nearest tenth; any represented value of CRI be rounded
to the nearest whole number; and any represented value of power factor
be rounded to the nearest hundredths place. Further DOE proposes to
specify in 10 CFR 429.35 any represented value of start time be
expressed in milliseconds and rounded to the nearest whole number. DOE
requests comment on its proposed rounding requirements.
5. Reuse of Samples
DOE proposes to specify in 10 CFR 429.35 that the same sample of
units must be used to determine initial lamp efficacy, lumen
maintenance at 1,000 hours, lumen maintenance at 40 percent of
lifetime, lifetime, CRI, CCT, power factor, start time, and standby
mode power. DOE believes that using the same sample units for all
metrics reduces testing burden. For example, lifetime and lumen
maintenance testing are inherently lengthy procedures, involving
thousands of hours of lamp operation. Avoiding duplicate sets of long-
term sample units could therefore reduce the effort and resources
required for testing. DOE requests comment on its proposed
clarifications and amendments to the reuse of samples.

J. Federal Trade Commission (FTC) Labeling Requirements

DOE is proposing to add provisions to 10 CFR 429 to support FTC's
labeling program. DOE is including provisions for initial lumen output,
input power, correlated color temperature, estimated annual energy
cost, and life (in years) to enable FTC to allow manufacturers to
submit data through DOE's Compliance Certification Management System
(CCMS) for the FTC labeling requirements. The measurements required for
these metrics are already described in Appendix W because they support
other metrics described in this test procedure. For example, initial
lumen output and input power (a standalone metric and also part of the
calculation for estimated annual energy cost) are the two quantities
required to calculate initial lamp efficacy. Furthermore, the life
(expressed in years) is determined by dividing the lifetime by an
average operating hour value specified by FTC. Both initial lamp
efficacy and lifetime are metrics already required by DOE and described
in detail throughout this test procedure. DOE proposes modifications to
10 CFR 429.35 to support the addition of provisions for initial lumen
output, input power, correlated color temperature, estimated annual
energy cost, and life (expressed in years).

K. Effective Date and Compliance Dates

If adopted, the effective date for the test procedures proposed in
this NOPR would be 30 days after publication of the CFL test procedure
final rule in the Federal Register. The compliance date for an amended
or new test procedure is 180 days after publication of the final rule.
(42 U.S.C. 6293(c)(2))
DOE proposes that after the effective date and prior to the
compliance date of a CFL test procedure final rule, manufacturers may
voluntarily begin to make representations with respect to the energy
use or efficiency of CFLs (including but not limited to MBCFLs) using
the results of testing pursuant to that final rule. On or after 180
days after publication of a final rule, any representations including
certifications of compliance (if required), made with respect to the
energy use or efficiency of CFLs (including but not limited to MBCFLs)
must be made in accordance with the results of testing pursuant to the
proposed new and amended test procedures.
DOE requests comment on the proposed effective date and compliance
dates for the proposed new and amended CFL test procedures.

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.

[[Page 45744]]

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 (Aug. 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: https://energy.gov/gc/office-general-counsel.
DOE reviewed the proposed rule to amend the test procedures for
CFLs 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.
1. Small Business Manufacturers of Covered Products
The Small Business Administration (SBA) has set a size threshold
for electric lamp manufacturers to describe those entities that are
classified as ``small businesses'' for the purposes of the Regulatory
Flexibility Act. DOE used the SBA's small business size standards to
determine whether any small manufacturers of CFLs would be subject to
the requirements of the rule. 65 FR 30836, 30849 (May 15, 2000), as
amended at 65 FR 53533, 53545 (Sept. 5, 2000) and codified at 13 CFR
part 121. The size standards are listed by North American Industry
Classification System (NAICS) code and industry descriptions are
available at www.sba.gov/content/small-business-size-standards.
In a final rule published in March 2011 for certification,
compliance, and enforcement (2011 CCE final rule), DOE identified NAICS
code 335110, ``Electric Lamp Bulb and Part Manufacturing,'' for MBCFLs.
76 FR 12422, 12488 (March 7, 2011). Although the 2011 CCE final rule
focused on MBCFLs, the NAICS code 335110 is applicable to all CFLs,
including but not limited to MBCFLs. The SBA sets a threshold of 1,000
employees or less for an entity to be considered as a small business
for NAICS code 335110.
DOE conducted a focused inquiry of manufacturers of products
covered by this rulemaking. During its market survey, DOE used all
available public information to identify potential small manufacturers.
DOE's research involved the review of DOE's Compliance Certification
Database, the ENERGY STAR databases, individual company Web sites, and
marketing research tools (e.g., Hoovers.com, Manta.com) to create a
list of companies that manufacture CFLs covered by this rulemaking.
Using these sources, DOE identified 159 distinct manufacturers of CFLs
(integrated and non-integrated lamps).
DOE then reviewed these data to determine whether the entities met
the SBA's definition of a small business manufacturer of covered
lighting products and screened out companies that do not offer products
covered by this rulemaking, do not meet the definition of a ``small
business,'' or are foreign owned and operated. Based on this review,
DOE has identified 26 manufacturers that would be considered small
businesses. Through this analysis, DOE determined the expected impacts
of the rule on affected small businesses and whether an IRFA was needed
(i.e., whether DOE could certify that this rulemaking would not have a
significant economic impact on a substantial number of small entities).
Table IV.1 stratifies the small businesses according to their
number of employees. The smallest company has 1 employee and the
largest company 167 employees. Annual revenues associated with these
small businesses were estimated at $269 million ($10.4 million average
annual sales per small business). According to DOE's analysis, small
businesses comprise 16 percent of the entire CFL manufacturing industry
covered by the proposed rule.

Table IV.1--Small Business Size by Number of Employees
----------------------------------------------------------------------------------------------------------------
Number of small Percentage of Cumulative
Number of employees businesses small businesses percentage
----------------------------------------------------------------------------------------------------------------
1-10................................................... 9 34.6 34.6
11-20.................................................. 4 15.4 50.0
21-30.................................................. 2 7.7 57.7
31-40.................................................. 4 15.4 73.1
41-50.................................................. 1 3.8 76.9
51-60.................................................. 2 7.7 84.6
61-70.................................................. 0 0.0 84.6
71-80.................................................. 1 3.8 88.5
81-90.................................................. 1 3.8 92.3
91-100................................................. 0 0.0 92.3
101-150................................................ 1 3.8 96.2
151-200................................................ 1 3.8 100.0
201-300................................................ 0 0.0 100.0
301-400................................................ 0 0.0 100.0
401-500................................................ 0 0.0 100.0
501-1,000.............................................. 0 0.0 100.0
--------------------------------------------------------
Total.............................................. 26
----------------------------------------------------------------------------------------------------------------

DOE assessed elements (testing methodology, testing times and
sample size) in the proposed test procedure amendments that could
affect costs associated with complying with this rule. The following is
a synopsis of changes and analysis of costs associated with this
proposed rulemaking.
2. Burden Related to Proposed Amendments to Appendix W
DOE's analysis of burden for Appendix W focused on updates to

[[Page 45745]]

industry test methods, test procedures scope of coverage, proposed new
test procedures, and sample size.
a. Updates to Industry Test Methods
DOE proposes in this NOPR to incorporate by reference the latest
versions of industry test methods relevant to CFL performance
measurements, which would collectively replace the test procedures
adopted from the August 2001 version of the ENERGY STAR program
requirements for CFLs that is incorporated by reference in DOE's
existing MBCFL test procedures. DOE proposes to incorporate by
reference the latest IES and CIE industry test methods contained in the
current ENERGY STAR Lamps Specification v1.1. Further, DOE proposes to
incorporate these latest industry test methods directly, instead of
indirectly through an ENERGY STAR reference as in the existing test
procedures. These updated test methods provide revised procedures and
do not require additional equipment. Therefore, updating the test
methods should not increase the burden.
b. Test Procedures Scope of Coverage
This notice proposes test procedures that cover all CFLs and not
just the MBCFLs currently covered by the existing test procedures. The
additional scope of coverage will increase burden compared to the
existing burden. DOE analyzes the cost of testing the additional CFL
categories in the analysis of burden.
c. Proposed New Test Procedures
DOE's proposed amendments to Appendix W include additional elements
not currently addressed in Appendix W. The additional testing for power
factor, start time, and standby mode power will increase the labor and
energy burden compared to the existing burden. DOE analyzes the costs
of these additional metrics in the analysis of burden. As previously
stated in this NOPR, DOE is also considering proposing test procedures
for CCT and CRI in support of the ongoing GSL standards rule. DOE does
not believe that the additional metrics of CCT or CRI will increase
burden because the data to calculate the metrics can be measured at the
same time and without additional setup and labor as the lumen output
measurements. Further, most manufacturers already measure, calculate,
and report these values as part of Lighting Facts labels and
specification sheets and, in many cases, participation in the ENERGY
STAR program.
d. Sample Size
In addition to the change in scope of coverage and the additional
tests added to the proposed test procedures, Appendix W also proposes
to increase the sample size of lamps being tested. Many of the sample
sizes would increase from 5 to 10 which will increase burden. DOE
analyzes the costs associated with increased sample size in the
analysis of burden.
e. Analysis of Burden
To determine the costs, DOE analyzed the labor cost and the cost of
electricity for the different measurements discussed in the proposed
test procedure. To determine the cost of labor, DOE reviewed the 2012
median pay for electrical and electronic engineering technicians
($57,850), electrical and electronics engineers ($89,630) and electro-
mechanical technicians ($51,820) based on data published by the U.S.
Department of Labor Bureau of Labor Statistics.\27\ The average annual
salary of $66,433 was divided by 1,920 hours per year (40 hours per
week for 48 weeks per year) to develop an hourly rate of $34.60. The
hourly labor rate was increased 31.3 percent \28\ to account for
benefits,\29\ yielding an estimated total hourly labor rate of $45.43.
The cost of labor was then calculated by multiplying the estimated
hours of labor by the total hourly labor rate.
---------------------------------------------------------------------------

\27\ United States Department of Labor. Bureau of Labor
Statistics Occupational Outlook Handbook. Washington, DC. (Last
accessed February 25, 2015.) www.bls.gov/ooh/Architecture-and-Engineering/home.htm.
\28\ Obtained from the Bureau of Labor Statistics News Release:
Employer Cost For Employee Compensation--December 2014, U.S.
Department of Labor (December 2014) www.bls.gov/news.release/ecec.nr0.htm.
\29\ Additional benefits include paid leave, supplemental pay,
insurance, retirement savings, Social Security, Medicare,
unemployment insurance, and workers compensation.
---------------------------------------------------------------------------

To determine the cost of electricity, DOE used the labeled wattage
of integrated lamps or referred to a ballast catalog for non-integrated
lamps. The wattage value was multiplied by the estimated operating time
needed to complete the required testing to determine the energy use of
the lamp during testing. The energy use of the lamp during testing was
then multiplied by an electricity rate of $0.1077 per kilowatt-hour
(kWh) to determine the cost of electricity.\30\
---------------------------------------------------------------------------

\30\ The electricity rate of $0.1077 per kWh is the average
commercial rate year to date for 2014 from the U.S. Energy
Information Administration's (EIA's) Electric Power Monthly, March
2014, Table 5.3, available at www.eia.gov/electricity/monthly/ (last
accessed February 25, 2015).
---------------------------------------------------------------------------

DOE collected annual revenue estimates for 26 small businesses for
CFLs using the Hoovers.com and Manta.com company profile databases.
Hoovers.com and Manta.com report significantly different annual revenue
for certain manufacturers; in these situations, DOE averaged the two
datasets for each manufacturer. DOE determined that the mean revenue of
the identified small businesses is $10,356,384. According to a
combination of Hoovers.com and Manta.com, the smallest of the 26 small
businesses had revenues of $0.29 million per year.
DOE analyzed the potential burden for 8 of the 26 small businesses
identified, including the following: The manufacturer with the fewest
employees, the manufacturer with the most employees, a manufacturer
with a relatively high number of MBCFL basic models, a manufacturer
with a relatively high number of CFL basic models (34 basic models, 11
of which were MBCFLs), and 4 others that were near median for the 26-
manufacturer dataset in terms of number of employees and basic models.
Table IV.2 compares the total number of basic models, the testing
cost per basic model, and the testing costs as a portion of their
revenues for both the existing Appendix W and the proposed amendments
to Appendix W. The average cost of testing in accordance with the
existing Appendix W is $1,180 per basic model, versus $2,602 for the
proposed amended Appendix W. This is a 120 percent increase in testing
costs per basic model. For the 8 small businesses analyzed, costs
associated with testing in accordance with the proposed Appendix W
represent on average 3 percent of their annual revenue. For one small
business, the proposed testing in Appendix W could represent 7.6
percent of their annual revenue; however, this value is likely
overstated since the analysis for each of these businesses assumes just
one unique product configuration per basic model.

[[Page 45746]]

Table IV.2--Analysis of Small Businesses
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Business #
-------------------------------------------------------------------------------------------------------
1 2 3 4 5 6 7 8
--------------------------------------------------------------------------------------------------------------------------------------------------------
Existing Appendix W
--------------------------------------------------------------------------------------------------------------------------------------------------------
# of basic models............................... 8 28 5 28 25 27 85 19
Testing cost/basic model........................ $1,154 $1,292 $1,186 $1,246 $1,187 $1,110 $1,187 $1,078
Testing cost portion of revenue................. 0.13% 3.12% 1.19% 0.17% 0.61% 1.58% 0.36% 1.08%
--------------------------------------------------------------------------------------------------------------------------------------------------------
Proposed Amendments to Appendix W
--------------------------------------------------------------------------------------------------------------------------------------------------------
# of basic models............................... 11 34 5 116 59 31 87 44
Testing cost/basic model........................ $2,708 $2,598 $2,500 $2,732 $2,585 $2,506 $2,657 $2,531
Testing cost portion of revenue................. 0.43% 7.62% 2.50% 1.57% 3.13% 4.09% 0.82% 5.90%
--------------------------------------------------------------------------------------------------------------------------------------------------------

f. Summary
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 representations of the new,
more efficient rating.
DOE analyzed the industry for CFL manufacturing to determine all
manufacturers of CFLs covered in this NOPR. Analysis of the industry
determined that 16 percent of all CFL manufacturers could be classified
as small businesses according to SBA classification guidelines.
Although 16 percent of the market could be considered a significant
portion of the overall industry, these manufacturers are not
substantially affected by this proposed rule because the testing
represents a small portion of annual revenue and does not need to be
repeated annually. Further, 80 percent of the small businesses
identified participate in ENERGY STAR. Therefore, a vast majority of
small businesses are already testing these same quantities and metrics
for ENERGY STAR certification.
Based on the criteria outlined earlier, DOE certifies that proposed
testing procedure amendments 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). DOE requests comment on
its tentative conclusion that the proposed test procedure changes will
not have a significant economic impact on a substantial number of small
entities.

C. Review Under the Paperwork Reduction Act of 1995

Manufacturers of covered products must certify to DOE that their
products comply with any applicable energy conservation standards. In
certifying compliance, manufacturers must test their products according
to the applicable DOE test procedure, including any amendments adopted
for that test procedure. DOE has established regulations for the
certification and recordkeeping requirements for all covered consumer
products and commercial equipment, including MBCFLs. 76 FR 12422 (March
7, 2011); 80 FR 5099 (January 30, 2015). The collection-of-information
requirement for the certification and recordkeeping is subject to
review and approval by OMB under the Paperwork Reduction Act (PRA).
This requirement has been approved by OMB under OMB Control Number
1910-1400 and includes an estimated public reporting burden for
manufacturers of other CFL categories, in addition to MBCFLs, should
DOE set any future energy conservation standards for these products.
Public reporting burden for the certification is estimated to average
30 hours per response, including the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to, a penalty
for failure to comply with a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

In this proposed rule, DOE proposes test procedure amendments that
it expects will be used to develop and implement future energy
conservation standards for CFLs. DOE has determined that this rule
falls into a class of actions that are categorically excluded from
review under the National Environmental Policy Act of 1969 (42 U.S.C.
4321 et seq.) and DOE's implementing regulations at 10 CFR part 1021.
Specifically, this proposed rule would amend the existing test
procedures without affecting the amount, quality, or distribution of
energy usage, and, therefore, would not result in any environmental
impacts. Thus, this rulemaking is covered by Categorical Exclusion A5
under 10 CFR part 1021, subpart D, which applies to any rulemaking that
interprets or amends an existing rule without changing the
environmental effect of that rule. Accordingly, neither an
environmental assessment nor an environmental impact statement is
required.

E. Review Under Executive Order 13132

Executive Order 13132, ``Federalism,'' 64 FR 43255 (Aug. 4, 1999),
imposes certain requirements on agencies formulating and implementing
policies or regulations that preempt State law or that have Federalism
implications. The

[[Page 45747]]

Executive Order requires agencies to examine the constitutional and
statutory authority supporting any action that would limit the
policymaking discretion of the States and to carefully assess the
necessity for such actions. The Executive Order also requires agencies
to have an accountable process to ensure meaningful and timely input by
State and local officials in the development of regulatory policies
that have Federalism implications. On March 14, 2000, DOE published a
statement of policy describing the intergovernmental consultation
process it will follow in the development of such regulations. 65 FR
13735. DOE has examined this proposed rule and has determined that it
would not have a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. EPCA governs and prescribes Federal preemption of State
regulations as to energy conservation for the products that are the
subject of 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 likely to result 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 https://energy.gov/gc/office-general-counsel. DOE examined this
proposed rule according to UMRA and its statement of policy, and DOE
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.

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

Section 654 of the Treasury and General Government Appropriations
Act, 1999, (Pub. L. 105-277) requires Federal agencies to issue a
Family Policymaking Assessment for any rule that may affect family
well-being. This rule would 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 would not
result in any takings that might require compensation under the Fifth
Amendment to the U.S. Constitution.

J. Review Under the 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 proposed significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgated or is expected to lead to promulgation of a
final rule, and that: (1) Is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any proposed significant energy action,
the agency must give a detailed statement of any adverse effects on
energy supply, distribution, or use should the proposal be implemented,
and of reasonable alternatives to the action and their expected
benefits on energy supply, distribution, and use.
The proposed regulatory action to amend the test procedures for
measuring the energy efficiency of CFLs is not a significant regulatory
action under Executive Order 12866. Moreover, it would not have a
significant adverse effect on the supply,

[[Page 45748]]

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
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the
Federal Energy Administration Act of 1974, as amended by the Federal
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA)
Section 32 essentially provides in relevant part that, where a proposed
rule authorizes or requires use of commercial standards, the notice of
proposed rulemaking must inform the public of the use and background of
such standards. In addition, section 32(c) requires DOE to consult with
the Attorney General and the Chairman of the FTC concerning the impact
of the commercial or industry standards on competition.
The proposed test procedures incorporate testing methods contained
in the following commercial standards:
(1) ANSI_IEC C78.901-2014, ``American National Standard for
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and
Electrical Characteristics,'' 2014;
(2) CIE 13.3-1995, ``Technical Report: Method of Measuring and
Specifying Colour Rendering Properties of Light Sources,'' 1995;
(3) CIE 15:2004, ``Technical Report: Colorimetry, 3rd edition,''
2004;
(4) IES LM-54-12, ``IES Guide to Lamp Seasoning,'' 2012;
(5) IES LM-65-14, ``IES Approved Method for Life Testing of Single-
Based Fluorescent Lamps,'' 2014;
(6) IES LM-66-14, ``IES Approved Method for the Electrical and
Photometric Measurements of Single-Based Fluorescent Lamps,'' 2014; and
(7) 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 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 Proposed To Be Incorporated by Reference

In this NOPR, DOE proposes to incorporate by reference the test
standard published by ANSI, titled ``American National Standard for
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and
Electrical Characteristics,'' ANSI_IEC C78.901-2014. ANSI_IEC C78.901-
2014 is an industry accepted test standard that specifies physical and
electrical characteristics of non-integrated CFLs and is applicable to
products sold in North America. The test procedures proposed in this
NOPR reference ANSI_IEC C78.901-2014 for characteristics of reference
ballasts that must be used when testing non-integrated CFLs. ANSI_IEC
C78.901-2014 is readily available on ANSI's Web site at https://webstore.ansi.org/.
DOE also proposes to incorporate by reference the test standard
published by IES, titled ``IES Guide to Lamp Seasoning,'' IES LM-54-12.
IES LM-54-12 is an industry accepted test standard that specifies a
method for seasoning CFLs prior to testing and is applicable to
products sold in North America. The test procedures proposed in this
NOPR reference various sections of IES LM-54-12 that address seasoning
of CFLs prior to testing. IES LM-54-12 is readily available on IES's
Web site at www.ies.org/store.
DOE also proposes to incorporate by reference the test standard
published by IES, titled ``IES Approved Method for Life Testing of
Single-Based Fluorescent Lamps,'' IES LM-65-14. IES LM-65-14 is an
industry accepted test standard that specifies a method for measuring
the time to failure of CFLs and is applicable to products sold in North
America. The test procedures proposed in this NOPR reference various
sections of IES LM-65-14 that address test conditions and procedures
for measuring time to failure and rapid cycle stress testing of CFLs.
IES LM-65-14 is readily available on IES's Web site at www.ies.org/store.
DOE also proposes to incorporate by reference the test standard
published by IES, titled ``IESNA Approved Method for Total Luminous
Flux Measurement of Lamps Using an Integrating Sphere Photometer,''
IESNA LM-78-07. IESNA LM-78-07 is an industry accepted test standard
that specifies a method for measuring lumen output in an integrated
sphere and is applicable to products sold in North America. The test
procedures proposed in this NOPR reference sections of IESNA LM-78-07
that address measurements of lumen output. IESNA LM-78-07 is readily
available on IES's Web site at www.ies.org/store.
DOE also proposes to incorporate by reference the test standard
published by IES, titled ``IES Approved Method for the Electrical and
Photometric Measurements of Single-Based Fluorescent Lamps,'' IES LM-
66-14. IES LM-66-14 is an industry accepted test standard that
specifies methods for measuring the photometric and electrical
characteristics of CFLs and is applicable to products sold in North
America. The test procedures proposed in this NOPR reference various
sections of IES LM-66-14 that address test conditions and procedures
for measuring initial lamp efficacy, lumen maintenance, CCT, CRI, power
factor, start time, and standby mode power of CFLs. IES LM-66-14 is
readily available on IES's Web site at www.ies.org/store.

V. Public Participation

A. Attendance at Public Meeting

The time, date, and location of the public meeting are listed in
the DATES and ADDRESSES sections at the beginning of this notice. If
you plan to attend the public meeting, please notify Ms. Brenda Edwards
at (202) 586-2945 or Brenda.Edwards@ee.doe.gov.
Please note that foreign nationals visiting DOE Headquarters are
subject to advance security screening procedures which require advance
notice prior to attendance at the public meeting. If a foreign national
wishes to participate in the public meeting, please inform DOE of this
fact as soon as possible by contacting Ms. Regina Washington at (202)
586-1214 or by email: Regina.Washington@ee.doe.gov so that the
necessary procedures can be completed.
DOE requires visitors to have laptops and other devices, such as
tablets, checked upon entry into the building. Any person wishing to
bring these devices into the Forrestal Building will be required to
obtain a property pass. Visitors should avoid bringing these devices,
or allow an extra 45 minutes to check in. Please report to the
visitor's desk to have devices checked before proceeding through
security.
Due to the REAL ID Act implemented by the Department of Homeland
Security (DHS), there have been recent changes regarding ID
requirements for individuals wishing to enter Federal buildings from
specific states and U.S. territories. Driver's licenses from the
following states or territory will not be accepted for building entry
and one of the alternate forms of ID listed below will be required. DHS
has determined that regular driver's licenses (and ID

[[Page 45749]]

cards) from the following jurisdictions are not acceptable for entry
into DOE facilities: Alaska, American Samoa, Arizona, Louisiana, Maine,
Massachusetts, Minnesota, New York, Oklahoma, and Washington.
Acceptable alternate forms of Photo-ID include: U.S. Passport or
Passport Card; an Enhanced Driver's License or Enhanced ID-Card issued
by the states of Minnesota, New York or Washington (Enhanced licenses
issued by these states are clearly marked Enhanced or Enhanced Driver's
License); a military ID or other Federal government issued Photo-ID
card.
In addition, you can attend the public meeting via webinar. Webinar
registration information, participant instructions, and information
about the capabilities available to webinar participants will be
published on DOE's Web site https://eere.energy.gov/buildings/appliance_standards/product.aspx/productid/28. Participants are
responsible for ensuring that their systems are compatible with the
webinar software.

B. Procedure for Submitting Prepared General Statement for Distribution

Any person who has plans to present a prepared general statement
may request that copies of his or her statement be made available at
the public meeting. Such persons may submit requests, along with an
advance electronic copy of their statement in PDF (preferred),
Microsoft Word or Excel, WordPerfect, or text (ASCII) file format, to
the appropriate address shown in the ADDRESSES section at the beginning
of this notice. The request and advance copy of statements must be
received at least one week before the public meeting and may be
emailed, hand-delivered, or sent by mail. DOE prefers to receive
requests and advance copies via email. Please include a telephone
number to enable DOE staff to make a follow-up contact, if needed.

C. Conduct of Public Meeting

DOE will designate a DOE official to preside at the public meeting
and may also use a professional facilitator to aid discussion. The
meeting will not be a judicial or evidentiary-type public hearing, but
DOE will conduct it in accordance with section 336 of EPCA. (42 U.S.C.
6306) A court reporter will be present to record the proceedings and
prepare a transcript. DOE reserves the right to schedule the order of
presentations and to establish the procedures governing the conduct of
the public meeting. After the public meeting and until the end of the
comment period, interested parties may submit further comments on the
proceedings and any aspect of the rulemaking.
The public meeting will be conducted in an informal, conference
style. DOE will present summaries of comments received before the
public meeting, allow time for prepared general statements by
participants, and encourage all interested parties to share their views
on issues affecting this rulemaking. Each participant will be allowed
to make a general statement (within time limits determined by DOE),
before the discussion of specific topics. DOE will allow, as time
permits, other participants to comment briefly on any general
statements.
At the end of all prepared statements on a topic, DOE will permit
participants to clarify their statements briefly and comment on
statements made by others. Participants should be prepared to answer
questions by DOE and by other participants concerning these issues. DOE
representatives may also ask questions of participants concerning other
matters relevant to this rulemaking. The official conducting the public
meeting will accept additional comments or questions from those
attending, as time permits. The presiding official will announce any
further procedural rules or modification of the procedures that may be
needed for the proper conduct of the public meeting.
A transcript of the public meeting will be included in the docket,
which can be viewed as described in the Docket section at the beginning
of this notice. In addition, any person may buy a copy of the
transcript from the transcribing reporter.

D. Submission of Comments

DOE will accept comments, data, and information regarding this
proposed rule before or after the public meeting, but no later than the
date provided in the DATES section at the beginning of this notice.
Interested parties may submit comments, data, and other information
using any of the methods described in the ADDRESSES section at the
beginning of this notice.
Submitting comments via regulations.gov. The 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 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 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

[[Page 45750]]

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).

E. 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 its proposed incorporation of updated
versions of industry standards and its tentative conclusion that the
updates would not have a significant impact on measured values for
MBCFLs or pose additional test burden for CFL manufacturers. DOE
specifically requests comments on its assessment of the updates to the
following standards and their impacts on test burden and measured
values of MBCFLs: (a) IES LM-66-14, (b) IES LM-54-12, and (c) IES LM-
65-14.
(2) DOE requests comment on the proposed clarifications to test
methods and setup and the tentative conclusion that they would not have
a significant impact on test burden and measured values. DOE
specifically requests comment on the proposed (a) requirement that all
photometric values be measured by an integrating sphere, (b) ambient
temperature requirements for photometric and electrical testing, (c)
input voltage requirements, (d) requirement that lamp orientation must
be maintained throughout testing, (e) clarifications to the lamp
seasoning methods, (f) disallowed use of the peak method as an
alternative to the stabilization method, (g) disallowance of the time
to failure testing of CFLs in a fixture, (h) definition for the term
``ballasted adapter,'' and on its proposed requirement that CFLs
packaged with or designed exclusively for use with ballasted adapters
must be tested as non-integrated CFLs, and (i) clarification that all
CFL testing must be conducted at labeled wattage, with no dimmer used
in the circuit.
(3) DOE requests comment on the proposed changes to definitions in
10 CFR 430.2 and Appendix W, and the tentative conclusion that they
would not have a significant impact on test burden and measured values.
DOE specifically requests comment on the proposed (a) removal of the
term ``average rated life'' and addition of definitions of ``lifetime
of a compact fluorescent lamp'' and ``time to failure,'' (b) removal of
the terms ``initial performance values'' and ``rated luminous flux or
rated lumen output,'' and addition of the terms ``initial lamp
efficacy,'' ``measured initial input power,'' and ``measured initial
lumen output,'' (c) clarification to the definition of ``lumen
maintenance,'' (d) removal of the term ``rated supply frequency,'' (e)
relabeling of the term ``rated wattage'' to ``labeled wattage'' and
amendments to this definition, and (f) removal of the term ``self-
ballasted compact fluorescent lamp'' and addition of definitions of
``integrated compact fluorescent lamp'' and ``non-integrated compact
fluorescent lamp.''
(4) DOE requests comment on the proposed clarifications to test
procedures for measuring initial lamp efficacy and lumen maintenance
values.
(5) DOE requests comment on the proposed test procedures for
measuring time to failure and for rapid cycle stress testing.
(6) DOE requests comment on its proposed test procedures for
measuring CCT, CRI, and power factor.
(7) DOE requests comment on the proposed test procedure for start
time and the proposed definitions for the terms ``start time,'' ``start
plateau,'' and ``percent variability.'' DOE also requests comment on
the summary of start time testing and results that can be found in the
docket for this rulemaking.
(8) DOE requests comment on its proposal that integrated CFLs with
medium screw bases and other base types are to follow the same test
procedures.
(9) DOE requests comment on the proposed (a) requirement that non-
integrated CFLs be tested using reference ballasts that meet ANSI_IEC
C78.901-2014 specifications, except as noted, (b) requirement that non-
integrated CFLs are to be tested at low frequency when a choice is
available between low and high frequency reference ballast
specifications, (c) requirement that non-integrated CFLs are to be
tested on a rapid start circuit when possible, and (d) requirement that
if not listed in ANSI_IEC C78.901-2014 or Appendix W, reference ballast
specifications be based on existing reference ballast specifications of
the most similar lamp in ANSI_IEC C78.901-2014 or for the higher
wattage lamp it is intended to replace.
(10) DOE requests comment on the proposed definition of and test
procedure for hybrid CFLs.
(11) DOE requests comment on its proposed test procedure for
standby mode power of integrated CFLs, and on its proposal to season
lamps according to requirements in the proposed active mode test
procedures prior to measuring standby mode power. DOE also requests
comment on its assessment that integrated CFLs can operate in standby
mode but not off mode, and that non-integrated CFLs cannot operate in
either standby mode or off mode.
(12) DOE requests comment on the proposed amendments to 10 CFR
430.23(y).
(13) DOE requests comment on its proposed rounding requirements for
represented value of metrics.
(14) DOE requests comment on its proposed definition of the term
``compact fluorescent lamp.'' DOE also requests comment on the proposed

[[Page 45751]]

clarification of the term ``correlated color temperature.''
(15) DOE requests comment on its proposed incorporation by
reference of eight test methods in support of the proposed new and
amended test procedures for CFLs.
(16) DOE requests comment on the proposed amendments to 10 CFR
430.25.
(17) DOE requests comment on the proposed amendments to the energy
conservations standards for MBCFLs at 10 CFR 430.32(u) that remove test
procedures specifications and align the language with existing and
proposed terminology in Appendix W and 10 CFR 429.35. DOE also requests
comment on its proposed amendments to 10 CFR 429.35 regarding the
existing allowance for measurement error of initial lamp efficacy for
MBCFLs.
(18) DOE requests comment on the proposed changes to the
certification report requirements.
(19) DOE requests comment on the proposed clarifications and
amendments to sampling requirements for initial lamp efficacy, lumen
maintenance, lifetime, and rapid cycle stress testing, and the
tentative conclusion that they would not have a significant impact on
measured values or manufacturer test burden.
(20) DOE requests comment on the proposed sampling requirements for
CRI, power factor, CCT, and standby mode power, and the determination
that these requirements do not increase the test burden on
manufacturers.
(21) DOE requests comment on its proposed clarifications and
amendments to the reuse of samples.
(22) DOE requests comment on the proposed effective date and
compliance dates for the proposed new and amended CFL test procedures.
(23) DOE requests comment on its tentative conclusion that the
proposed test procedure changes will not have a significant economic
impact on a substantial number of small entities.

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

Confidential business information, Energy conservation, Household
appliances, Imports, 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 9, 2015.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, 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, of the 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 429.12 is amended by revising paragraph (f) to read as
follows:

Sec. 429.12 General requirements applicable to certification reports.

* * * * *
(f) Discontinued model filing. When production of a basic model has
ceased and it is no longer being sold or offered for sale by the
manufacturer or private labeler, the manufacturer must report this
discontinued status to DOE as part of the next annual certification
report following such cessation. For each basic model, the report shall
include the information specified in paragraphs (b)(1) through (b)(7)
of this section, except that for compact fluorescent lamps, the
manufacturer must submit a full certification report, including all of
the information required by paragraph (b) of this section and the
product-specific information required by Sec. 429.35(b)(2).
* * * * *
0
3. Section 429.35 is revised to read as follows:

Sec. 429.35 Compact fluorescent lamps.

(a) Determination of represented value. Manufacturers must
determine represented values, which includes the certified ratings, for
each basic model of compact fluorescent lamp by testing, in conjunction
with the following sampling provisions:
(1) Units to be tested. (i) The requirements of Sec. 429.11(a) are
applicable; and
(ii) For each basic model of CFL, the minimum number of units
tested shall be no less than 10 units when testing for the initial
lumen output, input power, initial lamp efficacy, lumen maintenance at
1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime,
CCT, CRI, power factor, and standby mode power. If more than 10 units
are tested as part of the sample, the total number of units must be a
multiple of 2. The same sample of units must be used as the basis for
representations for initial lumen output, input power, initial lamp
efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40
percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode
power. No less than three units from the same sample of units must be
used when testing for the start time. Exactly six unique units (i.e.,
units that have not previously been tested under this paragraph but are
representative of the same basic model tested under this paragraph)
must be used for rapid cycle stress testing.
(iii) For each basic model, a sample of sufficient size shall be
randomly selected and tested to ensure that:
(A) Represented values of initial lumen output, initial lamp
efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40
percent of lifetime, CRI, power factor, or other measure of energy
consumption of a basic model for which consumers would favor higher
values must be less than or equal to the lower of:
(1) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TP31JY15.000

x is the sample mean,
n is the number of units in the sample, and
xi is the i\th\ unit;

Or,

(2) The lower 97.5-percent confidence limit (LCL) of the true mean
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP31JY15.001

x is the sample mean of the characteristic value;
s is the sample standard deviation;
n is the number of units in the sample, and
t0.975 is the t statistic for a 97.5% one-tailed confidence
interval with n-1 degrees of freedom (from appendix A of this subpart).

(B) The represented value of CCT must be equal to the mean of the
sample, where:
[GRAPHIC] [TIFF OMITTED] TP31JY15.002

[[Page 45752]]

x is the sample mean,
n is the number of units in the sample, and
xi is the i\th\ unit.

(C) Represented values of input power, standby mode power, start
time or other measure of energy consumption of a basic model for which
consumers would favor lower values must be greater than or equal to the
higher of:
(1) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TP31JY15.003

x is the sample mean,
n is the number of units in the sample, and
xi is the i\th\ unit;

Or,

(2) The upper 97.5-percent confidence limit (UCL) of the true mean
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TP31JY15.004

(D) The represented value of lifetime is the median time to failure
of the sample (calculated as the arithmetic mean of the time to failure
of the two middle sample units when the numbers are sorted in value
order).
(E) The represented value of the results of rapid cycle stress
testing must be
(1) Expressed in the number of surviving units and
(2) Based on a lifetime value that is equal to or greater than the
represented value of lifetime.
(2) The represented value of life (in years) of a compact
fluorescent lamp must be calculated by dividing the lifetime of a
compact fluorescent lamp by the estimated annual operating hours as
specified in 16 CFR 305.15(b)(3)(iii).
(3) The represented value of the estimated annual energy cost for a
compact fluorescent lamp, expressed in dollars per year, must be the
product of the input power in kilowatts, an electricity cost rate as
specified in 16 CFR 305.15(b)(1)(ii), and an estimated average annual
use as specified in 16 CFR 305.15(b)(1)(ii).
(4) For compliance with standards specified in Sec. 430.32(u)(1)
of this chapter, initial lamp efficacy may include a 3 percent
tolerance added to the value determined in accordance with paragraph
(a)(1)(iii)(A) of this section.
(5) The represented value of lumen maintenance at 40 percent of
lifetime must be based on a lifetime value that is equal to or greater
than the represented value of lifetime.
(b) Certification reports. (1) The requirements of Sec. 429.12 are
applicable to bare or covered medium base compact fluorescent lamps;
and
(2) Values reported in certification reports are represented
values. Lifetime, lumen maintenance at 40 percent of lifetime, life,
and rapid cycle stress test surviving units are estimated values until
testing is complete. When reporting estimated values, the certification
report must specifically describe the prediction method, which must be
generally representative of the methods specified in appendix W.
Manufacturers are required to maintain records per Sec. 429.71 of the
development of all estimated values and any associated initial test
data. Pursuant to Sec. 429.12(b)(13), a certification report shall
include the following public product-specific information: The testing
laboratory's NVLAP identification number or other NVLAP-approved
accreditation identification, the seasoning time in hours (h), the
initial lumen output in lumens (lm), the input power in watts (W), the
initial lamp efficacy in lumens per watt (lm/W), the correlated color
temperature in kelvin (K), the lumen maintenance at 1,000 hours in
percent (%), the lumen maintenance at 40 percent of lifetime in percent
(%), the results of rapid cycle stress testing in number of units
passed, the lifetime in hours (h), and the life in years.
(c) Rounding requirements. For represented values,
(1) Round initial lamp efficacy to the nearest tenth of a lumen per
watt.
(2) Round lumen maintenance at 1,000 hours to the nearest tenth of
a percent.
(3) Round lumen maintenance at 40 percent of lifetime to the
nearest tenth of a percent.
(4) Round CRI to the nearest whole number.
(5) Round power factor to the nearest hundredths place.
(6) Round lifetime to the nearest whole hour.
(7) Round CCT to the nearest 100 kelvin (K).
(8) Round standby mode power to the nearest tenth of a watt.
(9) Round start time to the nearest whole millisecond.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
4. 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
5. Section 430.2 is amended by:
0
a. Revising the definition of ``correlated color temperature''; and
0
b. Adding in alphabetical order definitions of ``compact fluorescent
lamp'' and ``lifetime of a compact fluorescent lamp.''
The revision and additions read as follows:

Sec. 430.2 Definitions.

* * * * *
Compact fluorescent lamp or CFL means 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; however, the term
does not include circline or U-shaped fluorescent lamps.
* * * * *
Correlated color temperature or CCT means the absolute temperature
of a blackbody whose chromaticity most nearly resembles that of the
light source.
* * * * *
Lifetime of a compact fluorescent lamp means the length of
operating time between first use and failure of 50 percent of the
sample units (as defined in Sec. 429.35(a)(1)), in accordance with the
test procedures described in section 3.3 of appendix W to subpart B of
this part.
* * * * *
0
6. Section 430.3 is amended by:
0
a. Redesignating paragraphs (d)(8) through (d)(19) as paragraphs (d)(9)
through (d)(20), respectively, and adding paragraph (d)(8);
0
b. Revising paragraph (l);
0
c. Redesignating paragraph (o)(7) to be paragraph (o)(8) and adding
paragraphs (o)(7), (o)(9), (o)(10), and (o)(11);
0
d. Revising paragraph (p)(4); and
0
e. Removing and reserving paragraph (v)(2).
The revisions and additions read as follows:

Sec. 430.3 Materials incorporated by reference.

* * * * *
(d) * * *
(8) ANSI_IEC C78.901-2014, Revision of ANSI C78.901-2005
(``ANSI_IEC C78.901-2014''), American National Standard for Electric
Lamps--Single-Based Fluorescent Lamps--Dimensional

[[Page 45753]]

and Electrical Characteristics, approved July 2, 2014; IBR approved for
Sec. 430.2 and appendix W to subpart B.
* * * * *
(l) * * *
(1) CIE 13.3-1995 (``CIE 13.3''), Technical Report: Method of
Measuring and Specifying Colour Rendering Properties of Light Sources,
1995, ISBN 3 900 734 57 7; IBR approved for Sec. 430.2 and appendices
R and W to subpart B.
(2) CIE 15:2004 (``CIE 15''), Technical Report: Colorimetry, 3rd
edition, 2004, ISBN 978 3 901906 33 6; IBR approved for appendices R
and W to subpart B.
* * * * *
(o) * * *
(7) IES LM-54-12, IES Guide to Lamp Seasoning, approved October 22,
2012; IBR approved for appendix W to subpart B.
* * * * *
(9) IES LM-65-14, IES Approved Method for Life Testing of Single-
Based Fluorescent Lamps, approved December 30, 2014; IBR approved for
appendix W to subpart B.
(10) IES LM-66-14, IES Approved Method for the Electrical and
Photometric Measurements of Single-Based Fluorescent Lamps, except
Annexes A, B and C, approved December 30, 2014; IBR approved for
appendix W to subpart B.
(11) IESNA LM-78-07, IESNA Approved Method for Total Luminous Flux
Measurement of Lamps Using an Integrating Sphere Photometer, approved
January 28, 2007; IBR approved for appendix W to subpart B.
* * * * *
(p) * * *
(4) IEC 62301 (``IEC 62301''), Household electrical appliances--
Measurement of standby power, (Edition 2.0, 2011-01); IBR approved for
appendices C1, D1, D2, G, H, I, J2, N, O, P, W, and X1 to subpart B.
* * * * *
(v) * * *
(2) [Reserved]
0
7. Section 430.23 is amended by revising paragraph (y) to read as
follows:

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

* * * * *
(y) Compact fluorescent lamps. (1) Measure initial lumen output in
accordance with section 3.2 of appendix W to this subpart.
(2) Measure input power in accordance with section 3.2 of appendix
W to this subpart.
(3) Measure lamp initial lamp efficacy in accordance with section
3.2 of appendix W to this subpart.
(4) Measure lamp lumen maintenance at 1,000 hours in accordance
with section 3.2 of appendix W to this subpart.
(5) Measure lamp lumen maintenance at 40 percent of lifetime of a
compact fluorescent lamp (as defined in 10 CFR 430.2) in accordance
with section 3.2 of appendix W to this subpart.
(6) Measure lamp color rendering index (CRI) in accordance with
section 3.2 of appendix W to this subpart.
(7) Measure lamp correlated color temperature (CCT) in accordance
with section 3.2 of appendix W to this subpart.
(8) Measure lamp power factor in accordance with section 3.2 of
appendix W to this subpart.
(9) Measure lamp time to failure in accordance with section 3.3 of
appendix W to this subpart, and express time to failure in hours.
(10) Conduct the rapid cycle stress test in accordance with section
3.3 of appendix W to this subpart.
(11) Measure lamp start time in accordance with section 3.4 of
appendix W to this subpart.
(12) Measure lamp standby mode power in accordance with section 4
of appendix W to 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
incandescent lamps (with the exception of lifetime testing),
incandescent reflector lamps, compact fluorescent 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 W to subpart B of part 430 is revised to read as follows:

Appendix W to Subpart B of Part 430--Uniform Test Method for Measuring
the Energy Consumption of Compact Fluorescent Lamps

Note: Before January 27, 2016, any representations, including
certifications of compliance, made with respect to the energy use or
efficiency of medium base compact fluorescent lamps must be made in
accordance with the results of testing pursuant either to this
appendix, or to the applicable test requirements set forth in 10 CFR
parts 429 and 430 as they appeared in the 10 CFR parts 200 to 499
annual edition revised as of January 1, 2015.

On or after January 27, 2016, any representations, including
certifications of compliance (if required), made with respect to the
energy use or efficiency of CFLs must be made in accordance with the
results of testing pursuant to this appendix.

1. Scope

1.1. This appendix specifies the test methods required to
measure the initial lamp efficacy, lumen maintenance at 1,000 hours,
lumen maintenance at 40 percent of lifetime of a compact fluorescent
lamp (as defined in 10 CFR 430.2), time to failure, power factor,
correlated color temperature (CCT), color rendering index (CRI), and
start time, and to conduct rapid cycle stress testing, of CFLs.
1.2. This appendix also provides test requirements applicable to
integrated CFLs capable of operation in standby mode (as defined in
Sec. 430.2), such as those that can be controlled wirelessly.

2. Definitions

2.1. Ballasted adapter means a ballast that is not permanently
attached to a CFL, has no consumer-replaceable components, and
serves as an adapter by incorporating both a lamp socket and a lamp
base.
2.2. Hybrid compact fluorescent lamp means a CFL that
incorporates one or more supplemental light sources of different
technology.
2.3. Initial lamp efficacy means the lamp efficacy (as defined
in Sec. 430.2) at the end of the seasoning period, as calculated
pursuant to section 3.2.2.9 of this appendix.
2.4. Integrated compact fluorescent lamp means an integrally
ballasted CFL that contains all components necessary for the
starting and stable operation of the lamp, contains an ANSI standard
base, does not include any replaceable or interchangeable parts, and
is capable of being connected directly to a branch circuit through a
corresponding ANSI standard lamp-holder (socket).
2.5. Labeled wattage means the highest wattage marked on the
lamp and/or lamp packaging.
2.6. Lumen maintenance means the lumen output measured at a
given time in the life of the lamp and expressed as a percentage of
the measured initial lumen output, respectively.
2.7. Measured initial input power means the root mean square
(RMS) input power to the lamp, measured at the end of the lamp
seasoning period, and expressed in watts (W).
2.8. Measured initial lumen output means the lumen output of the
lamp measured at the end of the lamp seasoning period, expressed in
lumens (lm).
2.9. Non-integrated compact fluorescent lamp means a CFL that is
not an integrated CFL.
2.10. Percent variability means the range (calculated by
subtracting the minimum from the maximum) expressed as a percentage
of the mean for the contiguous set of separate lumen output
measurements spanning the specified time period, where each
measurement is the average value of the sampled waveform over an
interval corresponding to one full cycle of sinusoidal input
voltage.

[[Page 45754]]

2.11. Power factor means the measured RMS input power (watts)
divided by the product of the measured RMS input voltage (volts) and
the measured RMS input current (amps).
2.12. Start plateau means the first 100 millisecond period of
operation during which the percent variability does not exceed 5
percent and the average measured lumen output is at least 10 percent
of the measured initial lumen output.
2.13. Start time means the time, measured in milliseconds,
between the application of power to the CFL and the point when the
measured full-cycle lumen output (the average value of the sampled
waveform over an interval corresponding to one full cycle of
sinusoidal input voltage) reaches 98 percent of the average measured
lumen output of the start plateau.
2.14. Time to failure means the time elapsed between first use
and the point at which the CFL ceases to produce measureable lumen
output.

3. Active Mode Test Procedures

3.1. General Instructions.
3.1.1. Maintain lamp operating orientation throughout seasoning
and testing, including storage and handling between tests.
3.1.2. Season CFLs prior to photometric and electrical testing
in accordance with sections 4, 5, 6.1, and 6.2.2.1 of IES LM-54-12
(incorporated by reference, see Sec. 430.3).
3.1.2.1. Unit operating time during seasoning may be counted
toward time to failure, lumen maintenance at 40 percent of lifetime
of a compact fluorescent lamp (as defined in Sec. 430.2), and lumen
maintenance at 1,000 hours if the required operating cycle and test
conditions for time to failure testing per section 3.3 of this
appendix are satisfied.
3.1.2.2. If a lamp breaks, becomes defective, fails to
stabilize, exhibits abnormal behavior (such as swirling), or stops
producing light prior to the end of the seasoning period, the lamp
must be replaced with a new unit. If a lamp exhibits one of the
conditions listed in the previous sentence after the seasoning
period, the lamp's measurements must be included in the sample.
3.1.3. Conduct all testing with the lamp operating at labeled
wattage and with no dimmer in the circuit. This requirement applies
to all integrated CFLs, including those that are dimmable or multi-
level.
3.1.4. Operate the CFL at the rated input voltage throughout
testing. For a CFL with multiple rated input voltages including 120
volts, operate the CFL at 120 volts. If a CFL with multiple rated
input voltages is not rated for 120 volts, operate the CFL at the
highest rated input voltage.
3.1.5. Test CFLs packaged with ballasted adapters or designed
exclusively for use with ballasted adapters as non-integrated CFLs,
with no ballasted adapter in the circuit.
3.1.6. Conduct all testing of hybrid CFLs with all supplemental
light sources in the lamp turned off, if possible. Before taking
measurements, verify that the lamp has stabilized in the operating
mode that corresponds to its labeled wattage.

3.2. Test Procedures for Determining Initial Lamp Efficacy, Lumen
Maintenance, CCT, CRI, and Power Factor

Use the test procedures specified in IES LM-66-14 (incorporated
by reference; see Sec. 430.3) where those procedures do not
conflict with the test procedures specified in this section.
Determine initial lamp efficacy, lumen maintenance at 1,000 hours,
lumen maintenance at 40 percent of lifetime of a compact fluorescent
lamp (as defined in Sec. 430.2), CCT, and CRI for integrated and
non-integrated CFLs. Determine power factor for integrated CFLs
only.

3.2.1. Test Conditions and Setup

3.2.1.1. Test half of the units in the sample in the base-up
position, and half of the units in the base-down position; if the
position is restricted by the manufacturer, test the units in the
manufacturer-specified position.
3.2.1.2. Establish the ambient conditions, power supply,
auxiliary equipment, circuit setup, lamp connections, and
instrumentation in accordance with the specifications in sections
(and corresponding subsections) 4.0, 5.0 and 6.0 of IES LM-66-14
(incorporated by reference; see Sec. 430.3). The following
exceptions apply:
3.2.1.2.1. Maintain ambient temperature at 25 [deg]C 1 [deg]C (77 [deg]F 1.8 [deg]F).
3.2.1.3. Non-integrated CFLs must adhere to the ballast
requirements in section 5.2 of IES LM-66-14 (incorporated by
reference; see Sec. 430.3).
3.2.1.3.1. Test non-integrated lamps rated for operation on a
choice of low frequency or high frequency circuits (e.g., many
preheat lamps) at low frequency.
3.2.1.3.2. Test non-integrated lamps rated for operation on a
choice of preheat (starter) or rapid start (no starter) circuits on
rapid start.
3.2.1.3.3. Test non-integrated lamps rated for operation on a
choice of instant start (shunted) or rapid start (non-shunted)
circuits on rapid start.
3.2.1.3.4. Operate non-integrated CFLs not listed in ANSI_IEC
C78.901-2014 (incorporated by reference; see Sec. 430.3) using the
following reference ballast settings:
3.2.1.3.4.1. Operate 25-28 W, T5 twin 2G11-based lamps that are
lower wattage replacements of the 40 W, T5 twin 2G11-based lamps
using the following reference ballast settings: 400 volts, 0.270
amps, and 1240 ohms.
3.2.1.3.4.2. Operate 14-15 W, T4 quad G24q-2-based lamps using
the following reference ballast settings: 220 volts, 0.220 amps, and
815 ohms.
3.2.1.3.4.3. Operate 21 W, T4 quad G24q-3-based lamps using the
following reference ballast settings: 220 volts, 0.315 amps, and 546
ohms.
3.2.1.3.4.4. Operate 21 W, T4 quad G24d-3-based lamps using the
following reference ballast settings: 220 volts, 0.315 amps, and 546
ohms.
3.2.1.3.4.5. Operate 21 W, T4 multi (6) GX24q-3-based lamps
using the following reference ballast settings: 220 volts, 0.315
amps, and 546 ohms.
3.2.1.3.4.6. Operate 27-28 W, T4 multi (6) GX24q-3-based lamps
using the following reference ballast settings: 200 volts, 0.320
amps, and 315 ohms.
3.2.1.3.4.7. Operate 33-38 W, T4 multi (6) GX24q-4-based lamps
using the following reference ballast settings: 270 volts, 0.320
amps, and 420 ohms.
3.2.1.3.4.8. Operate 10 W, T4 square GR10q-4-based lamps using
the following reference ballast settings: 236 volts, 0.165 amps, and
1,200 ohms.
3.2.1.3.4.9. Operate 16 W, T4 square GR10q-4-based lamps using
the following reference ballast settings: 220 volts, 0.195 amps, and
878 ohms.
3.2.1.3.4.10. Operate 21 W, T4 square GR10q-4-based lamps using
the following reference ballast settings: 220 volts, 0.260 amps, and
684 ohms.
3.2.1.3.4.11. Operate 28 W, T6 square GR10q-4-based lamps using
the following reference ballast settings: 236 volts, 0.320 amps, and
578 ohms.
3.2.1.3.4.12. Operate 38 W, T6 square GR10q-4-based lamps using
the following reference ballast settings: 236 volts, 0.430 amps, and
439 ohms.
3.2.1.3.4.13. Operate 55 W, T6 square GRY10q-3-based lamps using
the following reference ballast settings: 236 volts, 0.430 amps, and
439 ohms.
3.2.1.3.4.14. For all other lamp designs not listed in ANSI_IEC
C78.901-2014 or in section 3.2.1.3.4 of this appendix:
3.2.1.3.4.14.1. If the lamp is a lower wattage replacement of a
lamp with specifications in ANSI_IEC C78.901-2014, use the reference
ballast specifications of the corresponding higher wattage lamp
replacement in ANSI_IEC C78.901-2014.
3.2.1.3.4.14.2. For all other lamps, use the reference ballast
specifications in ANSI_IEC C78.901-2014 for a lamp with the most
similar shape, diameter, and base specifications, and next closest
wattage.

3.2.2. Test Methods, Measurements, and Calculations

3.2.2.1. Season CFLs as specified in section 3.1.2 of this
appendix.
3.2.2.2. Stabilize CFLs as specified in section 6.2.1 of IES LM-
66-14 (incorporated by reference; see Sec. 430.3).
3.2.2.3. Measure the input power (in watts), the input voltage
(in volts), and the input current (in amps) as specified in section
5.2 of IES LM-66-14 (incorporated by reference; see Sec. 430.3).
3.2.2.4. Measure initial lumen output as specified in section
6.3.1 of IES LM-66-14 (incorporated by reference; see Sec. 430.3)
and in accordance with IESNA LM-78-07 (incorporated by reference;
see Sec. 430.3).
3.2.2.5. Measure lumen output at 1,000 hours as specified in
section 6.3.1 of IES LM-66-14 (incorporated by reference; see Sec.
430.3) and in accordance with IESNA LM-78-07 (incorporated by
reference; see Sec. 430.3).
3.2.2.6. Measure lumen output at 40 percent of lifetime of a
compact fluorescent lamp (as defined in 10 CFR 430.2) as specified
in section 6.3.1 of IES LM-66-14 (incorporated by reference; see
Sec. 430.3) and in accordance with IESNA LM-78-07 (incorporated by
reference; see Sec. 430.3).
3.2.2.7. Measure CCT as specified in section 6.4 of IES LM-66-14
(incorporated by reference; see Sec. 430.3) and in accordance with
CIE 15:2004 (incorporated by reference; see Sec. 430.3).

[[Page 45755]]

3.2.2.8. Measure CRI as specified in section 6.4 of IES LM-66-14
(incorporated by reference; see Sec. 430.3) and in accordance with
CIE 13.3-1995 (incorporated by reference; see Sec. 430.3).
3.2.2.9. Determine initial lamp efficacy by dividing measured
initial lumen output by the measured initial input power.
3.2.2.10. Determine lumen maintenance at 1,000 hours by dividing
measured lumen output at 1,000 hours by the measured initial lumen
output.
3.2.2.11. Determine lumen maintenance at 40 percent of lifetime
of a compact fluorescent lamp (as defined in Sec. 430.2) by
dividing measured lumen output at 40 percent of lifetime of a
compact fluorescent lamp (as defined in Sec. 430.2) by the measured
initial lumen output.
3.2.2.12. Determine power factor by dividing the measured RMS
input power (watts) by the product of measured RMS input voltage
(volts) and measured RMS input current (amps).

3.3. Test Method for Time to Failure and Rapid Cycle Stress Test

Use the test procedures specified in IES LM-65-14 (incorporated
by reference; see Sec. 430.3) where those procedures do not
conflict with the test procedures specified in this section.
Disregard section 3 of IES LM-65-14. Determine time to failure and
conduct rapid cycle stress testing for integrated and non-integrated
CFLs.

3.3.1. Test Conditions and Setup

3.3.1.1. Test half of the units in the base up position and half
of the units in the base down position; if the position is
restricted by the manufacturer, test in the manufacturer specified
position.
3.3.1.2. Establish the ambient and physical conditions and
electrical conditions in accordance with the specifications in
sections 4.0 and 5.0 of IES LM-65-14 (incorporated by reference; see
Sec. 430.3). The following exceptions apply:
3.3.1.2.1. Do not test lamps in fixtures or luminaires.
3.3.1.3. Non-integrated CFLs must adhere to ballast requirements
as specified in section 3.2.1.3 of this appendix.

3.3.2. Test Methods and Measurements

3.3.2.1. Season CFLs as specified in section 3.1.2 of this
appendix.
3.3.2.2. Measure time to failure of CFLs as specified in section
6.0 of IES LM-65-14 (incorporated by reference; see Sec. 430.3).
3.3.2.3. Conduct rapid cycle stress testing of CFLs as specified
in section 6.0 of IES LM-65-14 (incorporated by reference; see Sec.
430.3), except cycle the lamp continuously with each cycle
consisting of one 5-minute ON period followed by one 5-minute OFF
period.
3.4. Test Method for Start Time.
Use the test procedures specified in IES LM-66-14 (incorporated
by reference; see Sec. 430.3) where those procedures do not
conflict with the test procedures specified in this section.
Determine start time for integrated CFLs only.

3.4.1. Test Conditions and Setup

3.4.1.1. Test all units in the base up position; if the position
is restricted by the manufacturer, test units in the manufacturer
specified position.
3.4.1.2. Establish the ambient conditions, power supply,
auxiliary equipment, circuit setup, lamp connections, and
instrumentation in accordance with the specifications in sections
4.0, 5.0 and 6.0 of IES LM-66-14 (incorporated by reference; see
Sec. 430.3). The following exceptions apply:
3.4.1.2.1. Maintain ambient temperature at 25 [deg]C 1 [deg]C (77[emsp14][deg]F 1.8[emsp14][deg]F).

3.4.2. Test Methods and Measurement

3.4.2.1. Season CFLs as specified in section 3.1.2 of this
appendix.
3.4.2.2. After seasoning, store units at 25 [deg]C 5
[deg]C ambient temperature for a minimum of 16 hours prior to the
test, after which the ambient temperature must be 25 [deg]C 1 [deg]C for a minimum of 2 hours immediately prior to the
test. Any units that have been off for more than 24 hours must be
operated for 3 hours and then be turned off for 16 to 24 hours prior
to testing.
3.4.2.3. Measure lumen output as specified in section 3.2.2.4 of
this appendix.
3.4.2.4. Connect multichannel oscilloscope with data storage
capability to record input voltage to CFL and lumen output. Set
oscilloscope to trigger at 10 V lamp input voltage. Set oscilloscope
vertical scale such that vertical resolution is 1 percent of
measured initial lumen output or finer. Set oscilloscope to sample
the lumen output waveform at a minimum rate of 2 kHz.
3.4.2.5. Apply rated voltage and frequency to CFL.
3.4.2.6. Upon trigger for start time testing, record sampled
lumen output waveform until the measured full-cycle lumen output has
reached the start plateau. Determine the start plateau as defined in
this appendix.
3.4.2.7. Calculate the measured full-cycle lumen output as a
moving average, whereby values are determined at least once every
millisecond and each value represents the full-cycle interval in
which it is centered. Measure input voltage and start time.

4. Standby Mode Test Procedure

Use the test procedures specified in IEC 62301 (incorporated by
reference; see Sec. 430.3) where those procedures do not conflict
with the test procedures specified in this section. Measure standby
mode power only for integrated CFLs that are capable of standby mode
operation.

4.1. Test Conditions and Setup

4.1.1. Test half of the units in the sample in the base up
position and half of the units in the base down position; if the
position is restricted by the manufacturer, test units in the
manufacturer specified position.
4.1.2. Maintain ambient temperature at 25 [deg]C 1
[deg]C (77[emsp14][deg]F 1.8[emsp14][deg]F).
4.1.3. Ambient airflow must be maintained in accordance with
section 4.4 of IES LM-66-14 (incorporated by reference, see Sec.
430.3).

4.2. Test Methods and Measurements

4.2.1. Season CFLs as specified in section 3.1.2 of this
appendix.
4.2.2. Utilize the methodology for measuring power consumption
specified in section 5 of IEC 62301 (incorporated by reference; see
Sec. 430.3) for the testing of standby mode power.
4.2.3. Standby mode is initiated when the CFL is connected to
the power supply and lumen output is zero.
0
10. Section 430.32 is amended by revising paragraph (u) to read as
follows:

Sec. 430.32 Energy and water conservation standards and their
effective dates.

* * * * *
(u) Compact fluorescent lamps--(1) Medium base compact fluorescent
lamps. A bare or covered (no reflector) medium base compact fluorescent
lamp manufactured on or after January 1, 2006, must meet the following
requirements:

------------------------------------------------------------------------
Factor Requirements
------------------------------------------------------------------------
Labeled Wattage (Watts) & Configuration Measured initial lamp efficacy
*. (lumens per watt) must be at
least:
Bare Lamp:
Labeled Wattage < 15............... 45.0.
Labeled Wattage >= 15.............. 60.0.
Covered Lamp (no reflector): ...............................
Labeled Wattage < 15............... 40.0.
15 <= Labeled Wattage < 19......... 48.0.
19 <= Labeled Wattage < 25......... 50.0.
Labeled Wattage >= 25.............. 55.0.
Lumen Maintenance at 1,000 Hours....... >=90.0%.
Lumen Maintenance at 40 Percent of >=80.0%.
Lifetime.
Rapid Cycle Stress Test................ Each lamp must be cycled once
for every 2 hours of lifetime
of compact fluorescent lamp as
defined in Sec. 430.2. At
least 5 lamps must meet or
exceed the minimum number of
cycles.

[[Page 45756]]

Lifetime............................... >=6,000 hours.
------------------------------------------------------------------------
* Use labeled wattage to determine the appropriate efficacy requirements
in this table; do not use measured wattage for this purpose.

(2) [Reserved]
* * * * *
[FR Doc. 2015-17866 Filed 7-30-15; 8:45 am]
BILLING CODE 6450-01-P

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