Energy Conservation Program: Test Procedures for Certain Categories of General Service Lamps, 47071-47084 [2016-17135]
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Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules
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Programs.
[FR Doc. 2016–17138 Filed 7–19–16; 8:45 am]
BILLING CODE 3410–34–P
DEPARTMENT OF ENERGY
10 CFR Parts 429 and 430
[Docket No. EERE–2016–BT–TP–0005]
RIN 1904–AD64
Energy Conservation Program: Test
Procedures for Certain Categories of
General Service Lamps
Office of Energy Efficiency and
Renewable Energy, Department of
Energy.
ACTION: Supplemental notice of
proposed rulemaking.
AGENCY:
This supplemental notice of
proposed rulemaking (SNOPR) proposes
to establish test procedures for certain
categories of general service lamps
(GSLs) to support the ongoing energy
conservation standards rulemaking.
Specifically, this rulemaking proposes
new test procedures for determining the
initial lumen output, input power, lamp
efficacy, power factor, and standby
mode power of GSLs that are not
integrated light-emitting diode (LED)
lamps, compact fluorescent lamps
(CFLs), or general service incandescent
lamps (GSILs). This SNOPR revises the
previous proposed test procedures for
GSLs by referencing Illuminating
Engineering Society (IES) LM–79–08 for
the testing of non-integrated LED lamps.
The U.S. Department of Energy (DOE) is
also proposing to clarify references to
the existing lamp test methods and
sampling plans for determining the
represented values of integrated LED
lamps, CFLs, and GSILs.
DATES: DOE will accept comments, data,
and information regarding this SNOPR
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SUMMARY:
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no later than August 19, 2016. See
section V, ‘‘Public Participation,’’ for
details.
contact Ms. Lucy deButts at (202) 287–
1604 or by email: Lucy.deButts@
ee.doe.gov.
Any comments submitted
must identify the SNOPR for Test
Procedures for Certain Categories of
General Service Lamps, and provide
docket number EERE–2016–BT–TP–
0005 and/or regulatory information
number (RIN) 1904–AD64. Comments
may be submitted using any of the
following methods:
1. Federal eRulemaking Portal:
www.regulations.gov. Follow the
instructions for submitting comments.
2. Email: GSL2016TP0005@
ee.doe.gov. Include the docket number
EERE–2016–BT–TP–0005 and/or RIN
1904–AD64 in the subject line of the
message.
3. Mail: Ms. Lucy deButts, U.S.
Department of Energy, Building
Technologies Office, Mailstop EE–5B,
1000 Independence Avenue SW.,
Washington, DC, 20585–0121. If
possible, please submit all items on a
CD, in which case it is not necessary to
include printed copies.
4. Hand Delivery/Courier: Ms. Lucy
deButts, U.S. Department of Energy,
Building Technologies Office, 950
L’Enfant Plaza SW., Suite 600,
Washington, DC, 20024. Telephone:
(202) 586–2945. If possible, please
submit all items on a CD, in which case
it is not necessary to include printed
copies.
For detailed instructions on
submitting comments and additional
information on the rulemaking process,
see section V of this SNOPR, ‘‘Public
Participation.’’
Docket: The docket, which includes
Federal Register notices, public meeting
attendee lists and transcripts,
comments, and other supporting
documents/materials, is available for
review at www.regulations.gov. All
documents in the docket are listed in
the www.regulations.gov index.
However, some documents listed in the
index, such as those containing
information that is exempt from public
disclosure, may not be publicly
available.
A link to the docket Web page can be
found at https://www.regulations.gov/#!
docketDetail;D=EERE-2016-BT-TP-0005.
The docket Web page contains simple
instructions on how to access all
documents, including public comments,
in the docket. See section V, ‘‘Public
Participation,’’ for information on how
to submit comments through
www.regulations.gov.
For further information on how to
submit a comment or review other
public comments and the docket,
FOR FURTHER INFORMATION CONTACT:
ADDRESSES:
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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.
Mr. Pete Cochran, U.S. Department of
Energy, Office of the General Counsel,
GC–71, 1000 Independence Avenue
SW., Washington, DC, 20585–0121.
Telephone: (202) 586–9496. Email:
Peter.Cochran@hq.doe.gov.
SUPPLEMENTARY INFORMATION: DOE
proposes to incorporate by reference
into 10 CFR part 430 specific sections of
the following industry standards:
(1) IEC 62301 (‘‘IEC 62301–DD’’),
Household electrical appliances—
Measurement of standby power (Edition
2.0, 2011–01).
A copy of IEC 62301–DD may be
obtained from the International
Electrotechnical Commission, available
from the American National Standards
Institute, 25 W. 43rd Street, 4th Floor,
New York, NY 10036, (212) 642–4900,
or go to https://webstore.ansi.org.
(2) IES LM–9–09 (‘‘IES LM–9–09–
DD’’), IES Approved Method for the
Electrical and Photometric
Measurement of Fluorescent Lamps.
(3) IES LM–20–13, IES Approved
Method of Photometry of Reflector Type
Lamps.
(4) IES LM–45–15, IES Approved
Method for the Electrical and
Photometric Measurement of General
Service Incandescent Filament Lamps.
(5) IES LM–79–08 (‘‘IES LM–79–08–
DD’’), IES Approved Method for the
Electrical and Photometric
Measurement of Solid-State Lighting
Products.
Copies of IES LM–9–09–DD, IES LM–
20–13, IES LM–45–15, and IES LM–79–
08–DD can be obtained from
Illuminating Engineering Society of
North America, 120 Wall Street, Floor
17, New York, NY 10005–4001, or by
going to www.ies.org/store.
See section IV.M for a further
discussion of these standards.
Table of Contents
I. Authority and Background
II. Synopsis of the Supplemental Notice of
Proposed Rulemaking
III. Discussion
A. Scope of Applicability
B. Proposed Method for Determining Initial
Lumen Output, Input Power, Lamp
Efficacy, and Power Factor
C. Laboratory Accreditation
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D. Effective Date and Compliance Dates
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility
Act
C. Review Under the Paperwork Reduction
Act of 1995
D. Review Under the National
Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates
Reform Act of 1995
H. Review Under the Treasury and General
Government Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General
Government Appropriations Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal
Energy Administration Act of 1974
M. Description of Materials Incorporated
by Reference
V. Public Participation
A. Submission of Comments
B. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary
I. Authority and Background
Title III of the Energy Policy and
Conservation Act of 1975 (42 U.S.C.
6291, et seq.; ‘‘EPCA’’ or ‘‘the Act’’) sets
forth a variety of provisions designed to
improve energy efficiency.1 Part B of
title III, which for editorial reasons was
redesignated as Part A upon
incorporation into the U.S. Code (42
U.S.C. 6291–6309, as codified),
establishes the ‘‘Energy Conservation
Program for Consumer Products Other
Than Automobiles.’’ These consumer
products include general service lamps,
the subject of this supplemental notice
of proposed rulemaking (SNOPR).
Under EPCA, the energy conservation
program consists essentially of four
parts: (1) Testing, (2) labeling, (3)
Federal energy conservation standards,
and (4) certification and enforcement
procedures. The testing requirements
consist of test procedures that
manufacturers of covered products must
use as the basis for (1) certifying to DOE
that their products comply with the
applicable energy conservation
standards adopted under EPCA (42
U.S.C. 6295(s)), and (2) making
representations about the energy use or
efficiency of those products (42 U.S.C.
6293(c)). Similarly, DOE must use these
test procedures to determine whether
the products comply with any relevant
standards promulgated under EPCA. (42
U.S.C. 6295(s))
DOE is developing energy
conservation standards for general
service lamps (GSLs) and published a
1 All references to EPCA refer to the statute as
amended through the Energy Efficiency
Improvement Act of 2015, Public Law 114–11
(April 30, 2015).
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notice of proposed rulemaking on
March 17, 2016 (March 2016 GSL ECS
NOPR). In support of the standards
rulemaking, DOE has undertaken
several rulemakings to amend existing
test procedures and to adopt new test
procedures for GSLs. On July 1, 2016,
DOE published a final rule adopting test
procedures for integrated light-emitting
diode (LED) lamps. 81 FR 43404 (July
2016 LED TP final rule). DOE has
proposed to amend test procedures for
medium base compact fluorescent
lamps (MBCFLs) and to adopt test
procedures for new metrics for all
compact florescent lamps (CFLs)
including hybrid CFLs and CFLs with
bases other than a medium screw base.
80 FR 45724 (July 31, 2015) (July 2015
CFL TP NOPR).
On March 17, 2016, DOE published a
NOPR (March 2016 GSL TP NOPR) that
proposed test procedures for certain
categories of GSLs not currently covered
under these existing test procedures. 81
FR 14632. This SNOPR revises the test
procedures proposed in the March 2016
GSL TP NOPR by referencing
Illuminating Engineering Society (IES)
LM–79–08 for the testing of nonintegrated LED lamps. Manufacturers of
lamps subject to this rulemaking would
be required to use these test procedures
to assess performance relative to any
potential energy conservation standards
the lamps must comply with in the
future and for any representations of
energy efficiency.
EPCA sets forth the criteria and
procedures DOE must follow when
prescribing or amending test procedures
for covered products. EPCA provides, in
relevant part, that any test procedures
prescribed or amended under this
section shall be reasonably designed to
produce test results which measure
energy efficiency, energy use or
estimated annual operating cost of a
covered product during a representative
average use cycle or period of use and
shall not be unduly burdensome to
conduct. (42 U.S.C. 6293(b)(3)) Pursuant
to this authority, DOE proposes to
prescribe test procedures for certain
categories of GSLs in support of the GSL
standards rulemaking.
II. Synopsis of the Supplemental Notice
of Proposed Rulemaking
In this SNOPR, DOE proposes test
procedures for determining initial
lumen output, input power, lamp
efficacy, power factor, and standby
mode power for certain categories of
GSLs for which DOE does not have an
existing regulatory test procedure. Based
on public comment received in response
to the March 2016 GSL TP NOPR, DOE
proposes to reference IES LM–79–08 for
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the testing of non-integrated LED lamps.
DOE’s proposals for the standby mode
test procedure, represented value
calculations, and certification and
rounding requirements remain
unchanged from the March 2016 GSL
TP NOPR. DOE also notes that
representations of energy use or energy
efficiency must be based on testing in
accordance with this rulemaking, if
adopted, beginning 180 days after the
publication of a test procedure final
rule.
III. Discussion
A. Scope of Applicability
GSL is defined by EPCA to include
GSILs, CFLs, general service lightemitting diode (LED) lamps (including
organic LEDs (OLEDs)), and any other
lamp that DOE determines is used to
satisfy lighting applications
traditionally served by GSILs. (42 U.S.C.
6291(30)(BB)) In the March 2016 GSL
ECS NOPR, DOE proposed to include in
the definition for general service lamp a
lamp that has an ANSI 2 base, operates
at any voltage, has an initial lumen
output of 310 lumens or greater (or 232
lumens or greater for modified spectrum
GSILs), is not a light fixture, is not an
LED downlight retrofit kit, and is used
in general lighting applications.3 81 FR
14541. This SNOPR proposes test
procedures for GSLs that are not GSILs,
CFLs, or integrated LED lamps.
DOE received comments from China 4
regarding the scope of applicability of
this rulemaking. China noted that OLED
lamps are classified as general service
lamps and would be subject to the test
procedures proposed in the March 2016
GSL TP NOPR. China commented that
OLED lamps are unique from existing
2 A lamp base standardized by the American
National Standards Institute.
3 The definition also specified several
exemptions, including: General service fluorescent
lamps; incandescent reflector lamps; mercury vapor
lamps; appliance lamps; black light lamps; bug
lamps; colored lamps; infrared lamps; marine signal
lamps; mine service lamps; plant light lamps; sign
service lamps; traffic signal lamps; and medium
screw base incandescent lamps that are left-hand
thread lamps, marine lamps, reflector lamps, rough
service lamps, shatter-resistant lamps (including a
shatter-proof lamp and a shatter-protected lamp),
silver bowl lamps, showcase lamps, 3-way
incandescent lamps, vibration service lamps, G
shape lamps as defined in ANSI C78.20 and ANSI
C79.1–2002 with a diameter of 5 inches or more,
T shape lamps as defined in ANSI C78.20 and ANSI
C79.1–2002 and that use not more than 40 watts or
have a length of more than 10 inches, and B, BA,
CA, F, G16–1/2, G–25, G30, S, or M–14 lamps as
defined in ANSI C79.1–2002 and ANSI C78.20 of
40 watts or less.
4 DOE received two comments from China, both
of which provided essentially the same comments
regarding the March 2016 GSL TP NOPR. (EERE–
BT–TP–0005–008 and EERE–BT–TP–0005–0009)
For the purpose of this SNOPR, DOE provides
reference to the first comment submitted by China.
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lighting technologies, and that
International Commission on
Illumination (CIE) and related
researchers are considering developing a
specialized test method for OLED
lamps. China therefore suggested that
DOE develop specific regulations and
test procedures for OLED lamps instead
of using existing LED lamp test
procedures. (China, No. 8 at p. 1) 5
DOE understands that the current
industry practice is to test OLED lamps
according to IES LM–79–08, a test
standard that is applicable to solid-state
lighting products, including both LED
and OLED lamps. In this SNOPR, DOE
proposes to reference LM–79–08 to
determine initial lumen output, input
power, lamp efficacy, and power factor
for OLED lamps. If a new test procedure
is developed by industry members and/
or related researchers, DOE will
consider it in a future revision of this
test procedure.
China commented that in section III.A
of the March 2016 GSL TP NOPR, DOE
referred to its proposed definition of a
GSL from the March 2016 GSL ECS
NOPR, which includes lamps with an
initial lumen output of 310 lumens or
greater. China noted that in Energy Star
Lamps Specification V2.0, the lumen
range of products used to replace a 25
watt (W) incandescent lamp is between
250 and 449 lumens. China stated that
the difference between the proposed
definition of GSL in the March 2016
GSL ECS NOPR and the products
covered in the Energy Star Lamps
Specification V2.0 would cause
confusion on how to test lamps with
lumen outputs less than 310 lumens.
Therefore, China suggested that DOE
clarify the test requirements for lamps
below 310 lumens. (China, No. 8 at p.
1)
DOE notes that this SNOPR proposes
test procedures for GSLs that are not
GSILs, CFLs, or integrated LED lamps.
The March 2016 GSL ECS NOPR
proposed a definition of GSL that would
be limited to products with a lumen
output of 310 lumens or greater (or 232
lumens or greater for modified spectrum
general service incandescent lamps). 81
at FR 14628. DOE recognizes that
ENERGY STAR Lamps Specification
V2.0 includes products with a lumen
output of less than 310 lumens. To
determine how such lamps should be
evaluated under ENERGY STAR Lamps
5 A notation in this form provides a reference for
information that is in the docket of DOE’s
rulemaking to develop test procedures for GSLs
(Docket No. EERE–2016–BT–TP–0005), which is
maintained at www.regulations.gov. This notation
indicates that the statement preceding the reference
was made by China, is from document number 8 in
the docket, and appears at page 1 of that document.
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Specification V2.0, interested parties
will need to consult the ENERGY STAR
document.
China commented that, while section
III.B of the March 2016 GSL TP NOPR
stated that the term GSL includes many
types of lamps using varying lighting
technologies, it understood from the
discussion in section III.A that halogen
lamps were excluded from the
definition of GSL. China requested
clarification on whether the proposed
rule would cover halogen lamps. (China,
No. 8 at p. 1)
As noted in this preamble, a
definition of GSL was proposed in the
March 2016 GSL ECS NOPR, and that
proposed definition does not exclude
halogen lamps generally. This SNOPR
proposes test procedures for other
incandescent lamps, i.e., incandescent
lamps that are GSLs but not GSILs.
‘‘Incandescent lamp’’ is currently
defined, in part, as a lamp in which
light is produced by a filament heated
to incandescence by an electric current.
10 CFR 430.2. This description depicts
the method of producing light in a
halogen lamp. In addition, paragraph (1)
of the definition of ‘‘incandescent lamp’’
in 10 CFR 430.2 expressly includes
tungsten halogen lamps. A halogen
lamp (other than a halogen lamp that
was a GSIL) within the definition of
GSL as adopted in the energy
conservation standards final rule would
be subject to the test procedures
proposed in this SNOPR if adopted. Test
procedures for GSILs are located in
appendix R to subpart B of part 430.
China commented that section III.B of
March 2016 GSL TP NOPR did not
provide definitions for the eight general
purpose lamps mentioned in Table III.1,
making it difficult to distinguish
between ‘‘other non-incandescent
reflector type,’’ ‘‘general purpose
incandescent,’’ ‘‘compact fluorescent
lamps,’’ and ‘‘other types of fluorescent
lamps.’’ China recommended that DOE
use IEC 61231, which it stated is
internationally accepted for classifying
the types of lamps mentioned in Table
III.1 of the March 2016 GSL TP NOPR.
(China, No. 8 at pp. 1–2)
Table III.1 of the March 2016 GSL TP
NOPR referenced the test procedures
that would be applicable to GSLs based
on lamp technology: GSILs, CFLs,
integrated LED lamps, other
incandescent lamps that are not
reflector lamps, other incandescent
lamps that are reflector lamps, other
fluorescent lamps, OLED lamps, and
non-integrated LED lamps. 81 FR 14634.
DOE notes that definitions for many of
these lamp types either already exist in
10 CFR 430.2 or were proposed in the
March 2016 GSL ECS NOPR. GSIL is
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currently defined at 10 CFR 430.2. A
definition of CFL was proposed to be
added to 10 CFR 430.2 in the July 2015
CFL TP NOPR. 80 FR at 45739. A
definition of integrated LED lamp was
recently added to 10 CFR 430.2 in the
July 2016 LED TP final rule. 81 FR at
43426. The references to ‘‘other
incandescent lamps’’ in Table III.1 were
to lamps that meet the definition of GSL
(as would be established in a GSL
standards final rule) that are
incandescent lamps other than GSILs. A
definition of ‘‘reflector lamp’’ has been
proposed in the March 2016 GSL ECS
NOPR. 81 FR 14629. Regarding
fluorescent lamps, reference to ‘‘other
fluorescent lamps’’ in Table III.1 of the
March 2016 GSL TP NOPR was to
fluorescent lamps that meet the
definition of GSL (to be finalized in the
standards final rule) but do not meet the
definition of CFL (which is another
lamp type specifically included in the
GSL term) or general service fluorescent
lamp (which is a lamp type specifically
excluded from the GSL term). DOE has
proposed definitions for non-integrated
lamp and OLED lamp in the March 2016
GSL ECS NOPR. 81 FR 14628–14629.
Thus, DOE has tentatively determined
that all of the various kinds of lamps
included in this rulemaking have either
existing or proposed definitions that
sufficiently identify which test
procedures are applicable to each kind
of lamp.
China commented that section III.B of
the March 2016 GSL TP NOPR includes
integrated and non-integrated LEDs,
with corresponding test procedures.
China pointed out that IEC 62838:2015
includes semi-integrated LEDs as well.
China recommended that DOE include
semi-integrated LEDs and their
corresponding referenced test
procedure. (China, No. 8 at p. 2) DOE
notes that it has proposed definitions for
integrated and non-integrated lamps in
the March 2016 GSL ECS NOPR. 81 FR
14628. Under the proposed definitions
of integrated lamp and non-integrated
lamp, semi-integrated LEDs would be
considered a type of non-integrated
lamp because, as described in IEC
62838:2015, they require the use of
some external components.
China commented that section III.B of
the March 2016 GSL TP NOPR
referenced the integrated LED lamp test
procedure in appendix BB of 10 CFR
part 430 subpart B. However, China
noted that this appendix is not yet
published. China recommended that
DOE publish the documents
corresponding to this appendix. (China,
No. 8 at p. 2) DOE notes that appendix
BB of 10 CFR part 430 subpart B,
containing the integrated LED test
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procedure, was adopted in the July 2016
LED TP final rule. 81 FR at 43427–
43428.
B. Proposed Method for Determining
Initial Lumen Output, Input Power,
Lamp Efficacy, and Power Factor
As described in section III.A, both the
statutory definition and proposed
regulatory definition of GSL cover many
types of lamps using a variety of lighting
technologies. For several of the included
lamp types, energy conservation
standards and test procedures already
exist. GSILs are required to comply with
the energy conservation standards in 10
CFR 430.32(x), and test procedures for
these lamps are in Appendix R to
subpart B of 10 CFR part 430. In a
separate test procedure rulemaking,
DOE has proposed to amend the test
procedures for MBCFLs and to establish
new test procedures for all other CFLs.
80 FR 45724. Once finalized, the
updated and new test procedures will
appear at appendix W to subpart B of 10
CFR part 430. In addition, DOE recently
issued test procedures for integrated
LED lamps. 81 FR 43404. Although
integrated LED lamps are not currently
required to comply with energy
conservation standards, DOE has
proposed standards for them in the
March 2016 GSL ECS NOPR. 81 FR
14530. The test procedures for
integrated LED lamps will be located in
new appendix BB to subpart B of 10
CFR part 430.
If DOE test procedures already exist or
were proposed in an ongoing
rulemaking (such as for GSILs, CFLs,
and integrated LED lamps), DOE
proposed in the March 2016 GSL TP
NOPR to reference those specific
provisions in the GSL test procedures.
For all other GSLs, DOE proposed new
test procedures, intending to reference
the most recently published versions of
relevant industry standards. 81 FR
14631, 14633. Of the proposed test
procedures, DOE received comments on
those for non-integrated LED lamps,
other fluorescent lamps, and other
incandescent lamps that are reflector
lamps.
DOE received comments from three
stakeholders regarding the proposed test
procedures for non-integrated LED
lamps. Private citizen Mat Roundy
voiced support for DOE’s proposed
reference of CIE S 025/E:2015, stating
that requiring manufacturers to use the
same standard would improve
effectiveness when implementing an
energy conservation standard and
promoting energy efficiency. (Roundy,
No. 5 at p. 1) However, Osram Sylvania,
Inc. (OSI) and the National Electrical
Manufacturers Association (NEMA)
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commented that, although nonintegrated LED lamps are not within the
intended scope of IES LM–79–08, it is
common industry practice to use IES
LM–79–08 to test non-integrated LED
lamps. NEMA and OSI both noted that
the test procedure for ceiling fan light
kits in appendix V1 to subpart B of 10
CFR 430 directs manufacturers to test
other solid-state lighting (SSL) products
using IES LM–79–08. NEMA and OSI
therefore recommended that DOE allow
manufacturers flexibility in choosing
the test procedure for non-integrated
lamps LED lamps. (OSI, No. 3 at p. 2;
NEMA, No. 6 at p. 2)
In proposing test procedures for nonintegrated LED lamps in the March 2016
GSL TP NOPR, DOE reviewed existing
industry standards. In its review DOE
initially determined that IES LM–79–08
was not intended for non-integrated
LED lamps given that LM–79–08 states
in section 1.1 that the test method
covers ‘‘LED-based SSL products with
control electronics and heat sinks
incorporated, that is, those devices that
require only AC mains power or a DC
voltage power supply to operate.’’ Nonintegrated LED lamps require external
electronics; that is, the lamps are
intended to connect to ballasts/drivers
rather than directly to the branch circuit
through an ANSI base and
corresponding ANSI standard lamp
holder (socket). Because non-integrated
LED lamps require external electronics,
DOE tentatively determined that IES
LM–79–08 was not appropriate for nonintegrated LED lamps, and therefore
would not be the most relevant industry
standard for these lamps.
Based on the comments received from
NEMA and OSI, DOE investigated
whether IES LM–79–08 is the more
relevant test procedure for nonintegrated LED lamps, regardless of the
defined scope of the industry standard.
In addition to the statements made by
NEMA and OSI that IES LM–79–08 is
relied upon by industry to test nonintegrated lamps, DOE found one
manufacturer of these products that
states on its Web site that the
performance specifications it reports are
based on testing according to IES LM–
79–08.6 Other manufacturers did not
identify the test method used. DOE also
contacted independent test laboratories
to determine which test procedure they
used. DOE found that the laboratories
generally used IES LM–79–08 when
testing non-integrated LED lamps
because, even though it does not
specifically include them, the
laboratories view IES LM–79–08 as the
6 https://www.maxlite.com/item/
lm79?=13PLG24QVLED27.
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most applicable industry standard. DOE
preliminarily concluded that once it is
determined how to supply the power to
the lamp or on which ballast/driver to
operate the lamp for testing, there is
little difference in testing an integrated
versus a non-integrated LED lamp.
Further, DOE notes that some of these
products have been tested and the
results have been reported in the LED
Lighting Facts Database and the
qualified products list for the Lighting
Design Lab. Both of these organizations
specify IES LM–79–08 as a test method
for all included products.
Upon reviewing the available
information, DOE has tentatively
determined that for the testing of nonintegrated LED lamps, IES LM–79–08 is
the more relevant industry standard at
the present time, as compared to CIE S
025/E:2015. Further, DOE has reviewed
IES LM–79–08 and finds it appropriate
for testing non-integrated LED lamps for
the purpose of determining compliance
with the applicable energy efficiency
standards.
However, because non-integrated LED
lamps are not included in the applicable
scope of this industry standard, DOE
finds that additional instruction is
necessary to ensure consistent and
repeatable results. Specifically, DOE
finds that IES LM–79–08 provides no
information on which external ballast/
driver or power supply to use for
testing. After reviewing the approaches
of independent test laboratories, DOE
proposes that non-integrated LED lamps
be tested according to IES LM–79–08,
using the manufacturer-declared input
voltage and current as the power
supply. These quantities are typically
not reported on the product packaging
or in manufacturer literature. (DOE
noted only two companies that do so.)
DOE is therefore proposing to revise the
requirements for certification reports to
include these quantities for nonintegrated LED lamps. While
manufacturers usually list compatible
ballasts/drivers for these products, DOE
notes that it is unknown on which
ballast/driver these lamps may operate
when installed in the field.
Furthermore, the test procedure should
produce consistent and repeatable
results. By requiring these lamps to be
tested using the manufacturer-declared
input voltage and current as the power
supply, DOE’s proposed approach is
consistent with the industry practice of
using reference ballasts for nonintegrated lamps, such as non-integrated
CFLs and GSFLs. For those products,
industry standards (and DOE’s test
procedures) specify electrical settings
for reference ballasts and each product
is tested using those same settings.
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Because industry has not yet developed
reference ballast/driver settings for nonintegrated LED lamps, DOE proposes
that the manufacturers report the
settings that are used. The use of
reference settings allows for a consistent
and comparable assessment of the
lamp’s performance. Therefore, DOE
proposes the requirement that nonintegrated LED lamps be tested
according to IES LM–79–08, using the
manufacturer-declared input voltage
and current as the power supply. DOE
requests DOE requests comment on the
appropriateness of referencing IES LM–
79–08 for the testing of non-integrated
LED lamps. DOE also requests comment
on the proposed requirement that
manufacturers report the settings used
for testing, specifically input voltage
and current, and whether additional
settings are needed to ensure consistent,
repeatable results. Finally, DOE requests
comment on whether the manufacturerdeclared settings should be made
available to the public so that accurate
comparisons across products could be
made.
Regarding the testing of other
fluorescent lamps, OSI and NEMA
commented that testing per sections 4
through 6 of IES LM–9–09 would be
appropriate for double-ended
fluorescent lamps, but questioned
whether double-ended fluorescent
lamps would be subject to the test
procedures as these lamps would likely
be considered general service
fluorescent lamps, a type of lamp
excluded from the definition of GSL.
OSI suggested that sections 4 through 6
of IES LM–66–14 would be more
applicable to cite as the test procedure
for ‘‘other fluorescent lamps.’’
Specifically, OSI stated that IES LM–66–
14 was the appropriate industry
standard to reference for the
commercially available induction lamps
meeting the definition of GSL. (OSI, No.
3 at p. 2; NEMA, No. 6 at p. 3)
DOE has proposed to define compact
fluorescent lamp as an integrated or
non-integrated single-base, low-pressure
mercury, electric-discharge source in
which a fluorescing coating transforms
some of the ultraviolet energy generated
by the mercury discharge into light; the
term does not include circline or U
shaped fluorescent lamps. 80 FR at
45739. This proposed definition of CFL
aligns with the scope of IES LM–66–14,
which states that it describes test
procedures for obtaining measurements
of single-based fluorescent lamps,
including both electrode and
electrodeless (i.e., induction) versions.
The introduction of IES LM–66–14
states, as does DOE’s definition of CFL,
that it does not include circline or Ushaped fluorescent lamps. Thus, DOE
has tentatively concluded that lamps
meeting DOE’s definition of CFL will be
required to use test procedures in
appendix W to subpart B of 10 CFR 430,
which predominantly references IES
LM–66–14 for test methods. DOE
expects that single-based fluorescent
lamps that are GSLs will be within the
definition of CFL, and thus subject to
the test procedures that reference IES
LM–66–14.
While DOE is unaware of any lamps
currently on the market that would be
subject to testing as ‘‘other fluorescent
lamps,’’ test procedures must be
established for all potentially covered
products. To address other fluorescent
lamps that would not meet the
definition of CFL but would otherwise
be defined as GSLs (i.e., double-ended
fluorescent lamps), DOE has maintained
the reference to IES LM–9–09 in this
SNOPR.
OSI and NEMA supported the use of
IES LM–20–13 for other incandescent
lamps that are reflector lamps, but
disagreed with referencing sections 4
through 8, especially section 7, as well
as the lack of specific instructions to
deviate from IES LM–20–13. OSI and
NEMA noted that the March 2016 GSL
ECS NOPR did not propose any
requirements for beam angle, beam
lumens, center beam candlepower, or
beam pattern classification (the lamp
characteristics measured under the test
procedures in section 7 of IES LM–20–
13) and thus recommended omitting
reference to this section. NEMA also
expressed confusion regarding DOE’s
inclusion of section 7, wondering
whether its inclusion was an indication
that goniophotometer systems may be
allowed to measure luminous flux.
NEMA recommended instead that DOE
reference Appendix R to subpart B of 10
CFR 430 (test procedures for
incandescent reflector lamps) for the
testing of other incandescent lamps that
are reflector lamps. (NEMA, No. 6 at p.
3)
For this SNOPR, DOE again reviewed
the referenced sections (i.e., sections 4
through 8) of IES LM–20–13. DOE
agrees that referencing section 7 of LM–
20–13 is unnecessary because it
addresses the measurement of values for
which standards have not been
proposed, such as beam angle, field
angle, and beam flux values.
Furthermore, section 7 specifies the use
of a goniophotometer. As proposed in
the March 2016 GSL TP NOPR and
maintained in this document, the active
mode test procedure does not allow the
use of a goniophotometer. For these
reasons, the reference to section 7 of IES
LM–20–13 has been removed from the
test procedure in this SNOPR.
DOE has determined not to reference
appendix R for the testing of other
incandescent lamps that are reflector
lamps. DOE notes that the content of the
referenced sections (sections 4, 5, 6, and
8) of IES LM–20–13 are consistent with
the content of the sections of IES LM–
20–94 referenced in appendix R.
However, DOE has chosen not to
reference Appendix R in order to avoid
potential confusion; appendix R is
applicable to incandescent reflector
lamps but these lamps are not included
in the definition of GSL. Therefore, for
GSLs that are other incandescent lamps
that are reflector lamps, DOE proposes
referencing sections 4, 5, 6, and 8 of IES
LM–20–13.
DOE did not receive any comments on
referring to appendix R for general
service incandescent lamps, to
Appendix BB for integrated LED lamps,
to IES LM–45–15 for other incandescent
lamps that are not reflector lamps, or to
IES LM–79–08 for OLED lamps. DOE
did, however, review all references to
industry standards to ensure that only
necessary sections were referenced, as
described in the previous paragraph.
DOE removed all references to sections
describing luminous intensity and/or
color measurements as these are not
necessary for the metrics covered by the
test procedure. DOE also made
references to IES LM–79–08 consistent
with sections referenced in the July
2016 LED TP final rule; that is, DOE
added a reference to section 1.3
(Nomenclature and Definitions) and
removed the reference to section 6.0
(Operating Orientation). DOE instead
specifies the appropriate operating
orientation directly in appendix DD.
DOE requests comment on the industry
standards and sections of the industry
standards referenced.
TABLE III.1—TEST PROCEDURES FOR GENERAL SERVICE LAMPS
Lamp type
Referenced test procedure
General service incandescent lamps .......................................................
Compact fluorescent lamps ......................................................................
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Appendix R to Subpart B of 10 CFR 430.
Appendix W to Subpart B of 10 CFR part 430.
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TABLE III.1—TEST PROCEDURES FOR GENERAL SERVICE LAMPS—Continued
Lamp type
Referenced test procedure
Integrated LED lamps ...............................................................................
Other incandescent lamps that are not reflector lamps ...........................
Other incandescent lamps that are reflector lamps .................................
Other fluorescent lamps ...........................................................................
OLED lamps .............................................................................................
Appendix BB to Subpart B of 10 CFR part 430.
IES LM–45–15, sections 4–6, and section 7.1.
IES LM–20–13, sections 4–6, and section 8.
IES LM–9–09, sections 4–6, and section 7.5.
IES LM–79–08, sections 1.3 (except 1.3[f]), 2.0, 3.0, 5.0, 7.0, 8.0, 9.1
and 9.2.
IES LM–79–08, sections 1.3 (except 1.3[f]), 2.0, 3.0, 5.0, 7.0, 8.0, 9.1
and 9.2.
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Non-integrated LED lamps .......................................................................
C. Laboratory Accreditation
In the March 2016 GSL TP NOPR,
DOE proposed to require that testing of
initial lumen output, input power, lamp
efficacy, power factor, and standby
mode power (if applicable) for GSLs be
conducted by test laboratories
accredited by the National Voluntary
Laboratory Accreditation Program
(NVLAP) or an accrediting organization
recognized by the International
Laboratory Accreditation Cooperation
(ILAC). DOE tentatively determined that
since NVLAP is a member of ILAC, test
data collected by any laboratory
accredited by an accrediting body
recognized by ILAC would be
acceptable. 81 FR 14634. DOE noted
that under existing test procedure
regulations, testing for other regulated
lighting products (such as general
service fluorescent lamps, incandescent
reflector lamps, and fluorescent lamp
ballasts), in addition to general service
lamps that must already comply with
energy conservation standards (such as
general service incandescent lamps and
medium base compact fluorescent
lamps), must be conducted in a
similarly accredited facility. 10 CFR
430.25.
DOE received several comments
regarding lab accreditation. OSI and
NEMA disagreed with what they
understood to be DOE’s shift from the
use of test laboratories accredited by
NVLAP or an accrediting organization
recognized by NVLAP, to test
laboratories accredited by an
Accreditation Body that is a signatory
member to the International Laboratory
Accreditation Cooperation (ILAC)
Mutual Recognition Arrangement
(MRA). Citing to a 2013 version of the
regulations, NEMA commented that the
March 2016 GSL TP NOPR did not
adequately explain why the non-GSL
portions of the existing regulation
needed to be changed. (NEMA, No. 6 at
p. 3)
The comments received suggest that
some commenters may not be familiar
with the current regulatory text with
regard to requirements for test
laboratories. DOE notes that it did not
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propose to change the existing
regulation as it relates to non-GSLs, but
simply to include the testing of GSLs in
the existing regulatory provision. The
existing text in 10 CFR 430.25 states that
the enumerated lamp types, including
general service fluorescent lamps and
incandescent reflector lamps (which are
not general service lamps), must be
tested by laboratories accredited by ‘‘an
Accreditation Body that is a signatory
member to the International Laboratory
Accreditation Cooperation (ILAC)
Mutual Recognition Arrangement
(MRA).’’ The discussion regarding
NVLAP in the preamble to the 2016
March GSL TP NOPR was intended to
clarify that testing could be conducted
by a test laboratory accredited by
NVLAP given that NVLAP is a signatory
member to the ILAC MRA. 81 FR 14634.
¨
¨
TUV SUD commented that the
proposed language for § 429.57(b)6,
which requires each test report to
include an NVLAP identification
number or other NVLAP-approved
identification, contradicts § 430.25,
which requires testing to be performed
in a laboratory accredited by an ILAC
¨
¨
member. TUV SUD elaborated that this
prevents laboratories accredited by, for
example, SCC (Canada) or DAkks
(Germany) from issuing a report with an
NVLAP identification number unless it
has another accreditation with NVLAP.
¨
¨
TUV SUD recommended that DOE
update the relevant portion of
§ 429.57(b)6 to read, ‘‘ . . . ILAC’s
accreditation bodies identification
number or other ILAC accreditation
bodies—approved identification . . . ’’
¨
¨
(TUV SUD, No. 2 at p. 1) DOE agrees
with this comment and is proposing to
update the language in § 429.57(b) to be
consistent with § 430.25 and to include
the recommended text. Similarly, DOE
also proposes to update §§ 429.27(b) and
429.35(b) to be consistent with § 430.25.
UL commented that luminous efficacy
results from lamp testing can range from
+25% to ¥25% due to variations in
laboratory accuracy and precision,
which represents a significant range in
the context of the efficacy levels
proposed in the March 2016 GSL ECS
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NOPR. UL further commented that
NVLAP accreditation is an accepted
means to minimize variability between
different labs. UL noted that NVLAP is
an ILAC member, but NVLAP also
requires participation in the National
Institute of Standards and Technology
(NIST) proficiency-testing program for
SSL, which assists labs in improving
and maintaining measurement accuracy
and precision. UL recommended that
DOE require any lab accredited by an
ILAC member, other than NVLAP, to
participate in the NIST SSL proficiency
program. UL noted that this has been a
requirement of the ENERGY STAR SSL
program for many years. (UL, No. 4 at
p. 2)
DOE notes that ISO/IEC 17025 states
that a laboratory shall have quality
control procedures for monitoring the
validity of tests and calibrations
undertaken.7 This monitoring may
include the participation in interlaboratory comparisons or proficiency
testing programs. Other means may
include the regular use of reference
materials, or replicate tests or
calibrations using the same or different
methods. By these mechanisms a
laboratory can provide evidence of its
competence to its clients, parties and
accreditation bodies. Participation in
proficiency testing is not required to
become an ILAC signatory. However,
ILAC and many of the accreditation
bodies that are signatories of the MRA
encourage participation in proficiency
testing or inter-laboratory comparisons.8
Therefore, DOE has tentatively
concluded that requiring participation
in proficiency testing is unnecessary, as
the accreditation process is designed to
ensure the competency of the testing
laboratory through a variety of
mechanisms.
NEMA recommended not deleting
references to other products and
applicable test methods, such as the
following quoted portion: ‘‘The testing
for general service fluorescent lamps,
general service incandescent lamps, and
7 https://ilac.org/news/ilac-p9062014-published/.
8 https://ilac.org/ilac-mra-and-signatories/
purpose/.
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incandescent reflector lamps shall be
performed in accordance with
Appendix R to this subpart. The testing
for medium base compact fluorescent
lamps shall be performed in accordance
with appendix W of this subpart.’’
(NEMA, No. 6 at p. 3)
It appears that in its comments NEMA
is referencing a prior version of 10 CFR
430.25. An amendment was made to 10
CFR 430.25 on June 5, 2015. 80 FR
31982. DOE notes that the text cited by
NEMA does not currently exist in 10
CFR 430.25 and that the testing
provisions are specified in 10 CFR
430.23.
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D. Effective Date and Compliance Dates
DOE received comments regarding the
compliance date proposed in the March
2016 GSL TP NOPR. OSI and NEMA
commented that the 180-day
compliance date places an undue
burden on manufacturers. OSI and
NEMA commented that until there is a
need to comply with an efficacy
standard, mandatory testing in CIE S
025 accredited laboratories would be an
excessive requirement. NEMA
commented that this burden is
exacerbated given that many of the
products proposed to be tested to CIE S
025 will likely not be compliant with
2020 standards and thus will cease
manufacture and sales, causing a lost
certification/accreditation investment.
(OSI, No. 3 at pp. 3–4; NEMA, No. 6 at
pp. 3–4)
As discussed in section III.B, DOE is
not incorporating CIE S 025 by reference
and therefore tentatively concludes that
the compliance date will not introduce
unnecessary burden. As noted
previously, the referenced industry
standard, IES LM–79–08, represents
common industry practice for testing
non-integrated LED lamps.
If adopted, the test procedures
proposed in this SNOPR for GSLs that
are not integrated LED lamps, CFLs, or
GSILs, would be effective 30 days after
publication in the Federal Register
(referred to as the ‘‘effective date’’).
Pursuant to EPCA, manufacturers of
covered products would be required to
use the applicable test procedure as the
basis for determining that their products
comply with the applicable energy
conservation standards. (42 U.S.C.
6295(s)) On or after 180 days after
publication of a final rule, any
representations made with respect to the
energy use or efficiency of GSLs that are
not integrated LED lamps, CFLs, and
GSILs would be required to be made in
accordance with the results of testing
pursuant to the new test procedures. (42
U.S.C. 6293(c)(2))
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DOE proposes that after the effective
date and prior to the compliance date of
a GSL test procedure final rule,
manufacturers may voluntarily begin to
make representations with respect to the
energy use or efficiency of GSLs that are
not integrated LED lamps, CFLs, and
GSILs and when doing so must use the
results of testing pursuant to that final
rule.
IV. Procedural Issues and Regulatory
Review
A. Review Under Executive Order 12866
The Office of Management and Budget
(OMB) has determined that test
procedure rulemakings do not constitute
‘‘significant regulatory actions’’ under
section 3(f) of Executive Order 12866,
Regulatory Planning and Review, 58 FR
51735 (Oct. 4, 1993). Accordingly, this
action was not subject to review under
the Executive Order by the Office of
Information and Regulatory Affairs
(OIRA) in the OMB.
B. Review Under the Regulatory
Flexibility Act
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) requires preparation
of an initial regulatory flexibility
analysis (IRFA) for any rule that by law
must be proposed for public comment,
unless the agency certifies that the rule,
if promulgated, will not have a
significant economic impact on a
substantial number of small entities. As
required by Executive Order 13272,
‘‘Proper Consideration of Small Entities
in Agency Rulemaking,’’ 67 FR 53461
(August 16, 2002), DOE published
procedures and policies on February 19,
2003 to ensure that the potential
impacts of its rules on small entities are
properly considered during the DOE
rulemaking process. 68 FR 7990. DOE
has made its procedures and policies
available on the Office of the General
Counsel’s Web site: https://energy.gov/
gc/office-general-counsel.
DOE reviewed the test procedures for
GSLs proposed in this SNOPR under the
provisions of the Regulatory Flexibility
Act and the procedures and policies
published on February 19, 2003. DOE
certifies that the proposed rule, if
adopted, would not have a significant
economic impact on a substantial
number of small entities. The factual
basis for this certification is set forth in
the following paragraphs.
The Small Business Administration
(SBA) considers a business entity to be
a small business, if, together with its
affiliates, it employs less than a
threshold number of workers specified
in 13 CFR part 121. These size standards
and codes are established by the North
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American Industry Classification
System (NAICS). Manufacturing of GSLs
is classified under NAICS 335110,
‘‘Electric Lamp Bulb and Part
Manufacturing.’’ The SBA sets a
threshold of 1,250 employees or less for
an entity to be considered as a small
business for this category.
In the March 2016 GSL TP NOPR, to
estimate the number of companies that
could be small businesses that sell
GSLs, DOE conducted a market survey
using publicly available information.
DOE’s research involved information
provided by trade associations (e.g., the
National Electrical Manufacturers’
Association) and information from
DOE’s Compliance Certification
Management System (CCMS) Database,
the Environmental Protection Agency’s
ENERGY STAR Certified Light Bulbs
Database, LED Lighting Facts Database,
previous rulemakings, individual
company Web sites, SBA’s database,
and market research tools (e.g., Hoover’s
reports). DOE screened out companies
that did not meet the definition of a
‘‘small business’’ or are completely
foreign owned and operated. DOE
identified approximately 118 small
businesses that sell GSLs in the United
States. 81 FR 14635.
For this SNOPR, DOE reviewed its
estimated number of small businesses.
DOE updated its list of small businesses
by revisiting the information sources
described in this preamble. DOE
screened out companies that do not
meet the definition of a ‘‘small
business,’’ or are completely foreign
owned and operated. DOE determined
that nine companies are small
businesses that maintain domestic
production facilities for general service
lamps.
In the March 2016 GSL TP NOPR,
DOE proposed test procedures for
determining initial lumen output, input
power, lamp efficacy, power factor, and
standby power of GSLs. DOE noted that
several of the lamp types included in
the definition of general service lamp
must already comply with energy
conservation standards and therefore
test procedures already existed for these
lamps. If DOE test procedures already
existed or were proposed in an ongoing
rulemaking (such as for general service
incandescent lamps, compact
fluorescent lamps, and integrated LED
lamps), DOE proposed to reference them
directly. For all other general service
lamps, DOE proposed new test
procedures in the March 2016 GSL TP
NOPR. For the new test procedures,
DOE proposed to reference the most
recent versions of relevant industry
standards.
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DOE estimated the testing costs and
burden associated with conducting
testing according to the new test
procedures proposed in the March 2016
GSL TP NOPR for general service lamps.
DOE did not consider the costs and
burdens associated with DOE test
procedures that already exist or that
have been proposed in other ongoing
rulemakings because these have been or
are being addressed separately. DOE
also assessed elements (testing
methodology, testing times, and sample
size) in the proposed CFL and integrated
LED lamp test procedures that could
affect costs associated with complying
with this rule. Except for lab
accreditation costs associated with CIE
S 025/E:2015, which has been replaced
with IES LM–79–08, the cost estimates
of this SNOPR are the same as those
determined under the March 2016 GSL
TP NOPR. The following is an analysis
of both in-house and third party testing
costs associated with this rulemaking.
In the March 2016 GSL TP NOPR,
DOE estimated that the labor costs
associated with conducting in-house
testing of initial lumen output, input
power, and standby mode power were
$41.68 per hour. DOE determined that
calculating efficacy and power factor of
a GSL would not result in any
incremental testing burden beyond the
cost of conducting the initial lumen
output and input power testing. The
cost of labor was then calculated by
multiplying the estimated hours of labor
by the hourly labor rate. For lamps not
capable of operating in standby mode,
DOE estimated that testing in-house in
accordance with the appropriate
proposed test procedure would require,
at most, four hours per lamp by an
electrical engineering technician. For
lamps capable of operating in standby
mode, DOE estimated that testing time
would increase to five hours per lamp
due to the additional standby mode
power consumption test. DOE noted
that these estimates are representative of
the time it would take to test the most
labor intensive technology, LED lamps.
In total, DOE estimated that using the
test method prescribed in the March
2016 GSL TP NOPR to determine initial
light output and input power would
result in an estimated labor burden of
$1,670 per basic model of certain GSLs
and $2,080 per basic model of certain
GSLs that can operate in standby mode.
Because accreditation bodies 9 impose
a variety of fees during the accreditation
process, including fixed administrative
9 As discussed in section III.D, laboratories can be
accredited by any accreditation body that is a
signatory member to the ILAC MRA. DOE based its
estimate of the costs associated with accreditation
on the NVLAP accreditation body.
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fees, variable assessment fees, and
proficiency testing fees, DOE included
as an example the costs associated with
maintaining a NVLAP-accredited
facility or a facility accredited by an
organization recognized by NVLAP in
the March 2016 GSL TP NOPR. In the
first year, for manufacturers without
NVLAP accreditation who choose to test
in-house, DOE estimated manufacturers
on average would experience a
maximum total cost burden of about
$2,210 per basic model tested or $2,630
per basic model with standby mode
power consumption testing.10
Additionally, DOE requested pricing
from independent testing laboratories
for testing GSLs. DOE estimated the cost
for testing at an independent laboratory
to be up to $1,070 per basic model. This
estimate included the cost of
accreditation as quotes were obtained
from accredited laboratories.
DOE received comments from NEMA
and OSI regarding the burden of testing
non-integrated LED lamps in
laboratories accredited to CIE standard
CIE S 025/E:2015. NEMA and OSI
commented that the small product
sector of non-integrated LED lamps did
not justify accrediting a lab to the CIE
standard for such limited testing needs.
(OSI, No. 3 at p. 2; NEMA, No. 6 at p.
2) They noted that the test facilities
generally used by the lighting industry
are not accredited for this referenced
CIE test method, and would need to
obtain and maintain this accreditation.
OSI and NEMA commented that
certifying a lab to CIE S 025 could cost
approximately $10,000.00, which would
be burdensome for all labs, regardless of
size. OSI and NEMA noted that the
current cost for CIE S 025/E:2015 is
$241.00, compared to $25.00 for IES
LM–79–08. OSI and NEMA further
stated that the cost of the normative
standards associated with CIE S 025/
E:2015 must also be considered,
including CIE 84–1989, which costs
Ö98.46 and is not currently available
from familiar sources. OSI and NEMA
believe these costs could be burdensome
for a small manufacturer. (OSI, No. 3 at
pp. 3–4; NEMA, No. 6 at pp. 3–4)
As discussed in section III.B, DOE is
no longer referencing CIE S 025 to test
non-integrated LED lamps. Instead, DOE
proposes to reference IES LM–79–08
which is also referenced for the testing
of integrated LED lamps and OLED
lamps. Because labs are already required
to be accredited to IES LM–79–08 for
testing integrated LED lamps per DOE’s
test procedure in Appendix BB and per
10 NVLAP costs are fixed and were distributed
based on an estimate of 28 basic models per
manufacturer.
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ENERGY STAR’s Lamps specification,
DOE believes the majority of
manufacturers and independent
laboratories already have this
accreditation. Therefore, DOE does not
believe it is unduly burdensome to
manufacturers or independent
laboratories to be properly accredited to
this standard.
DOE notes that its proposed test
procedures directly reference existing
industry standards that have been
approved for widespread use by lamp
manufacturers and test laboratories. The
quantities that are directly measured,
namely initial lumen output and input
power, are commonly reported by the
manufacturer on product packaging and
on product specification sheets. Thus,
testing for these quantities is already
being conducted. Additionally, these
quantities are required to be reported to
ENERGY STAR if manufacturers certify
the lamps as meeting the program
requirements. Standby mode power
consumption is also a reported quantity
for the ENERGY STAR program, though
it may not be a commonly reported
value for lamps that are not certified
with ENERGY STAR. In reviewing the
lamps for which DOE proposes new test
procedures in this rulemaking, DOE
notes that very few products can operate
in standby mode and therefore very few
products would be required to make
representations of standby mode energy
consumption. Although DOE has
proposed the requirement that all
testing be conducted in accredited
laboratories, DOE believes that many
manufacturers of these products have
already accredited their own in-house
laboratories because they also make
products such as general service
incandescent lamps and medium base
compact fluorescent lamps that are
required to be tested in similarly
accredited laboratories.
In summary, DOE does not consider
the test procedures proposed in this
SNOPR to have a significant economic
impact on small entities. The final cost
per manufacturer primarily depends on
the number of basic models the
manufacturer sells. These are not annual
costs because DOE does not require
manufacturers to retest a basic model
annually. The initial test results used to
generate a certified rating for a basic
model remain valid as long as the basic
model has not been modified from the
tested design in a way that makes it less
efficient or more consumptive, which
would require a change to the certified
rating. If a manufacturer has modified a
basic model in a way that makes it more
efficient or less consumptive, new
testing is required only if the
manufacturer wishes to make
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representations of the new, more
efficient rating.
Based on the criteria outlined earlier
and the reasons discussed in this
preamble, DOE tentatively concludes
and certifies that the new proposed test
procedures would not have a significant
economic impact on a substantial
number of small entities, and the
preparation of an IRFA is not warranted.
DOE will transmit the certification and
supporting statement of factual basis to
the Chief Counsel for Advocacy of the
SBA for review under 5 U.S.C. 605(b).
subpart D. Accordingly, neither an
environmental assessment nor an
environmental impact statement is
required.
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C. Review Under the Paperwork
Reduction Act of 1995
DOE established regulations for the
certification and recordkeeping
requirements for certain covered
consumer products and commercial
equipment. 10 CFR part 429, subpart B.
This collection-of-information
requirement was approved by OMB
under OMB control number 1910–1400.
DOE requested OMB approval of an
extension of this information collection
for three years, specifically including
the collection of information proposed
in the present rulemaking, and
estimated that the annual number of
burden hours under this extension is 30
hours per company. In response to
DOE’s request, OMB approved DOE’s
information collection requirements
covered under OMB control number
1910–1400 through November 30, 2017.
80 FR 5099 (January 30, 2015).
Notwithstanding any other provision
of the law, no person is required to
respond to, nor must any person be
subject to a penalty for failure to comply
with, a collection of information subject
to the requirements of the PRA, unless
that collection of information displays a
currently valid OMB control number.
E. Review Under Executive Order 13132
Executive Order 13132, ‘‘Federalism,’’
64 FR 43255 (August 4, 1999), imposes
certain requirements on agencies
formulating and implementing policies
or regulations that preempt State law or
that have Federalism implications. The
Executive Order requires agencies to
examine the constitutional and statutory
authority supporting any action that
would limit the policymaking discretion
of the States and to carefully assess the
necessity for such actions. The
Executive Order also requires agencies
to have an accountable process to
ensure meaningful and timely input by
State and local officials in the
development of regulatory policies that
have Federalism implications. On
March 14, 2000, DOE published a
statement of policy describing the
intergovernmental consultation process
it will follow in the development of
such regulations. 65 FR 13735. DOE has
examined this proposed rule and
determined that it will not have a
substantial direct effect on the States, on
the relationship between the national
government and the States, or on the
distribution of power and
responsibilities among the various
levels of government. EPCA governs and
prescribes Federal preemption of State
regulations as to energy conservation for
the products that are the subject of this
proposed rule. States can petition DOE
for exemption from such preemption to
the extent, and based on criteria, set
forth in EPCA. (42 U.S.C. 6297(d)) No
further action is required by Executive
Order 13132.
D. Review Under the National
Environmental Policy Act of 1969
In this proposed rule, DOE proposes
test procedures for certain categories of
GSLs that will be used to support the
ongoing GSL standards rulemaking.
DOE has determined that this rule falls
into a class of actions that are
categorically excluded from review
under the National Environmental
Policy Act of 1969 (42 U.S.C. 4321 et
seq.) and DOE’s implementing
regulations at 10 CFR part 1021.
Specifically, this proposed rule adopts
existing industry test procedures for
certain categories of general service
lamps, so it will not affect the amount,
quality or distribution of energy usage,
and, therefore, will not result in any
environmental impacts. Thus, this
rulemaking is covered by Categorical
Exclusion A6 under 10 CFR part 1021,
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
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47079
legal standard for affected conduct
while promoting simplification and
burden reduction; (4) specifies the
retroactive effect, if any; (5) adequately
defines key terms; and (6) addresses
other important issues affecting clarity
and general draftsmanship under any
guidelines issued by the Attorney
General. Section 3(c) of Executive Order
12988 requires Executive agencies to
review regulations in light of applicable
standards in sections 3(a) and 3(b) to
determine whether they are met or it is
unreasonable to meet one or more of
them. DOE has completed the required
review and determined that, to the
extent permitted by law, the proposed
rule meets the relevant standards of
Executive Order 12988.
G. Review Under the Unfunded
Mandates Reform Act of 1995
Title II of the Unfunded Mandates
Reform Act of 1995 (UMRA) requires
each Federal agency to assess the effects
of Federal regulatory actions on State,
local, and Tribal governments and the
private sector. Public Law 104–4, sec.
201 (codified at 2 U.S.C. 1531). For a
proposed regulatory action resulting in
a rule that may cause the expenditure by
State, local, and Tribal governments, in
the aggregate, or by the private sector of
$100 million or more in any one year
(adjusted annually for inflation), section
202 of UMRA requires a Federal agency
to publish a written statement that
estimates the resulting costs, benefits,
and other effects on the national
economy. (2 U.S.C. 1532(a), (b)) The
UMRA also requires a Federal agency to
develop an effective process to permit
timely input by elected officers of State,
local, and Tribal governments on a
proposed ‘‘significant intergovernmental
mandate,’’ and requires an agency plan
for giving notice and opportunity for
timely input to potentially affected
small governments before establishing
any requirements that might
significantly or uniquely affect small
governments. On March 18, 1997, DOE
published a statement of policy on its
process for intergovernmental
consultation under UMRA. 62 FR
12820; also available at https://
energy.gov/gc/office-general-counsel.
DOE examined this proposed rule
according to UMRA and its statement of
policy and determined that the rule
contains neither an intergovernmental
mandate, nor a mandate that may result
in the expenditure of $100 million or
more in any year, so these requirements
do not apply.
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H. Review Under the Treasury and
General Government Appropriations
Act, 1999
Section 654 of the Treasury and
General Government Appropriations
Act, 1999 (Public Law 105–277) requires
Federal agencies to issue a Family
Policymaking Assessment for any rule
that may affect family well-being. This
rule will not have any impact on the
autonomy or integrity of the family as
an institution. Accordingly, DOE has
concluded that it is not necessary to
prepare a Family Policymaking
Assessment.
reasonable alternatives to the action and
their expected benefits on energy
supply, distribution, and use.
This regulatory action to propose test
procedures for certain categories of
GSLs is not a significant regulatory
action under Executive Order 12866.
Moreover, it would not have a
significant adverse effect on the supply,
distribution, or use of energy, nor has it
been designated as a significant energy
action by the Administrator of OIRA.
Therefore, it is not a significant energy
action, and, accordingly, DOE has not
prepared a Statement of Energy Effects.
I. Review Under Executive Order 12630
DOE has determined, under Executive
Order 12630, ‘‘Governmental Actions
and Interference with Constitutionally
Protected Property Rights’’ 53 FR 8859
(March 18, 1988), that this regulation
will not result in any takings that might
require compensation under the Fifth
Amendment to the U.S. Constitution.
L. Review Under Section 32 of the
Federal Energy Administration Act of
1974
Under section 301 of the Department
of Energy Organization Act (Public Law
95–91; 42 U.S.C. 7101), DOE must
comply with section 32 of the Federal
Energy Administration Act of 1974, as
amended by the Federal Energy
Administration Authorization Act of
1977. (15 U.S.C. 788; FEAA) Section 32
essentially provides in relevant part
that, where a proposed rule authorizes
or requires use of commercial standards,
the notice of proposed rulemaking must
inform the public of the use and
background of such standards. In
addition, section 32(c) requires DOE to
consult with the Attorney General and
the Chairman of the Federal Trade
Commission (FTC) concerning the
impact of the commercial or industry
standards on competition.
The proposed test procedures for
certain categories of GSLs incorporate
testing methods contained in certain
sections of the following commercial
standards:
(1) IES LM–45–15, ‘‘IES Approved
Method for the Electrical and
Photometric Measurement of General
Service Incandescent Filament Lamps,’’
2015;
(2) IES LM–20–13, ‘‘IES Approved
Method for Photometry of Reflector
Type Lamps,’’ 2013;
(3) IES LM–79–08, ‘‘Approved
Method: Electrical and Photometric
Measurements of Solid-State Lighting
Products,’’ 2008;
(4) IES LM–9–09, ‘‘IES Approved
Method for the Electrical and
Photometric Measurement of
Fluorescent Lamps,’’ 2009; and
(5) IEC Standard 62301 (Edition 2.0),
‘‘Household electrical appliances—
Measurement of standby power,’’ 2011.
DOE has evaluated these standards
and is unable to conclude whether they
fully comply with the requirements of
section 32(b) of the FEAA (i.e., that they
were developed in a manner that fully
provides for public participation,
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J. Review Under Treasury and General
Government Appropriations Act, 2001
Section 515 of the Treasury and
General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides
for agencies to review most
disseminations of information to the
public under guidelines established by
each agency pursuant to general
guidelines issued by OMB. OMB’s
guidelines were published at 67 FR
8452 (Feb. 22, 2002), and DOE’s
guidelines were published at 67 FR
62446 (Oct. 7, 2002). DOE has reviewed
this proposed rule under the OMB and
DOE guidelines and has concluded that
it is consistent with applicable policies
in those guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, ‘‘Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use,’’ 66 FR 28355 (May
22, 2001), requires Federal agencies to
prepare and submit to OMB, a
Statement of Energy Effects for any
significant energy action. A ‘‘significant
energy action’’ is defined as any action
by an agency that promulgated or is
expected to lead to promulgation of a
final rule, and that (1) is a significant
regulatory action under Executive Order
12866, or any successor order; and (2)
is likely to have a significant adverse
effect on the supply, distribution, or use
of energy; or (3) is designated by the
Administrator of OIRA as a significant
energy action. For any significant energy
action, the agency must give a detailed
statement of any adverse effects on
energy supply, distribution, or use if the
regulation is implemented, and of
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comment, and review.) DOE will
consult with both the Attorney General
and the Chairman of the FTC
concerning the impact of these test
procedures on competition, prior to
prescribing a final rule.
M. Description of Materials
Incorporated by Reference
In this SNOPR, DOE proposes to
incorporate by reference certain sections
of the test standard published by IEC,
titled ‘‘Household electrical
appliances—Measurement of standby
power (Edition 2.0),’’ IEC 62301–DD.
IEC 62301–DD is an industry accepted
test standard that describes
measurements of electrical power
consumption in standby mode, off
mode, and network mode. The test
procedures proposed in this SNOPR
reference sections of IEC 62301–DD for
testing standby mode power
consumption of GSLs. IEC 62301–DD is
readily available on IEC’s Web site at
https://webstore.iec.ch/home.
DOE also proposes to incorporate by
reference specific sections of the test
standard published by IES, titled ‘‘IES
Approved Method for the Electrical and
Photometric Measurement of
Fluorescent Lamps,’’ IES LM–9–09–DD.
IES LM–9–09–DD is an industry
accepted test standard that specifies
procedures to be observed in performing
measurements of electrical and
photometric characteristics of
fluorescent lamps under standard
conditions. The test procedures
proposed in this SNOPR reference
sections of IES LM–9–09–DD for
performing electrical and photometric
measurements of other fluorescent
lamps. IES LM–9–09–DD is readily
available on IES’s Web site at
www.ies.org/store/.
DOE also proposes to incorporate by
reference specific sections of the test
standard published by IES, titled ‘‘IES
Approved Method for Photometry of
Reflector Type Lamps,’’ IES LM–20–13.
IES LM–20–13 is an industry accepted
test standard that specifies photometric
test methods for reflector lamps. The
test procedures proposed in this SNOPR
reference sections of IES LM–20–13 for
performing electrical and photometric
measurements of other incandescent
lamps that are reflector lamps. IES LM–
20–13 is readily available on IES’s Web
site at www.ies.org/store.
DOE also proposes to incorporate by
reference specific sections of the test
standard published by IES, titled ‘‘IES
Approved Method for the Electrical and
Photometric Measurement of General
Service Incandescent Filament Lamps,’’
IES LM–45–15. IES LM–45–15 is an
industry accepted test standard that
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specifies procedures to be observed in
performing measurements of electrical
and photometric characteristics of
general service incandescent filament
lamps under standard conditions. The
test procedures proposed in this SNOPR
reference sections of IES LM–45–15 for
performing electrical and photometric
measurements of other incandescent
lamps that are not reflector lamps. IES
LM–45–15 is readily available on IES’s
Web site at www.ies.org/store/.
DOE also proposes to incorporate by
reference specific sections of the test
standard published by IES, titled ‘‘IES
Approved Method for the Electrical and
Photometric Measurement of Solid-State
Lighting Products,’’ IES LM–79–08–DD.
IES LM–79–08–DD is an industry
accepted test standard that specifies
electrical and photometric test methods
for solid-state lighting products. The test
procedures proposed in this SNOPR
reference sections of IES LM–79–08–DD
for performing electrical and
photometric measurements of OLED
lamps and non-integrated LED lamps.
IES LM–79–08 is readily available on
IES’s Web site at www.ies.org/store.
mstockstill on DSK3G9T082PROD with PROPOSALS
V. Public Participation
A. Submission of Comments
DOE will accept comments, data, and
information regarding this proposed
rule no later than the date provided in
the DATES section at the beginning of
this SNOPR. Interested parties may
submit comments, data, and other
information using any of the methods
described in the ADDRESSES section at
the beginning of this SNOPR.
Submitting comments via
www.regulations.gov. The
www.regulations.gov Web page will
require you to provide your name and
contact information. Your contact
information will be viewable to DOE
Building Technologies staff only. Your
contact information will not be publicly
viewable except for your first and last
names, organization name (if any), and
submitter representative name (if any).
If your comment is not processed
properly because of technical
difficulties, DOE will use this
information to contact you. If DOE
cannot read your comment due to
technical difficulties and cannot contact
you for clarification, DOE may not be
able to consider your comment.
However, your contact information
will be publicly viewable if you include
it in the comment or in any documents
attached to your comment. Any
information that you do not want to be
publicly viewable should not be
included in your comment, nor in any
document attached to your comment.
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Persons viewing comments will see only
first and last names, organization
names, correspondence containing
comments, and any documents
submitted with the comments.
Do not submit to regulations.gov
information for which disclosure is
restricted by statute, such as trade
secrets and commercial or financial
information (hereinafter referred to as
Confidential Business Information
(CBI)). Comments submitted through
regulations.gov cannot be claimed as
CBI. Comments received through the
Web site will waive any CBI claims for
the information submitted. For
information on submitting CBI, see the
Confidential Business Information
section.
DOE processes submissions made
through www.regulations.gov before
posting. Normally, comments will be
posted within a few days of being
submitted. However, if large volumes of
comments are being processed
simultaneously, your comment may not
be viewable for up to several weeks.
Please keep the comment tracking
number that regulations.gov provides
after you have successfully uploaded
your comment.
Submitting comments via email, hand
delivery, or mail. Comments and
documents submitted via email, hand
delivery, or mail also will be posted to
www.regulations.gov. If you do not want
your personal contact information to be
publicly viewable, do not include it in
your comment or any accompanying
documents. Instead, provide your
contact information on a cover letter.
Include your first and last names, email
address, telephone number, and
optional mailing address. The cover
letter will not be publicly viewable as
long as it does not include any
comments.
Include contact information each time
you submit comments, data, documents,
and other information to DOE. If you
submit via mail or hand delivery, please
provide all items on a CD, if feasible. It
is not necessary to submit printed
copies. No facsimiles (faxes) will be
accepted.
Comments, data, and other
information submitted to DOE
electronically should be provided in
PDF (preferred), Microsoft Word or
Excel, WordPerfect, or text (ASCII) file
format. Provide documents that are not
secured, written in English and free of
any defects or viruses. Documents
should not contain special characters or
any form of encryption and, if possible,
they should carry the electronic
signature of the author.
Campaign form letters. Please submit
campaign form letters by the originating
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organization in batches of between 50 to
500 form letters per PDF or as one form
letter with a list of supporters’ names
compiled into one or more PDFs. This
reduces comment processing and
posting time.
Confidential Business Information.
According to 10 CFR 1004.11, any
person submitting information that he
or she believes to be confidential and
exempt by law from public disclosure
should submit via email, postal mail, or
hand delivery two well-marked copies:
One copy of the document marked
confidential including all the
information believed to be confidential,
and one copy of the document marked
non-confidential with the information
believed to be confidential deleted.
Submit these documents via email or on
a CD, if feasible. DOE will make its own
determination about the confidential
status of the information and treat it
according to its determination.
Factors of interest to DOE when
evaluating requests to treat submitted
information as confidential include: (1)
A description of the items; (2) whether
and why such items are customarily
treated as confidential within the
industry; (3) whether the information is
generally known by or available from
other sources; (4) whether the
information has previously been made
available to others without obligation
concerning its confidentiality; (5) an
explanation of the competitive injury to
the submitting person which would
result from public disclosure; (6) when
such information might lose its
confidential character due to the
passage of time; and (7) why disclosure
of the information would be contrary to
the public interest.
It is DOE’s policy that all comments
may be included in the public docket,
without change and as received,
including any personal information
provided in the comments (except
information deemed to be exempt from
public disclosure).
B. Issues on Which DOE Seeks Comment
Although comments are welcome on
all aspects of this proposed rulemaking,
DOE is particularly interested in
comments on the following issues.
(1) DOE requests comment on the
appropriateness of referencing IES LM–
79–08 for the testing of non-integrated
LED lamps. DOE also requests comment
on the proposed requirement that
manufacturers report the settings used
for the testing of non-integrated LED
lamps, specifically input voltage and
current, and whether additional settings
are needed to ensure consistent,
repeatable results. DOE requests
comment on whether the manufacturer-
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declared settings should be made
available to the public so that accurate
comparisons across products could be
made.
(2) DOE requests comment on the
industry standards and sections of the
industry standards referenced in its
proposed test methods.
VI. Approval of the Office of the
Secretary
The Secretary of Energy has approved
publication of this proposed rule.
List of Subjects
10 CFR Part 429
Administrative practice and
procedure, Confidential business
information, Energy conservation,
Household appliances, Reporting and
recordkeeping requirements.
10 CFR Part 430
Administrative practice and
procedure, Confidential business
information, Energy conservation,
Household appliances, Imports,
Incorporation by reference,
Intergovernmental relations, Small
businesses.
§ 429.35 Bare or covered (no reflector)
medium base compact fluorescent lamps.
*
Issued in Washington, DC, on July 8, 2016.
Steven G. Chalk,
Deputy Assistant Secretary for Operations,
Energy Efficiency and Renewable Energy.
For the reasons stated in the
preamble, DOE proposes to amend parts
429 and 430 of chapter II of title 10,
Code of Federal Regulations as set forth
below:
PART 429—CERTIFICATION,
COMPLIANCE, AND ENFORCEMENT
FOR CONSUMER PRODUCTS AND
COMMERCIAL AND INDUSTRIAL
EQUIPMENT
1. The authority citation for part 429
continues to read as follows:
■
Authority: 42 U.S.C. 6291–6317.
2. Section 429.27 is amended by
revising paragraphs (b)(2)(i), (ii) and (iii)
to read as follows:
■
§ 429.27 General service fluorescent
lamps, general service incandescent lamps,
and incandescent reflector lamps.
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*
*
*
*
*
(b) * * *
(2) * * *
(i) General service fluorescent lamps.
The testing laboratory’s ILAC
accreditation body’s identification
number or other approved identification
assigned by the ILAC accreditation
body, production dates of the units
tested, the 12-month average lamp
efficacy in lumens per watt (lm/W),
lamp wattage (W), correlated color
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temperature in Kelvin (K), and the 12month average Color Rendering Index
(CRI).
(ii) Incandescent reflector lamps. The
testing laboratory’s ILAC accreditation
body’s identification number or other
approved identification assigned by the
ILAC accreditation body, production
dates of the units tested, the 12-month
average lamp efficacy in lumens per
watt (lm/W), and lamp wattage (W).
(iii) General service incandescent
lamps, The testing laboratory’s ILAC
accreditation body’s identification
number or other approved identification
assigned by the ILAC accreditation
body, production dates of the units
tested, the 12-month average maximum
rate wattage in watts (W), the 12-month
average minimum rated lifetime (hours),
and the 12-month average Color
Rendering Index (CRI).
*
*
*
*
*
■ 3. Section 429.35 is amended by
revising paragraph (b)(2) to read as
follows:
*
*
*
*
(b) * * *
(2) Pursuant to § 429.12(b)(13), a
certification report shall include the
following public product-specific
information: The testing laboratory’s
ILAC accreditation body’s identification
number or other approved identification
assigned by the ILAC accreditation
body, the minimum initial efficacy in
lumens per watt (lm/W), the lumen
maintenance at 1,000 hours in percent
(%), the lumen maintenance at 40
percent of rated life in percent (%), the
rapid cycle stress test in number of units
passed, and the lamp life in hours (h).
■ 4. Section 429.57 is added to read as
follows:
§ 429.57
General service lamps.
(a) Determination of represented
value. Manufacturers must determine
represented values, which includes
certified ratings, for each basic model of
general service lamp in accordance with
following sampling provisions.
(1) The requirements of § 429.11 are
applicable to general service lamps, and
(2) For general service incandescent
lamps, use § 429.27(a);
(3) For compact fluorescent lamps,
use § 429.35(a);
(4) For integrated LED lamps, use
§ 429.56(a);
(5) For other incandescent lamps, use
§ 429.27(a);
(6) For other fluorescent lamps, use
§ 429.35(a); and
(7) For OLED lamps and nonintegrated LED lamps, use § 429.56(a).
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(b) Certification reports. (1) The
requirements of § 429.12 are applicable
to general service lamps;
(2) Values reported in certification
reports are represented values;
(3) For general service incandescent
lamps, use § 429.27(b);
(4) For compact fluorescent lamps,
use § 429.35(b);
(5) For integrated LED lamps, use
§ 429.56(b); and
(6) For other incandescent lamps, for
other fluorescent lamps, for OLED
lamps and non-integrated LED lamps,
pursuant to § 429.12(b)(13), a
certification report must include the
following public product-specific
information: The testing laboratory’s
ILAC accreditation body’s identification
number or other approved identification
assigned by the ILAC accreditation
body, initial lumen output, input power,
lamp efficacy, and power factor. For
non-integrated LED lamps, the
certification report must also include
the input voltage and current used for
testing.
(c) Rounding requirements. (1) Round
input power to the nearest tenth of a
watt.
(2) Round initial lumen output to
three significant digits.
(3) Round lamp efficacy to the nearest
tenth of a lumen per watt.
(4) Round power factor to the nearest
hundredths place.
(5) Round standby mode power to the
nearest tenth of a watt.
PART 430—ENERGY CONSERVATION
PROGRAM FOR CONSUMER
PRODUCTS
5. The authority citation for part 430
continues to read as follows:
■
Authority: 42 U.S.C. 6291–6309; 28 U.S.C.
2461 note.
6. Section 430.3 is amended by:
a. Redesignating paragraph (o)(3) as
(o)(4);
■ b. Adding paragraph (o)(3);
■ c. Redesignating paragraph (o)(4) as
(o)(5);
■ d. Redesignating paragraph (o)(5) as
(o)(7);
■ e. Redesignating paragraph (o)(6) as
(o)(9);
■ e. Adding new paragraph (o)(6);
■ f. Redesignating paragraph (o)(8) as
(o)(11);
■ g. Adding new paragraph (o)(8);
■ f. Redesignating paragraphs (o)(7) and
(o)(9) as (o)(10) and (o)(12); and
■ g. Adding paragraphs (o)(13) and
(p)(6).
The additions read as follows:
■
■
§ 430.3 Materials incorporated by
reference.
*
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*
*
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(o) * * *
(3) IES LM–9–09 (‘‘IES LM–9–09–
DD’’), IES Approved Method for the
Electrical and Photometric
Measurement of Fluorescent Lamps,
approved January 31, 2009; IBR
approved for appendix DD to subpart B,
as follows:
(i) Section 4—Ambient and Physical
Conditions;
(ii) Section 5—Electrical Conditions;
(iii) Section 6—Lamp Test
Procedures; and
(iv) Section 7—Photometric Test
Procedures: Section 7.5—Integrating
Sphere Measurement.
*
*
*
*
*
(6) IES LM–20–13, IES Approved
Method for Photometry of Reflector
Type Lamps, approved February 4,
2013; IBR approved for appendix DD to
subpart B, as follows:
(i) Section 4—Ambient and Physical
Conditions;
(ii) Section 5—Electrical and
Photometric Test Conditions;
(iii) Section 6—Lamp Test
Procedures; and
(iv) Section 8—Total Flux
Measurements by Integrating Sphere
Method.
*
*
*
*
*
(8) IES LM–45–15, IES Approved
Method for the Electrical and
Photometric Measurement of General
Service Incandescent Filament Lamps,
approved August 8, 2015; IBR approved
for appendix DD to subpart B as follows:
(i) Section 4—Ambient and Physical
Conditions;
(ii) Section 5—Electrical Conditions;
(iii) Section 6—Lamp Test
Procedures; and
(iv) Section 7—Photometric Test
Procedures: Section 7.1—Total
Luminous Flux Measurements with an
Integrating Sphere.
*
*
*
*
*
(13) IES LM–79–08 (‘‘IES LM–79–08–
DD’’), IES Approved Method for the
Electrical and Photometric
Measurement of Solid-State Lighting
Products, approved January 31, 2009;
IBR approved for appendix DD to
subpart B as follows:
(i) Section 1.3—Nomenclature and
Definitions (except section 1.3[f]);
(ii) Section 2.0—Ambient Conditions;
(iii) Section 3.0—Power Supply
Characteristics;
(iv) Section 5.0—Stabilization of SSL
Product;
(v) Section 7.0—Electrical Settings;
(vi) Section 8.0—Electrical
Instrumentation;
(vii) Section 9—Test Methods for
Total Luminous Flux measurement:
Section 9.1 Integrating Sphere with a
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Spectroradiometer (Spherespectroradiometer System); and
(viii) Section 9—Test Methods for
Total Luminous Flux measurement:
Section 9.2—Integrating Sphere with a
Photometer Head (Sphere-photometer
System).
*
*
*
*
*
(p) * * *
(6) IEC 62301, (‘‘IEC 62301–DD’’),
Household electrical appliances—
Measurement of standby power,
(Edition 2.0, 2011–01); IBR approved for
appendix DD to subpart B as follows:
(i) Section 5—Measurements.
*
*
*
*
*
■ 7. Section 430.23 is amended by
adding paragraph (ff) to read as follows:
§ 430.23 Test procedures for the
measurement of energy and water
consumption.
*
*
*
*
*
(ff) General Service Lamps. (1) For
general service incandescent lamps,
measure lamp efficacy in accordance
with paragraph (r) of this section.
(2) For compact fluorescent lamps,
measure lamp efficacy, lumen
maintenance at 1,000 hours, lumen
maintenance at 40 percent of lifetime,
rapid cycle stress, time to failure, power
factor, CRI, start time, and standby
mode power in accordance with
paragraph (y) of this section.
(3) For integrated LED lamps, measure
lamp efficacy, power factor, and standby
mode power in accordance with
paragraph (ee) of this section.
(4) For other incandescent lamps,
measure initial light output, input
power, lamp efficacy, power factor, and
standby mode power in accordance with
appendix DD of this subpart.
(5) For other fluorescent lamps,
measure initial light output, input
power, lamp efficacy, power factor, and
standby mode power in accordance with
appendix DD of this subpart.
(6) For OLED and non-integrated LED
lamps, measure initial light output,
input power, lamp efficacy, power
factor, and standby mode power in
accordance with appendix DD of this
subpart.
■ 8. Section 430.25 is revised to read as
follows:
§ 430.25 Laboratory Accreditation
Program.
The testing for general service
fluorescent lamps, general service lamps
(with the exception of applicable
lifetime testing), incandescent reflector
lamps, and fluorescent lamp ballasts
must be conducted by test laboratories
accredited by an Accreditation Body
that is a signatory member to the
International Laboratory Accreditation
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47083
Cooperation (ILAC) Mutual Recognition
Arrangement (MRA). A manufacturer’s
or importer’s own laboratory, if
accredited, may conduct the applicable
testing.
■ 9. Appendix DD to subpart B of part
430 is added to read as follows:
Appendix DD to Subpart B of Part
430—Uniform Test Method for
Measuring the Energy Consumption
and Energy Efficiency of General
Service Lamps that are not General
Service Incandescent Lamps, Compact
Fluorescent Lamps, or Integrated LED
Lamps.
Note: On or after [INSERT DATE 180 DAYS
AFTER DATE OF PUBLICATION OF THE
FINAL RULE IN THE FEDERAL
REGISTER], any representations, including
certifications of compliance (if required),
made with respect to the energy use or
efficiency of general service lamps that are
not general service incandescent lamps,
compact fluorescent lamps, or integrated LED
lamps must be made in accordance with the
results of testing pursuant to this appendix
DD.
1. Scope: This appendix DD specifies the
test methods required to measure the initial
lumen output, input power, lamp efficacy,
power factor, and standby mode energy
consumption of general service lamps that
are not general service incandescent lamps,
compact fluorescent lamps, or integrated LED
lamps.
2. Definitions:
Measured initial input power means the
input power to the lamp, measured after the
lamp is stabilized and seasoned (if
applicable), and expressed in watts (W).
Measured initial lumen output means the
lumen output of the lamp measured after the
lamp is stabilized and seasoned (if
applicable), and expressed in lumens (lm).
Power factor means the measured initial
input power (watts) divided by the product
of the input voltage (volts) and the input
current (amps) measured at the same time as
the initial input power.
3. Active Mode Test Procedures
3.1. Take measurements at full light
output.
3.2. Do not use a goniophotometer.
3.3. For OLED and non-integrated LED
lamps, position a lamp in either the base-up
and base-down orientation throughout
testing. An equal number of lamps in the
sample must be tested in the base-up and
base-down orientations, except that, if the
manufacturer restricts the position, test all of
the units in the sample in the manufacturerspecified position.
3.4. Operate the lamp at the rated voltage
throughout testing. For lamps with multiple
rated voltages including 120 volts, operate
the lamp at 120 volts. If a lamp is not rated
for 120 volts, operate the lamp at the highest
rated input voltage. For non-integrated LED
lamps, operate the lamp at the manufacturerdeclared input voltage and current.
3.5. Operate the lamp at the maximum
input power. If multiple modes occur at the
same maximum input power (such as
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Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Proposed Rules
variable CCT or CRI), the manufacturer may
select any of these modes for testing;
however, all measurements must be taken at
the same selected mode. The manufacturer
must indicate in the test report which mode
was selected for testing and include detail
such that another laboratory could operate
the lamp in the same mode.
3.6. To measure initial lumen output, input
power, input voltage, and input current use
the test procedures in the table in this
section.
TABLE 3.1—REFERENCES TO INDUSTRY STANDARD TEST PROCEDURES
Lamp type
Referenced test procedure
General service incandescent lamps .......................................................
Compact fluorescent lamps ......................................................................
Integrated LED lamps ...............................................................................
Other incandescent lamps that are not reflector lamps ...........................
Other incandescent lamps that are reflector lamps .................................
Other fluorescent lamps ...........................................................................
OLED lamps .............................................................................................
Appendix R to Subpart B of 10 CFR part 430.
Appendix W to Subpart B of 10 CFR part 430.
Appendix BB to Subpart B of 10 CFR part 430.
IES LM–45–15, sections 4–6, and section 7.1.
IES LM–20–13, sections 4–6, and section 8.
IES LM–9–09–DD, sections 4–6, and section 7.5.
IES LM–79–08–DD, sections 1.3 (except 1.3[f]), 2.0, 3.0, 5.0, 7.0, 8.0,
9.1 and 9.2.
IES LM–79–08–DD, sections 1.3 (except 1.3[f]), 2.0, 3.0, 5.0, 7.0, 8.0,
9.1 and 9.2.
Non-integrated LED lamps .......................................................................
* (incorporated by reference, see § 430.3)
3.7. Determine initial lamp efficacy by
dividing the measured initial lumen output
(lumens) by the measured initial input power
(watts).
3.8. Determine power factor by dividing
the measured initial input power (watts) by
the product of the measured input voltage
(volts) and measured input current (amps).
4. Standby Mode Test Procedure
4.1. Measure standby mode power only for
lamps that are capable of standby mode
operation.
4.2. Connect the lamp to the manufacturerspecified wireless control network (if
applicable) and configure the lamp in
standby mode by sending a signal to the lamp
instructing it to have zero light output. Lamp
must remain connected to the network
throughout testing.
4.3. Operate the lamp at the rated voltage
throughout testing. For lamps with multiple
rated voltages including 120 volts, operate
the lamp at 120 volts. If a lamp is not rated
for 120 volts, operate the lamp at the highest
rated input voltage.
4.4. Stabilize the lamp prior to
measurement as specified in section 5 of IEC
62301–DD (incorporated by reference; see
§ 430.3).
4.5. Measure the standby mode power in
watts as specified in section 5 of IEC 62301–
DD (incorporated by reference; see § 430.3).
[FR Doc. 2016–17135 Filed 7–19–16; 8:45 am]
BILLING CODE 6450–01–P
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
mstockstill on DSK3G9T082PROD with PROPOSALS
14 CFR Part 39
[Docket No. FAA–2016–8179; Directorate
Identifier 2015–NM–201–AD]
RIN 2120–AA64
Airworthiness Directives; The Boeing
Company Airplanes
Federal Aviation
Administration (FAA), DOT.
AGENCY:
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17:58 Jul 19, 2016
Jkt 238001
Notice of proposed rulemaking
(NPRM).
ACTION:
We propose to supersede
Airworthiness Directive (AD) 2011–26–
03, which applies to certain The Boeing
Company Model 777–200, –200LR,
–300, and –300ER series airplanes. AD
2011–26–03 currently requires installing
Teflon sleeving under the clamps of
certain wire bundles routed along the
fuel tank boundary structure, and cap
sealing certain penetrating fasteners of
the main and center fuel tanks. AD
2011–26–03 resulted from fuel system
reviews conducted by the manufacturer.
Since we issued AD 2011–26–03, we
have received a report indicating that
additional airplanes are affected by the
identified unsafe condition. This
proposed AD would add airplanes to the
applicability. This AD would also add,
for certain airplanes, detailed
inspections of certain wire bundle
clamps, certain Teflon sleeves, and
certain fasteners; corrective actions if
necessary; and installation of Teflon
sleeves under certain wire bundle
clamps. We are proposing this AD to
prevent electrical arcing on the fuel tank
boundary structure or inside the fuel
tanks, which could result in a fire or
explosion.
DATES: We must receive comments on
this proposed AD by September 6, 2016.
ADDRESSES: You may send comments,
using the procedures found in 14 CFR
11.43 and 11.45, by any of the following
methods:
• Federal eRulemaking Portal: Go to
https://www.regulations.gov. Follow the
instructions for submitting comments.
• Fax: 202–493–2251.
• Mail: U.S. Department of
Transportation, Docket Operations, M–
30, West Building Ground Floor, Room
W12–140, 1200 New Jersey Avenue SE.,
Washington, DC 20590.
SUMMARY:
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• Hand Delivery: Deliver to Mail
address above between 9 a.m. and 5
p.m., Monday through Friday, except
Federal holidays.
For service information identified in
this NPRM, contact Boeing Commercial
Airplanes, Attention: Data & Services
Management, P.O. Box 3707, MC 2H–65,
Seattle, WA 98124–2207; telephone:
206–544–5000, extension 1; fax: 206–
766–5680; Internet: https://
www.myboeingfleet.com. You may view
this referenced service information at
the FAA, Transport Airplane
Directorate, 1601 Lind Avenue SW.,
Renton, WA. For information on the
availability of this material at the FAA,
call 425–227–1221. It is also available
on the Internet at https://
www.regulations.gov by searching for
and locating Docket No. FAA–2016–
8179.
Examining the AD Docket
You may examine the AD docket on
the Internet at https://
www.regulations.gov by searching for
and locating Docket No. FAA–2016–
8179; or in person at the Docket
Management Facility between 9 a.m.
and 5 p.m., Monday through Friday,
except Federal holidays. The AD docket
contains this proposed AD, the
regulatory evaluation, any comments
received, and other information. The
street address for the Docket Office
(phone: 800–647–5527) is in the
ADDRESSES section. Comments will be
available in the AD docket shortly after
receipt.
FOR FURTHER INFORMATION CONTACT:
Suzanne Lucier, Aerospace Engineer,
Propulsion Branch, ANM 140S, FAA,
Seattle Aircraft Certification Office
(ACO), 1601 Lind Avenue SW., Renton,
WA 98057–3356; phone: 425–917–6438;
fax: 425–917–6590; email:
suzanne.lucier@faa.gov.
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]]>Agencies
[Federal Register Volume 81, Number 139 (Wednesday, July 20, 2016)]
[Proposed Rules]
[Pages 47071-47084]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-17135]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
10 CFR Parts 429 and 430
[Docket No. EERE-2016-BT-TP-0005]
RIN 1904-AD64
Energy Conservation Program: Test Procedures for Certain
Categories of General Service Lamps
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Supplemental notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: This supplemental notice of proposed rulemaking (SNOPR)
proposes to establish test procedures for certain categories of general
service lamps (GSLs) to support the ongoing energy conservation
standards rulemaking. Specifically, this rulemaking proposes new test
procedures for determining the initial lumen output, input power, lamp
efficacy, power factor, and standby mode power of GSLs that are not
integrated light-emitting diode (LED) lamps, compact fluorescent lamps
(CFLs), or general service incandescent lamps (GSILs). This SNOPR
revises the previous proposed test procedures for GSLs by referencing
Illuminating Engineering Society (IES) LM-79-08 for the testing of non-
integrated LED lamps. The U.S. Department of Energy (DOE) is also
proposing to clarify references to the existing lamp test methods and
sampling plans for determining the represented values of integrated LED
lamps, CFLs, and GSILs.
DATES: DOE will accept comments, data, and information regarding this
SNOPR no later than August 19, 2016. See section V, ``Public
Participation,'' for details.
ADDRESSES: Any comments submitted must identify the SNOPR for Test
Procedures for Certain Categories of General Service Lamps, and provide
docket number EERE-2016-BT-TP-0005 and/or regulatory information number
(RIN) 1904-AD64. Comments may be submitted using any of the following
methods:
1. Federal eRulemaking Portal: www.regulations.gov. Follow the
instructions for submitting comments.
2. Email: GSL2016TP0005@ee.doe.gov. Include the docket number EERE-
2016-BT-TP-0005 and/or RIN 1904-AD64 in the subject line of the
message.
3. Mail: Ms. Lucy deButts, U.S. Department of Energy, Building
Technologies Office, Mailstop EE-5B, 1000 Independence Avenue SW.,
Washington, DC, 20585-0121. If possible, please submit all items on a
CD, in which case it is not necessary to include printed copies.
4. Hand Delivery/Courier: Ms. Lucy deButts, U.S. Department of
Energy, Building Technologies Office, 950 L'Enfant Plaza SW., Suite
600, Washington, DC, 20024. Telephone: (202) 586-2945. If possible,
please submit all items on a CD, in which case it is not necessary to
include printed copies.
For detailed instructions on submitting comments and additional
information on the rulemaking process, see section V of this SNOPR,
``Public Participation.''
Docket: The docket, which includes Federal Register notices, public
meeting attendee lists and transcripts, comments, and other supporting
documents/materials, is available for review at www.regulations.gov.
All documents in the docket are listed in the www.regulations.gov
index. However, some documents listed in the index, such as those
containing information that is exempt from public disclosure, may not
be publicly available.
A link to the docket Web page can be found at https://www.regulations.gov/#!docketDetail;D=EERE-2016-BT-TP-0005. The docket
Web page contains simple instructions on how to access all documents,
including public comments, in the docket. See section V, ``Public
Participation,'' for information on how to submit comments through
www.regulations.gov.
For further information on how to submit a comment or review other
public comments and the docket, contact Ms. Lucy deButts at (202) 287-
1604 or by email: Lucy.deButts@ee.doe.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.
Mr. Pete Cochran, U.S. Department of Energy, Office of the General
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC, 20585-
0121. Telephone: (202) 586-9496. Email: Peter.Cochran@hq.doe.gov.
SUPPLEMENTARY INFORMATION: DOE proposes to incorporate by reference
into 10 CFR part 430 specific sections of the following industry
standards:
(1) IEC 62301 (``IEC 62301-DD''), Household electrical appliances--
Measurement of standby power (Edition 2.0, 2011-01).
A copy of IEC 62301-DD may be obtained from the International
Electrotechnical Commission, available from the American National
Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036,
(212) 642-4900, or go to https://webstore.ansi.org.
(2) IES LM-9-09 (``IES LM-9-09-DD''), IES Approved Method for the
Electrical and Photometric Measurement of Fluorescent Lamps.
(3) IES LM-20-13, IES Approved Method of Photometry of Reflector
Type Lamps.
(4) IES LM-45-15, IES Approved Method for the Electrical and
Photometric Measurement of General Service Incandescent Filament Lamps.
(5) IES LM-79-08 (``IES LM-79-08-DD''), IES Approved Method for the
Electrical and Photometric Measurement of Solid-State Lighting
Products.
Copies of IES LM-9-09-DD, IES LM-20-13, IES LM-45-15, and IES LM-
79-08-DD can be obtained from Illuminating Engineering Society of North
America, 120 Wall Street, Floor 17, New York, NY 10005-4001, or by
going to www.ies.org/store.
See section IV.M for a further discussion of these standards.
Table of Contents
I. Authority and Background
II. Synopsis of the Supplemental Notice of Proposed Rulemaking
III. Discussion
A. Scope of Applicability
B. Proposed Method for Determining Initial Lumen Output, Input
Power, Lamp Efficacy, and Power Factor
C. Laboratory Accreditation
[[Page 47072]]
D. Effective Date and Compliance Dates
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act of 1995
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General Government Appropriations
Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
M. Description of Materials Incorporated by Reference
V. Public Participation
A. Submission of Comments
B. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary
I. Authority and Background
Title III of the Energy Policy and Conservation Act of 1975 (42
U.S.C. 6291, et seq.; ``EPCA'' or ``the Act'') sets forth a variety of
provisions designed to improve energy efficiency.\1\ Part B of title
III, which for editorial reasons was redesignated as Part A upon
incorporation into the U.S. Code (42 U.S.C. 6291-6309, as codified),
establishes the ``Energy Conservation Program for Consumer Products
Other Than Automobiles.'' These consumer products include general
service lamps, the subject of this supplemental notice of proposed
rulemaking (SNOPR).
---------------------------------------------------------------------------
\1\ All references to EPCA refer to the statute as amended
through the Energy Efficiency Improvement Act of 2015, Public Law
114-11 (April 30, 2015).
---------------------------------------------------------------------------
Under EPCA, the energy conservation program consists essentially of
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation
standards, and (4) certification and enforcement procedures. The
testing requirements consist of test procedures that manufacturers of
covered products must use as the basis for (1) certifying to DOE that
their products comply with the applicable energy conservation standards
adopted under EPCA (42 U.S.C. 6295(s)), and (2) making representations
about the energy use or efficiency of those products (42 U.S.C.
6293(c)). Similarly, DOE must use these test procedures to determine
whether the products comply with any relevant standards promulgated
under EPCA. (42 U.S.C. 6295(s))
DOE is developing energy conservation standards for general service
lamps (GSLs) and published a notice of proposed rulemaking on March 17,
2016 (March 2016 GSL ECS NOPR). In support of the standards rulemaking,
DOE has undertaken several rulemakings to amend existing test
procedures and to adopt new test procedures for GSLs. On July 1, 2016,
DOE published a final rule adopting test procedures for integrated
light-emitting diode (LED) lamps. 81 FR 43404 (July 2016 LED TP final
rule). DOE has proposed to amend test procedures for medium base
compact fluorescent lamps (MBCFLs) and to adopt test procedures for new
metrics for all compact florescent lamps (CFLs) including hybrid CFLs
and CFLs with bases other than a medium screw base. 80 FR 45724 (July
31, 2015) (July 2015 CFL TP NOPR).
On March 17, 2016, DOE published a NOPR (March 2016 GSL TP NOPR)
that proposed test procedures for certain categories of GSLs not
currently covered under these existing test procedures. 81 FR 14632.
This SNOPR revises the test procedures proposed in the March 2016 GSL
TP NOPR by referencing Illuminating Engineering Society (IES) LM-79-08
for the testing of non-integrated LED lamps. Manufacturers of lamps
subject to this rulemaking would be required to use these test
procedures to assess performance relative to any potential energy
conservation standards the lamps must comply with in the future and for
any representations of energy efficiency.
EPCA sets forth the criteria and procedures DOE must follow when
prescribing or amending test procedures for covered products. EPCA
provides, in relevant part, that any test procedures prescribed or
amended under this section shall be reasonably designed to produce test
results which measure energy efficiency, energy use or estimated annual
operating cost of a covered product during a representative average use
cycle or period of use and shall not be unduly burdensome to conduct.
(42 U.S.C. 6293(b)(3)) Pursuant to this authority, DOE proposes to
prescribe test procedures for certain categories of GSLs in support of
the GSL standards rulemaking.
II. Synopsis of the Supplemental Notice of Proposed Rulemaking
In this SNOPR, DOE proposes test procedures for determining initial
lumen output, input power, lamp efficacy, power factor, and standby
mode power for certain categories of GSLs for which DOE does not have
an existing regulatory test procedure. Based on public comment received
in response to the March 2016 GSL TP NOPR, DOE proposes to reference
IES LM-79-08 for the testing of non-integrated LED lamps. DOE's
proposals for the standby mode test procedure, represented value
calculations, and certification and rounding requirements remain
unchanged from the March 2016 GSL TP NOPR. DOE also notes that
representations of energy use or energy efficiency must be based on
testing in accordance with this rulemaking, if adopted, beginning 180
days after the publication of a test procedure final rule.
III. Discussion
A. Scope of Applicability
GSL is defined by EPCA to include GSILs, CFLs, general service
light-emitting diode (LED) lamps (including organic LEDs (OLEDs)), and
any other lamp that DOE determines is used to satisfy lighting
applications traditionally served by GSILs. (42 U.S.C. 6291(30)(BB)) In
the March 2016 GSL ECS NOPR, DOE proposed to include in the definition
for general service lamp a lamp that has an ANSI \2\ base, operates at
any voltage, has an initial lumen output of 310 lumens or greater (or
232 lumens or greater for modified spectrum GSILs), is not a light
fixture, is not an LED downlight retrofit kit, and is used in general
lighting applications.\3\ 81 FR 14541. This SNOPR proposes test
procedures for GSLs that are not GSILs, CFLs, or integrated LED lamps.
---------------------------------------------------------------------------
\2\ A lamp base standardized by the American National Standards
Institute.
\3\ The definition also specified several exemptions, including:
General service fluorescent lamps; incandescent reflector lamps;
mercury vapor lamps; appliance lamps; black light lamps; bug lamps;
colored lamps; infrared lamps; marine signal lamps; mine service
lamps; plant light lamps; sign service lamps; traffic signal lamps;
and medium screw base incandescent lamps that are left-hand thread
lamps, marine lamps, reflector lamps, rough service lamps, shatter-
resistant lamps (including a shatter-proof lamp and a shatter-
protected lamp), silver bowl lamps, showcase lamps, 3-way
incandescent lamps, vibration service lamps, G shape lamps as
defined in ANSI C78.20 and ANSI C79.1-2002 with a diameter of 5
inches or more, T shape lamps as defined in ANSI C78.20 and ANSI
C79.1-2002 and that use not more than 40 watts or have a length of
more than 10 inches, and B, BA, CA, F, G16-1/2, G-25, G30, S, or M-
14 lamps as defined in ANSI C79.1-2002 and ANSI C78.20 of 40 watts
or less.
---------------------------------------------------------------------------
DOE received comments from China \4\ regarding the scope of
applicability of this rulemaking. China noted that OLED lamps are
classified as general service lamps and would be subject to the test
procedures proposed in the March 2016 GSL TP NOPR. China commented that
OLED lamps are unique from existing
[[Page 47073]]
lighting technologies, and that International Commission on
Illumination (CIE) and related researchers are considering developing a
specialized test method for OLED lamps. China therefore suggested that
DOE develop specific regulations and test procedures for OLED lamps
instead of using existing LED lamp test procedures. (China, No. 8 at p.
1) \5\
---------------------------------------------------------------------------
\4\ DOE received two comments from China, both of which provided
essentially the same comments regarding the March 2016 GSL TP NOPR.
(EERE-BT-TP-0005-008 and EERE-BT-TP-0005-0009) For the purpose of
this SNOPR, DOE provides reference to the first comment submitted by
China.
\5\ A notation in this form provides a reference for information
that is in the docket of DOE's rulemaking to develop test procedures
for GSLs (Docket No. EERE-2016-BT-TP-0005), which is maintained at
www.regulations.gov. This notation indicates that the statement
preceding the reference was made by China, is from document number 8
in the docket, and appears at page 1 of that document.
---------------------------------------------------------------------------
DOE understands that the current industry practice is to test OLED
lamps according to IES LM-79-08, a test standard that is applicable to
solid-state lighting products, including both LED and OLED lamps. In
this SNOPR, DOE proposes to reference LM-79-08 to determine initial
lumen output, input power, lamp efficacy, and power factor for OLED
lamps. If a new test procedure is developed by industry members and/or
related researchers, DOE will consider it in a future revision of this
test procedure.
China commented that in section III.A of the March 2016 GSL TP
NOPR, DOE referred to its proposed definition of a GSL from the March
2016 GSL ECS NOPR, which includes lamps with an initial lumen output of
310 lumens or greater. China noted that in Energy Star Lamps
Specification V2.0, the lumen range of products used to replace a 25
watt (W) incandescent lamp is between 250 and 449 lumens. China stated
that the difference between the proposed definition of GSL in the March
2016 GSL ECS NOPR and the products covered in the Energy Star Lamps
Specification V2.0 would cause confusion on how to test lamps with
lumen outputs less than 310 lumens. Therefore, China suggested that DOE
clarify the test requirements for lamps below 310 lumens. (China, No. 8
at p. 1)
DOE notes that this SNOPR proposes test procedures for GSLs that
are not GSILs, CFLs, or integrated LED lamps. The March 2016 GSL ECS
NOPR proposed a definition of GSL that would be limited to products
with a lumen output of 310 lumens or greater (or 232 lumens or greater
for modified spectrum general service incandescent lamps). 81 at FR
14628. DOE recognizes that ENERGY STAR Lamps Specification V2.0
includes products with a lumen output of less than 310 lumens. To
determine how such lamps should be evaluated under ENERGY STAR Lamps
Specification V2.0, interested parties will need to consult the ENERGY
STAR document.
China commented that, while section III.B of the March 2016 GSL TP
NOPR stated that the term GSL includes many types of lamps using
varying lighting technologies, it understood from the discussion in
section III.A that halogen lamps were excluded from the definition of
GSL. China requested clarification on whether the proposed rule would
cover halogen lamps. (China, No. 8 at p. 1)
As noted in this preamble, a definition of GSL was proposed in the
March 2016 GSL ECS NOPR, and that proposed definition does not exclude
halogen lamps generally. This SNOPR proposes test procedures for other
incandescent lamps, i.e., incandescent lamps that are GSLs but not
GSILs. ``Incandescent lamp'' is currently defined, in part, as a lamp
in which light is produced by a filament heated to incandescence by an
electric current. 10 CFR 430.2. This description depicts the method of
producing light in a halogen lamp. In addition, paragraph (1) of the
definition of ``incandescent lamp'' in 10 CFR 430.2 expressly includes
tungsten halogen lamps. A halogen lamp (other than a halogen lamp that
was a GSIL) within the definition of GSL as adopted in the energy
conservation standards final rule would be subject to the test
procedures proposed in this SNOPR if adopted. Test procedures for GSILs
are located in appendix R to subpart B of part 430.
China commented that section III.B of March 2016 GSL TP NOPR did
not provide definitions for the eight general purpose lamps mentioned
in Table III.1, making it difficult to distinguish between ``other non-
incandescent reflector type,'' ``general purpose incandescent,''
``compact fluorescent lamps,'' and ``other types of fluorescent
lamps.'' China recommended that DOE use IEC 61231, which it stated is
internationally accepted for classifying the types of lamps mentioned
in Table III.1 of the March 2016 GSL TP NOPR. (China, No. 8 at pp. 1-2)
Table III.1 of the March 2016 GSL TP NOPR referenced the test
procedures that would be applicable to GSLs based on lamp technology:
GSILs, CFLs, integrated LED lamps, other incandescent lamps that are
not reflector lamps, other incandescent lamps that are reflector lamps,
other fluorescent lamps, OLED lamps, and non-integrated LED lamps. 81
FR 14634. DOE notes that definitions for many of these lamp types
either already exist in 10 CFR 430.2 or were proposed in the March 2016
GSL ECS NOPR. GSIL is currently defined at 10 CFR 430.2. A definition
of CFL was proposed to be added to 10 CFR 430.2 in the July 2015 CFL TP
NOPR. 80 FR at 45739. A definition of integrated LED lamp was recently
added to 10 CFR 430.2 in the July 2016 LED TP final rule. 81 FR at
43426. The references to ``other incandescent lamps'' in Table III.1
were to lamps that meet the definition of GSL (as would be established
in a GSL standards final rule) that are incandescent lamps other than
GSILs. A definition of ``reflector lamp'' has been proposed in the
March 2016 GSL ECS NOPR. 81 FR 14629. Regarding fluorescent lamps,
reference to ``other fluorescent lamps'' in Table III.1 of the March
2016 GSL TP NOPR was to fluorescent lamps that meet the definition of
GSL (to be finalized in the standards final rule) but do not meet the
definition of CFL (which is another lamp type specifically included in
the GSL term) or general service fluorescent lamp (which is a lamp type
specifically excluded from the GSL term). DOE has proposed definitions
for non-integrated lamp and OLED lamp in the March 2016 GSL ECS NOPR.
81 FR 14628-14629. Thus, DOE has tentatively determined that all of the
various kinds of lamps included in this rulemaking have either existing
or proposed definitions that sufficiently identify which test
procedures are applicable to each kind of lamp.
China commented that section III.B of the March 2016 GSL TP NOPR
includes integrated and non-integrated LEDs, with corresponding test
procedures. China pointed out that IEC 62838:2015 includes semi-
integrated LEDs as well. China recommended that DOE include semi-
integrated LEDs and their corresponding referenced test procedure.
(China, No. 8 at p. 2) DOE notes that it has proposed definitions for
integrated and non-integrated lamps in the March 2016 GSL ECS NOPR. 81
FR 14628. Under the proposed definitions of integrated lamp and non-
integrated lamp, semi-integrated LEDs would be considered a type of
non-integrated lamp because, as described in IEC 62838:2015, they
require the use of some external components.
China commented that section III.B of the March 2016 GSL TP NOPR
referenced the integrated LED lamp test procedure in appendix BB of 10
CFR part 430 subpart B. However, China noted that this appendix is not
yet published. China recommended that DOE publish the documents
corresponding to this appendix. (China, No. 8 at p. 2) DOE notes that
appendix BB of 10 CFR part 430 subpart B, containing the integrated LED
test
[[Page 47074]]
procedure, was adopted in the July 2016 LED TP final rule. 81 FR at
43427-43428.
B. Proposed Method for Determining Initial Lumen Output, Input Power,
Lamp Efficacy, and Power Factor
As described in section III.A, both the statutory definition and
proposed regulatory definition of GSL cover many types of lamps using a
variety of lighting technologies. For several of the included lamp
types, energy conservation standards and test procedures already exist.
GSILs are required to comply with the energy conservation standards in
10 CFR 430.32(x), and test procedures for these lamps are in Appendix R
to subpart B of 10 CFR part 430. In a separate test procedure
rulemaking, DOE has proposed to amend the test procedures for MBCFLs
and to establish new test procedures for all other CFLs. 80 FR 45724.
Once finalized, the updated and new test procedures will appear at
appendix W to subpart B of 10 CFR part 430. In addition, DOE recently
issued test procedures for integrated LED lamps. 81 FR 43404. Although
integrated LED lamps are not currently required to comply with energy
conservation standards, DOE has proposed standards for them in the
March 2016 GSL ECS NOPR. 81 FR 14530. The test procedures for
integrated LED lamps will be located in new appendix BB to subpart B of
10 CFR part 430.
If DOE test procedures already exist or were proposed in an ongoing
rulemaking (such as for GSILs, CFLs, and integrated LED lamps), DOE
proposed in the March 2016 GSL TP NOPR to reference those specific
provisions in the GSL test procedures. For all other GSLs, DOE proposed
new test procedures, intending to reference the most recently published
versions of relevant industry standards. 81 FR 14631, 14633. Of the
proposed test procedures, DOE received comments on those for non-
integrated LED lamps, other fluorescent lamps, and other incandescent
lamps that are reflector lamps.
DOE received comments from three stakeholders regarding the
proposed test procedures for non-integrated LED lamps. Private citizen
Mat Roundy voiced support for DOE's proposed reference of CIE S 025/
E:2015, stating that requiring manufacturers to use the same standard
would improve effectiveness when implementing an energy conservation
standard and promoting energy efficiency. (Roundy, No. 5 at p. 1)
However, Osram Sylvania, Inc. (OSI) and the National Electrical
Manufacturers Association (NEMA) commented that, although non-
integrated LED lamps are not within the intended scope of IES LM-79-08,
it is common industry practice to use IES LM-79-08 to test non-
integrated LED lamps. NEMA and OSI both noted that the test procedure
for ceiling fan light kits in appendix V1 to subpart B of 10 CFR 430
directs manufacturers to test other solid-state lighting (SSL) products
using IES LM-79-08. NEMA and OSI therefore recommended that DOE allow
manufacturers flexibility in choosing the test procedure for non-
integrated lamps LED lamps. (OSI, No. 3 at p. 2; NEMA, No. 6 at p. 2)
In proposing test procedures for non-integrated LED lamps in the
March 2016 GSL TP NOPR, DOE reviewed existing industry standards. In
its review DOE initially determined that IES LM-79-08 was not intended
for non-integrated LED lamps given that LM-79-08 states in section 1.1
that the test method covers ``LED-based SSL products with control
electronics and heat sinks incorporated, that is, those devices that
require only AC mains power or a DC voltage power supply to operate.''
Non-integrated LED lamps require external electronics; that is, the
lamps are intended to connect to ballasts/drivers rather than directly
to the branch circuit through an ANSI base and corresponding ANSI
standard lamp holder (socket). Because non-integrated LED lamps require
external electronics, DOE tentatively determined that IES LM-79-08 was
not appropriate for non-integrated LED lamps, and therefore would not
be the most relevant industry standard for these lamps.
Based on the comments received from NEMA and OSI, DOE investigated
whether IES LM-79-08 is the more relevant test procedure for non-
integrated LED lamps, regardless of the defined scope of the industry
standard. In addition to the statements made by NEMA and OSI that IES
LM-79-08 is relied upon by industry to test non-integrated lamps, DOE
found one manufacturer of these products that states on its Web site
that the performance specifications it reports are based on testing
according to IES LM-79-08.\6\ Other manufacturers did not identify the
test method used. DOE also contacted independent test laboratories to
determine which test procedure they used. DOE found that the
laboratories generally used IES LM-79-08 when testing non-integrated
LED lamps because, even though it does not specifically include them,
the laboratories view IES LM-79-08 as the most applicable industry
standard. DOE preliminarily concluded that once it is determined how to
supply the power to the lamp or on which ballast/driver to operate the
lamp for testing, there is little difference in testing an integrated
versus a non-integrated LED lamp. Further, DOE notes that some of these
products have been tested and the results have been reported in the LED
Lighting Facts Database and the qualified products list for the
Lighting Design Lab. Both of these organizations specify IES LM-79-08
as a test method for all included products.
---------------------------------------------------------------------------
\6\ https://www.maxlite.com/item/lm79?=13PLG24QVLED27.
---------------------------------------------------------------------------
Upon reviewing the available information, DOE has tentatively
determined that for the testing of non-integrated LED lamps, IES LM-79-
08 is the more relevant industry standard at the present time, as
compared to CIE S 025/E:2015. Further, DOE has reviewed IES LM-79-08
and finds it appropriate for testing non-integrated LED lamps for the
purpose of determining compliance with the applicable energy efficiency
standards.
However, because non-integrated LED lamps are not included in the
applicable scope of this industry standard, DOE finds that additional
instruction is necessary to ensure consistent and repeatable results.
Specifically, DOE finds that IES LM-79-08 provides no information on
which external ballast/driver or power supply to use for testing. After
reviewing the approaches of independent test laboratories, DOE proposes
that non-integrated LED lamps be tested according to IES LM-79-08,
using the manufacturer-declared input voltage and current as the power
supply. These quantities are typically not reported on the product
packaging or in manufacturer literature. (DOE noted only two companies
that do so.) DOE is therefore proposing to revise the requirements for
certification reports to include these quantities for non-integrated
LED lamps. While manufacturers usually list compatible ballasts/drivers
for these products, DOE notes that it is unknown on which ballast/
driver these lamps may operate when installed in the field.
Furthermore, the test procedure should produce consistent and
repeatable results. By requiring these lamps to be tested using the
manufacturer-declared input voltage and current as the power supply,
DOE's proposed approach is consistent with the industry practice of
using reference ballasts for non-integrated lamps, such as non-
integrated CFLs and GSFLs. For those products, industry standards (and
DOE's test procedures) specify electrical settings for reference
ballasts and each product is tested using those same settings.
[[Page 47075]]
Because industry has not yet developed reference ballast/driver
settings for non-integrated LED lamps, DOE proposes that the
manufacturers report the settings that are used. The use of reference
settings allows for a consistent and comparable assessment of the
lamp's performance. Therefore, DOE proposes the requirement that non-
integrated LED lamps be tested according to IES LM-79-08, using the
manufacturer-declared input voltage and current as the power supply.
DOE requests DOE requests comment on the appropriateness of referencing
IES LM-79-08 for the testing of non-integrated LED lamps. DOE also
requests comment on the proposed requirement that manufacturers report
the settings used for testing, specifically input voltage and current,
and whether additional settings are needed to ensure consistent,
repeatable results. Finally, DOE requests comment on whether the
manufacturer-declared settings should be made available to the public
so that accurate comparisons across products could be made.
Regarding the testing of other fluorescent lamps, OSI and NEMA
commented that testing per sections 4 through 6 of IES LM-9-09 would be
appropriate for double-ended fluorescent lamps, but questioned whether
double-ended fluorescent lamps would be subject to the test procedures
as these lamps would likely be considered general service fluorescent
lamps, a type of lamp excluded from the definition of GSL. OSI
suggested that sections 4 through 6 of IES LM-66-14 would be more
applicable to cite as the test procedure for ``other fluorescent
lamps.'' Specifically, OSI stated that IES LM-66-14 was the appropriate
industry standard to reference for the commercially available induction
lamps meeting the definition of GSL. (OSI, No. 3 at p. 2; NEMA, No. 6
at p. 3)
DOE has proposed to define compact fluorescent lamp as an
integrated or non-integrated single-base, low-pressure mercury,
electric-discharge source in which a fluorescing coating transforms
some of the ultraviolet energy generated by the mercury discharge into
light; the term does not include circline or U shaped fluorescent
lamps. 80 FR at 45739. This proposed definition of CFL aligns with the
scope of IES LM-66-14, which states that it describes test procedures
for obtaining measurements of single-based fluorescent lamps, including
both electrode and electrodeless (i.e., induction) versions. The
introduction of IES LM-66-14 states, as does DOE's definition of CFL,
that it does not include circline or U-shaped fluorescent lamps. Thus,
DOE has tentatively concluded that lamps meeting DOE's definition of
CFL will be required to use test procedures in appendix W to subpart B
of 10 CFR 430, which predominantly references IES LM-66-14 for test
methods. DOE expects that single-based fluorescent lamps that are GSLs
will be within the definition of CFL, and thus subject to the test
procedures that reference IES LM-66-14.
While DOE is unaware of any lamps currently on the market that
would be subject to testing as ``other fluorescent lamps,'' test
procedures must be established for all potentially covered products. To
address other fluorescent lamps that would not meet the definition of
CFL but would otherwise be defined as GSLs (i.e., double-ended
fluorescent lamps), DOE has maintained the reference to IES LM-9-09 in
this SNOPR.
OSI and NEMA supported the use of IES LM-20-13 for other
incandescent lamps that are reflector lamps, but disagreed with
referencing sections 4 through 8, especially section 7, as well as the
lack of specific instructions to deviate from IES LM-20-13. OSI and
NEMA noted that the March 2016 GSL ECS NOPR did not propose any
requirements for beam angle, beam lumens, center beam candlepower, or
beam pattern classification (the lamp characteristics measured under
the test procedures in section 7 of IES LM-20-13) and thus recommended
omitting reference to this section. NEMA also expressed confusion
regarding DOE's inclusion of section 7, wondering whether its inclusion
was an indication that goniophotometer systems may be allowed to
measure luminous flux. NEMA recommended instead that DOE reference
Appendix R to subpart B of 10 CFR 430 (test procedures for incandescent
reflector lamps) for the testing of other incandescent lamps that are
reflector lamps. (NEMA, No. 6 at p. 3)
For this SNOPR, DOE again reviewed the referenced sections (i.e.,
sections 4 through 8) of IES LM-20-13. DOE agrees that referencing
section 7 of LM-20-13 is unnecessary because it addresses the
measurement of values for which standards have not been proposed, such
as beam angle, field angle, and beam flux values. Furthermore, section
7 specifies the use of a goniophotometer. As proposed in the March 2016
GSL TP NOPR and maintained in this document, the active mode test
procedure does not allow the use of a goniophotometer. For these
reasons, the reference to section 7 of IES LM-20-13 has been removed
from the test procedure in this SNOPR.
DOE has determined not to reference appendix R for the testing of
other incandescent lamps that are reflector lamps. DOE notes that the
content of the referenced sections (sections 4, 5, 6, and 8) of IES LM-
20-13 are consistent with the content of the sections of IES LM-20-94
referenced in appendix R. However, DOE has chosen not to reference
Appendix R in order to avoid potential confusion; appendix R is
applicable to incandescent reflector lamps but these lamps are not
included in the definition of GSL. Therefore, for GSLs that are other
incandescent lamps that are reflector lamps, DOE proposes referencing
sections 4, 5, 6, and 8 of IES LM-20-13.
DOE did not receive any comments on referring to appendix R for
general service incandescent lamps, to Appendix BB for integrated LED
lamps, to IES LM-45-15 for other incandescent lamps that are not
reflector lamps, or to IES LM-79-08 for OLED lamps. DOE did, however,
review all references to industry standards to ensure that only
necessary sections were referenced, as described in the previous
paragraph. DOE removed all references to sections describing luminous
intensity and/or color measurements as these are not necessary for the
metrics covered by the test procedure. DOE also made references to IES
LM-79-08 consistent with sections referenced in the July 2016 LED TP
final rule; that is, DOE added a reference to section 1.3 (Nomenclature
and Definitions) and removed the reference to section 6.0 (Operating
Orientation). DOE instead specifies the appropriate operating
orientation directly in appendix DD. DOE requests comment on the
industry standards and sections of the industry standards referenced.
Table III.1--Test Procedures for General Service Lamps
------------------------------------------------------------------------
Lamp type Referenced test procedure
------------------------------------------------------------------------
General service incandescent lamps..... Appendix R to Subpart B of 10
CFR 430.
Compact fluorescent lamps.............. Appendix W to Subpart B of 10
CFR part 430.
[[Page 47076]]
Integrated LED lamps................... Appendix BB to Subpart B of 10
CFR part 430.
Other incandescent lamps that are not IES LM-45-15, sections 4-6, and
reflector lamps. section 7.1.
Other incandescent lamps that are IES LM-20-13, sections 4-6, and
reflector lamps. section 8.
Other fluorescent lamps................ IES LM-9-09, sections 4-6, and
section 7.5.
OLED lamps............................. IES LM-79-08, sections 1.3
(except 1.3[f]), 2.0, 3.0,
5.0, 7.0, 8.0, 9.1 and 9.2.
Non-integrated LED lamps............... IES LM-79-08, sections 1.3
(except 1.3[f]), 2.0, 3.0,
5.0, 7.0, 8.0, 9.1 and 9.2.
------------------------------------------------------------------------
C. Laboratory Accreditation
In the March 2016 GSL TP NOPR, DOE proposed to require that testing
of initial lumen output, input power, lamp efficacy, power factor, and
standby mode power (if applicable) for GSLs be conducted by test
laboratories accredited by the National Voluntary Laboratory
Accreditation Program (NVLAP) or an accrediting organization recognized
by the International Laboratory Accreditation Cooperation (ILAC). DOE
tentatively determined that since NVLAP is a member of ILAC, test data
collected by any laboratory accredited by an accrediting body
recognized by ILAC would be acceptable. 81 FR 14634. DOE noted that
under existing test procedure regulations, testing for other regulated
lighting products (such as general service fluorescent lamps,
incandescent reflector lamps, and fluorescent lamp ballasts), in
addition to general service lamps that must already comply with energy
conservation standards (such as general service incandescent lamps and
medium base compact fluorescent lamps), must be conducted in a
similarly accredited facility. 10 CFR 430.25.
DOE received several comments regarding lab accreditation. OSI and
NEMA disagreed with what they understood to be DOE's shift from the use
of test laboratories accredited by NVLAP or an accrediting organization
recognized by NVLAP, to test laboratories accredited by an
Accreditation Body that is a signatory member to the International
Laboratory Accreditation Cooperation (ILAC) Mutual Recognition
Arrangement (MRA). Citing to a 2013 version of the regulations, NEMA
commented that the March 2016 GSL TP NOPR did not adequately explain
why the non-GSL portions of the existing regulation needed to be
changed. (NEMA, No. 6 at p. 3)
The comments received suggest that some commenters may not be
familiar with the current regulatory text with regard to requirements
for test laboratories. DOE notes that it did not propose to change the
existing regulation as it relates to non-GSLs, but simply to include
the testing of GSLs in the existing regulatory provision. The existing
text in 10 CFR 430.25 states that the enumerated lamp types, including
general service fluorescent lamps and incandescent reflector lamps
(which are not general service lamps), must be tested by laboratories
accredited by ``an Accreditation Body that is a signatory member to the
International Laboratory Accreditation Cooperation (ILAC) Mutual
Recognition Arrangement (MRA).'' The discussion regarding NVLAP in the
preamble to the 2016 March GSL TP NOPR was intended to clarify that
testing could be conducted by a test laboratory accredited by NVLAP
given that NVLAP is a signatory member to the ILAC MRA. 81 FR 14634.
T[Uuml]V S[Uuml]D commented that the proposed language for Sec.
429.57(b)6, which requires each test report to include an NVLAP
identification number or other NVLAP-approved identification,
contradicts Sec. 430.25, which requires testing to be performed in a
laboratory accredited by an ILAC member. T[Uuml]V S[Uuml]D elaborated
that this prevents laboratories accredited by, for example, SCC
(Canada) or DAkks (Germany) from issuing a report with an NVLAP
identification number unless it has another accreditation with NVLAP.
T[Uuml]V S[Uuml]D recommended that DOE update the relevant portion of
Sec. 429.57(b)6 to read, `` . . . ILAC's accreditation bodies
identification number or other ILAC accreditation bodies--approved
identification . . . '' (T[Uuml]V S[Uuml]D, No. 2 at p. 1) DOE agrees
with this comment and is proposing to update the language in Sec.
429.57(b) to be consistent with Sec. 430.25 and to include the
recommended text. Similarly, DOE also proposes to update Sec. Sec.
429.27(b) and 429.35(b) to be consistent with Sec. 430.25.
UL commented that luminous efficacy results from lamp testing can
range from +25% to -25% due to variations in laboratory accuracy and
precision, which represents a significant range in the context of the
efficacy levels proposed in the March 2016 GSL ECS NOPR. UL further
commented that NVLAP accreditation is an accepted means to minimize
variability between different labs. UL noted that NVLAP is an ILAC
member, but NVLAP also requires participation in the National Institute
of Standards and Technology (NIST) proficiency-testing program for SSL,
which assists labs in improving and maintaining measurement accuracy
and precision. UL recommended that DOE require any lab accredited by an
ILAC member, other than NVLAP, to participate in the NIST SSL
proficiency program. UL noted that this has been a requirement of the
ENERGY STAR SSL program for many years. (UL, No. 4 at p. 2)
DOE notes that ISO/IEC 17025 states that a laboratory shall have
quality control procedures for monitoring the validity of tests and
calibrations undertaken.\7\ This monitoring may include the
participation in inter-laboratory comparisons or proficiency testing
programs. Other means may include the regular use of reference
materials, or replicate tests or calibrations using the same or
different methods. By these mechanisms a laboratory can provide
evidence of its competence to its clients, parties and accreditation
bodies. Participation in proficiency testing is not required to become
an ILAC signatory. However, ILAC and many of the accreditation bodies
that are signatories of the MRA encourage participation in proficiency
testing or inter-laboratory comparisons.\8\ Therefore, DOE has
tentatively concluded that requiring participation in proficiency
testing is unnecessary, as the accreditation process is designed to
ensure the competency of the testing laboratory through a variety of
mechanisms.
---------------------------------------------------------------------------
\7\ https://ilac.org/news/ilac-p9062014-published/.
\8\ https://ilac.org/ilac-mra-and-signatories/purpose/.
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NEMA recommended not deleting references to other products and
applicable test methods, such as the following quoted portion: ``The
testing for general service fluorescent lamps, general service
incandescent lamps, and
[[Page 47077]]
incandescent reflector lamps shall be performed in accordance with
Appendix R to this subpart. The testing for medium base compact
fluorescent lamps shall be performed in accordance with appendix W of
this subpart.'' (NEMA, No. 6 at p. 3)
It appears that in its comments NEMA is referencing a prior version
of 10 CFR 430.25. An amendment was made to 10 CFR 430.25 on June 5,
2015. 80 FR 31982. DOE notes that the text cited by NEMA does not
currently exist in 10 CFR 430.25 and that the testing provisions are
specified in 10 CFR 430.23.
D. Effective Date and Compliance Dates
DOE received comments regarding the compliance date proposed in the
March 2016 GSL TP NOPR. OSI and NEMA commented that the 180-day
compliance date places an undue burden on manufacturers. OSI and NEMA
commented that until there is a need to comply with an efficacy
standard, mandatory testing in CIE S 025 accredited laboratories would
be an excessive requirement. NEMA commented that this burden is
exacerbated given that many of the products proposed to be tested to
CIE S 025 will likely not be compliant with 2020 standards and thus
will cease manufacture and sales, causing a lost certification/
accreditation investment. (OSI, No. 3 at pp. 3-4; NEMA, No. 6 at pp. 3-
4)
As discussed in section III.B, DOE is not incorporating CIE S 025
by reference and therefore tentatively concludes that the compliance
date will not introduce unnecessary burden. As noted previously, the
referenced industry standard, IES LM-79-08, represents common industry
practice for testing non-integrated LED lamps.
If adopted, the test procedures proposed in this SNOPR for GSLs
that are not integrated LED lamps, CFLs, or GSILs, would be effective
30 days after publication in the Federal Register (referred to as the
``effective date''). Pursuant to EPCA, manufacturers of covered
products would be required to use the applicable test procedure as the
basis for determining that their products comply with the applicable
energy conservation standards. (42 U.S.C. 6295(s)) On or after 180 days
after publication of a final rule, any representations made with
respect to the energy use or efficiency of GSLs that are not integrated
LED lamps, CFLs, and GSILs would be required to be made in accordance
with the results of testing pursuant to the new test procedures. (42
U.S.C. 6293(c)(2))
DOE proposes that after the effective date and prior to the
compliance date of a GSL test procedure final rule, manufacturers may
voluntarily begin to make representations with respect to the energy
use or efficiency of GSLs that are not integrated LED lamps, CFLs, and
GSILs and when doing so must use the results of testing pursuant to
that final rule.
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
The Office of Management and Budget (OMB) has determined that test
procedure rulemakings do not constitute ``significant regulatory
actions'' under section 3(f) of Executive Order 12866, Regulatory
Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this
action was not subject to review under the Executive Order by the
Office of Information and Regulatory Affairs (OIRA) in the OMB.
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis (IRFA) for
any rule that by law must be proposed for public comment, unless the
agency certifies that the rule, if promulgated, will not have a
significant economic impact on a substantial number of small entities.
As required by Executive Order 13272, ``Proper Consideration of Small
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE
published procedures and policies on February 19, 2003 to ensure that
the potential impacts of its rules on small entities are properly
considered during the DOE rulemaking process. 68 FR 7990. DOE has made
its procedures and policies available on the Office of the General
Counsel's Web site: https://energy.gov/gc/office-general-counsel.
DOE reviewed the test procedures for GSLs proposed in this SNOPR
under the provisions of the Regulatory Flexibility Act and the
procedures and policies published on February 19, 2003. DOE certifies
that the proposed rule, if adopted, would not have a significant
economic impact on a substantial number of small entities. The factual
basis for this certification is set forth in the following paragraphs.
The Small Business Administration (SBA) considers a business entity
to be a small business, if, together with its affiliates, it employs
less than a threshold number of workers specified in 13 CFR part 121.
These size standards and codes are established by the North American
Industry Classification System (NAICS). Manufacturing of GSLs is
classified under NAICS 335110, ``Electric Lamp Bulb and Part
Manufacturing.'' The SBA sets a threshold of 1,250 employees or less
for an entity to be considered as a small business for this category.
In the March 2016 GSL TP NOPR, to estimate the number of companies
that could be small businesses that sell GSLs, DOE conducted a market
survey using publicly available information. DOE's research involved
information provided by trade associations (e.g., the National
Electrical Manufacturers' Association) and information from DOE's
Compliance Certification Management System (CCMS) Database, the
Environmental Protection Agency's ENERGY STAR Certified Light Bulbs
Database, LED Lighting Facts Database, previous rulemakings, individual
company Web sites, SBA's database, and market research tools (e.g.,
Hoover's reports). DOE screened out companies that did not meet the
definition of a ``small business'' or are completely foreign owned and
operated. DOE identified approximately 118 small businesses that sell
GSLs in the United States. 81 FR 14635.
For this SNOPR, DOE reviewed its estimated number of small
businesses. DOE updated its list of small businesses by revisiting the
information sources described in this preamble. DOE screened out
companies that do not meet the definition of a ``small business,'' or
are completely foreign owned and operated. DOE determined that nine
companies are small businesses that maintain domestic production
facilities for general service lamps.
In the March 2016 GSL TP NOPR, DOE proposed test procedures for
determining initial lumen output, input power, lamp efficacy, power
factor, and standby power of GSLs. DOE noted that several of the lamp
types included in the definition of general service lamp must already
comply with energy conservation standards and therefore test procedures
already existed for these lamps. If DOE test procedures already existed
or were proposed in an ongoing rulemaking (such as for general service
incandescent lamps, compact fluorescent lamps, and integrated LED
lamps), DOE proposed to reference them directly. For all other general
service lamps, DOE proposed new test procedures in the March 2016 GSL
TP NOPR. For the new test procedures, DOE proposed to reference the
most recent versions of relevant industry standards.
[[Page 47078]]
DOE estimated the testing costs and burden associated with
conducting testing according to the new test procedures proposed in the
March 2016 GSL TP NOPR for general service lamps. DOE did not consider
the costs and burdens associated with DOE test procedures that already
exist or that have been proposed in other ongoing rulemakings because
these have been or are being addressed separately. DOE also assessed
elements (testing methodology, testing times, and sample size) in the
proposed CFL and integrated LED lamp test procedures that could affect
costs associated with complying with this rule. Except for lab
accreditation costs associated with CIE S 025/E:2015, which has been
replaced with IES LM-79-08, the cost estimates of this SNOPR are the
same as those determined under the March 2016 GSL TP NOPR. The
following is an analysis of both in-house and third party testing costs
associated with this rulemaking.
In the March 2016 GSL TP NOPR, DOE estimated that the labor costs
associated with conducting in-house testing of initial lumen output,
input power, and standby mode power were $41.68 per hour. DOE
determined that calculating efficacy and power factor of a GSL would
not result in any incremental testing burden beyond the cost of
conducting the initial lumen output and input power testing. The cost
of labor was then calculated by multiplying the estimated hours of
labor by the hourly labor rate. For lamps not capable of operating in
standby mode, DOE estimated that testing in-house in accordance with
the appropriate proposed test procedure would require, at most, four
hours per lamp by an electrical engineering technician. For lamps
capable of operating in standby mode, DOE estimated that testing time
would increase to five hours per lamp due to the additional standby
mode power consumption test. DOE noted that these estimates are
representative of the time it would take to test the most labor
intensive technology, LED lamps. In total, DOE estimated that using the
test method prescribed in the March 2016 GSL TP NOPR to determine
initial light output and input power would result in an estimated labor
burden of $1,670 per basic model of certain GSLs and $2,080 per basic
model of certain GSLs that can operate in standby mode.
Because accreditation bodies \9\ impose a variety of fees during
the accreditation process, including fixed administrative fees,
variable assessment fees, and proficiency testing fees, DOE included as
an example the costs associated with maintaining a NVLAP-accredited
facility or a facility accredited by an organization recognized by
NVLAP in the March 2016 GSL TP NOPR. In the first year, for
manufacturers without NVLAP accreditation who choose to test in-house,
DOE estimated manufacturers on average would experience a maximum total
cost burden of about $2,210 per basic model tested or $2,630 per basic
model with standby mode power consumption testing.\10\
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\9\ As discussed in section III.D, laboratories can be
accredited by any accreditation body that is a signatory member to
the ILAC MRA. DOE based its estimate of the costs associated with
accreditation on the NVLAP accreditation body.
\10\ NVLAP costs are fixed and were distributed based on an
estimate of 28 basic models per manufacturer.
---------------------------------------------------------------------------
Additionally, DOE requested pricing from independent testing
laboratories for testing GSLs. DOE estimated the cost for testing at an
independent laboratory to be up to $1,070 per basic model. This
estimate included the cost of accreditation as quotes were obtained
from accredited laboratories.
DOE received comments from NEMA and OSI regarding the burden of
testing non-integrated LED lamps in laboratories accredited to CIE
standard CIE S 025/E:2015. NEMA and OSI commented that the small
product sector of non-integrated LED lamps did not justify accrediting
a lab to the CIE standard for such limited testing needs. (OSI, No. 3
at p. 2; NEMA, No. 6 at p. 2) They noted that the test facilities
generally used by the lighting industry are not accredited for this
referenced CIE test method, and would need to obtain and maintain this
accreditation. OSI and NEMA commented that certifying a lab to CIE S
025 could cost approximately $10,000.00, which would be burdensome for
all labs, regardless of size. OSI and NEMA noted that the current cost
for CIE S 025/E:2015 is $241.00, compared to $25.00 for IES LM-79-08.
OSI and NEMA further stated that the cost of the normative standards
associated with CIE S 025/E:2015 must also be considered, including CIE
84-1989, which costs [euro]98.46 and is not currently available from
familiar sources. OSI and NEMA believe these costs could be burdensome
for a small manufacturer. (OSI, No. 3 at pp. 3-4; NEMA, No. 6 at pp. 3-
4)
As discussed in section III.B, DOE is no longer referencing CIE S
025 to test non-integrated LED lamps. Instead, DOE proposes to
reference IES LM-79-08 which is also referenced for the testing of
integrated LED lamps and OLED lamps. Because labs are already required
to be accredited to IES LM-79-08 for testing integrated LED lamps per
DOE's test procedure in Appendix BB and per ENERGY STAR's Lamps
specification, DOE believes the majority of manufacturers and
independent laboratories already have this accreditation. Therefore,
DOE does not believe it is unduly burdensome to manufacturers or
independent laboratories to be properly accredited to this standard.
DOE notes that its proposed test procedures directly reference
existing industry standards that have been approved for widespread use
by lamp manufacturers and test laboratories. The quantities that are
directly measured, namely initial lumen output and input power, are
commonly reported by the manufacturer on product packaging and on
product specification sheets. Thus, testing for these quantities is
already being conducted. Additionally, these quantities are required to
be reported to ENERGY STAR if manufacturers certify the lamps as
meeting the program requirements. Standby mode power consumption is
also a reported quantity for the ENERGY STAR program, though it may not
be a commonly reported value for lamps that are not certified with
ENERGY STAR. In reviewing the lamps for which DOE proposes new test
procedures in this rulemaking, DOE notes that very few products can
operate in standby mode and therefore very few products would be
required to make representations of standby mode energy consumption.
Although DOE has proposed the requirement that all testing be conducted
in accredited laboratories, DOE believes that many manufacturers of
these products have already accredited their own in-house laboratories
because they also make products such as general service incandescent
lamps and medium base compact fluorescent lamps that are required to be
tested in similarly accredited laboratories.
In summary, DOE does not consider the test procedures proposed in
this SNOPR to have a significant economic impact on small entities. The
final cost per manufacturer primarily depends on the number of basic
models the manufacturer sells. These are not annual costs because DOE
does not require manufacturers to retest a basic model annually. The
initial test results used to generate a certified rating for a basic
model remain valid as long as the basic model has not been modified
from the tested design in a way that makes it less efficient or more
consumptive, which would require a change to the certified rating. If a
manufacturer has modified a basic model in a way that makes it more
efficient or less consumptive, new testing is required only if the
manufacturer wishes to make
[[Page 47079]]
representations of the new, more efficient rating.
Based on the criteria outlined earlier and the reasons discussed in
this preamble, DOE tentatively concludes and certifies that the new
proposed test procedures would not have a significant economic impact
on a substantial number of small entities, and the preparation of an
IRFA is not warranted. DOE will transmit the certification and
supporting statement of factual basis to the Chief Counsel for Advocacy
of the SBA for review under 5 U.S.C. 605(b).
C. Review Under the Paperwork Reduction Act of 1995
DOE established regulations for the certification and recordkeeping
requirements for certain covered consumer products and commercial
equipment. 10 CFR part 429, subpart B. This collection-of-information
requirement was approved by OMB under OMB control number 1910-1400.
DOE requested OMB approval of an extension of this information
collection for three years, specifically including the collection of
information proposed in the present rulemaking, and estimated that the
annual number of burden hours under this extension is 30 hours per
company. In response to DOE's request, OMB approved DOE's information
collection requirements covered under OMB control number 1910-1400
through November 30, 2017. 80 FR 5099 (January 30, 2015).
Notwithstanding any other provision of the law, no person is
required to respond to, nor must any person be subject to a penalty for
failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB control number.
D. Review Under the National Environmental Policy Act of 1969
In this proposed rule, DOE proposes test procedures for certain
categories of GSLs that will be used to support the ongoing GSL
standards rulemaking. DOE has determined that this rule falls into a
class of actions that are categorically excluded from review under the
National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and
DOE's implementing regulations at 10 CFR part 1021. Specifically, this
proposed rule adopts existing industry test procedures for certain
categories of general service lamps, so it will not affect the amount,
quality or distribution of energy usage, and, therefore, will not
result in any environmental impacts. Thus, this rulemaking is covered
by Categorical Exclusion A6 under 10 CFR part 1021, subpart D.
Accordingly, neither an environmental assessment nor an environmental
impact statement is required.
E. Review Under Executive Order 13132
Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4,
1999), imposes certain requirements on agencies formulating and
implementing policies or regulations that preempt State law or that
have Federalism implications. The Executive Order requires agencies to
examine the constitutional and statutory authority supporting any
action that would limit the policymaking discretion of the States and
to carefully assess the necessity for such actions. The Executive Order
also requires agencies to have an accountable process to ensure
meaningful and timely input by State and local officials in the
development of regulatory policies that have Federalism implications.
On March 14, 2000, DOE published a statement of policy describing the
intergovernmental consultation process it will follow in the
development of such regulations. 65 FR 13735. DOE has examined this
proposed rule and determined that it will not have a substantial direct
effect on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. EPCA governs
and prescribes Federal preemption of State regulations as to energy
conservation for the products that are the subject of this proposed
rule. States can petition DOE for exemption from such preemption to the
extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297(d))
No further action is required by Executive Order 13132.
F. Review Under Executive Order 12988
Regarding the review of existing regulations and the promulgation
of new regulations, section 3(a) of Executive Order 12988, ``Civil
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal
agencies the general duty to adhere to the following requirements: (1)
Eliminate drafting errors and ambiguity; (2) write regulations to
minimize litigation; (3) provide a clear legal standard for affected
conduct rather than a general standard; and (4) promote simplification
and burden reduction. Section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation (1) clearly specifies the
preemptive effect, if any; (2) clearly specifies any effect on existing
Federal law or regulation; (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction;
(4) specifies the retroactive effect, if any; (5) adequately defines
key terms; and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
sections 3(a) and 3(b) to determine whether they are met or it is
unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
the proposed rule meets the relevant standards of Executive Order
12988.
G. Review Under the Unfunded Mandates Reform Act of 1995
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA)
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments and the
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a proposed regulatory action resulting in a rule that may cause the
expenditure by State, local, and Tribal governments, in the aggregate,
or by the private sector of $100 million or more in any one year
(adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under UMRA. 62 FR 12820; also available
at https://energy.gov/gc/office-general-counsel. DOE examined this
proposed rule according to UMRA and its statement of policy and
determined that the rule contains neither an intergovernmental mandate,
nor a mandate that may result in the expenditure of $100 million or
more in any year, so these requirements do not apply.
[[Page 47080]]
H. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Public Law 105-277) requires Federal agencies to issue a
Family Policymaking Assessment for any rule that may affect family
well-being. This rule will not have any impact on the autonomy or
integrity of the family as an institution. Accordingly, DOE has
concluded that it is not necessary to prepare a Family Policymaking
Assessment.
I. Review Under Executive Order 12630
DOE has determined, under Executive Order 12630, ``Governmental
Actions and Interference with Constitutionally Protected Property
Rights'' 53 FR 8859 (March 18, 1988), that this regulation will not
result in any takings that might require compensation under the Fifth
Amendment to the U.S. Constitution.
J. Review Under Treasury and General Government Appropriations Act,
2001
Section 515 of the Treasury and General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most
disseminations of information to the public under guidelines
established by each agency pursuant to general guidelines issued by
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has
reviewed this proposed rule under the OMB and DOE guidelines and has
concluded that it is consistent with applicable policies in those
guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OMB,
a Statement of Energy Effects for any significant energy action. A
``significant energy action'' is defined as any action by an agency
that promulgated or is expected to lead to promulgation of a final
rule, and that (1) is a significant regulatory action under Executive
Order 12866, or any successor order; and (2) is likely to have a
significant adverse effect on the supply, distribution, or use of
energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any significant energy action, the
agency must give a detailed statement of any adverse effects on energy
supply, distribution, or use if the regulation is implemented, and of
reasonable alternatives to the action and their expected benefits on
energy supply, distribution, and use.
This regulatory action to propose test procedures for certain
categories of GSLs is not a significant regulatory action under
Executive Order 12866. Moreover, it would not have a significant
adverse effect on the supply, distribution, or use of energy, nor has
it been designated as a significant energy action by the Administrator
of OIRA. Therefore, it is not a significant energy action, and,
accordingly, DOE has not prepared a Statement of Energy Effects.
L. Review Under Section 32 of the Federal Energy Administration Act of
1974
Under section 301 of the Department of Energy Organization Act
(Public Law 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of
the Federal Energy Administration Act of 1974, as amended by the
Federal Energy Administration Authorization Act of 1977. (15 U.S.C.
788; FEAA) Section 32 essentially provides in relevant part that, where
a proposed rule authorizes or requires use of commercial standards, the
notice of proposed rulemaking must inform the public of the use and
background of such standards. In addition, section 32(c) requires DOE
to consult with the Attorney General and the Chairman of the Federal
Trade Commission (FTC) concerning the impact of the commercial or
industry standards on competition.
The proposed test procedures for certain categories of GSLs
incorporate testing methods contained in certain sections of the
following commercial standards:
(1) IES LM-45-15, ``IES Approved Method for the Electrical and
Photometric Measurement of General Service Incandescent Filament
Lamps,'' 2015;
(2) IES LM-20-13, ``IES Approved Method for Photometry of Reflector
Type Lamps,'' 2013;
(3) IES LM-79-08, ``Approved Method: Electrical and Photometric
Measurements of Solid-State Lighting Products,'' 2008;
(4) IES LM-9-09, ``IES Approved Method for the Electrical and
Photometric Measurement of Fluorescent Lamps,'' 2009; and
(5) IEC Standard 62301 (Edition 2.0), ``Household electrical
appliances--Measurement of standby power,'' 2011.
DOE has evaluated these standards and is unable to conclude whether
they fully comply with the requirements of section 32(b) of the FEAA
(i.e., that they were developed in a manner that fully provides for
public participation, comment, and review.) DOE will consult with both
the Attorney General and the Chairman of the FTC concerning the impact
of these test procedures on competition, prior to prescribing a final
rule.
M. Description of Materials Incorporated by Reference
In this SNOPR, DOE proposes to incorporate by reference certain
sections of the test standard published by IEC, titled ``Household
electrical appliances--Measurement of standby power (Edition 2.0),''
IEC 62301-DD. IEC 62301-DD is an industry accepted test standard that
describes measurements of electrical power consumption in standby mode,
off mode, and network mode. The test procedures proposed in this SNOPR
reference sections of IEC 62301-DD for testing standby mode power
consumption of GSLs. IEC 62301-DD is readily available on IEC's Web
site at https://webstore.iec.ch/home.
DOE also proposes to incorporate by reference specific sections of
the test standard published by IES, titled ``IES Approved Method for
the Electrical and Photometric Measurement of Fluorescent Lamps,'' IES
LM-9-09-DD. IES LM-9-09-DD is an industry accepted test standard that
specifies procedures to be observed in performing measurements of
electrical and photometric characteristics of fluorescent lamps under
standard conditions. The test procedures proposed in this SNOPR
reference sections of IES LM-9-09-DD for performing electrical and
photometric measurements of other fluorescent lamps. IES LM-9-09-DD is
readily available on IES's Web site at www.ies.org/store/.
DOE also proposes to incorporate by reference specific sections of
the test standard published by IES, titled ``IES Approved Method for
Photometry of Reflector Type Lamps,'' IES LM-20-13. IES LM-20-13 is an
industry accepted test standard that specifies photometric test methods
for reflector lamps. The test procedures proposed in this SNOPR
reference sections of IES LM-20-13 for performing electrical and
photometric measurements of other incandescent lamps that are reflector
lamps. IES LM-20-13 is readily available on IES's Web site at
www.ies.org/store.
DOE also proposes to incorporate by reference specific sections of
the test standard published by IES, titled ``IES Approved Method for
the Electrical and Photometric Measurement of General Service
Incandescent Filament Lamps,'' IES LM-45-15. IES LM-45-15 is an
industry accepted test standard that
[[Page 47081]]
specifies procedures to be observed in performing measurements of
electrical and photometric characteristics of general service
incandescent filament lamps under standard conditions. The test
procedures proposed in this SNOPR reference sections of IES LM-45-15
for performing electrical and photometric measurements of other
incandescent lamps that are not reflector lamps. IES LM-45-15 is
readily available on IES's Web site at www.ies.org/store/.
DOE also proposes to incorporate by reference specific sections of
the test standard published by IES, titled ``IES Approved Method for
the Electrical and Photometric Measurement of Solid-State Lighting
Products,'' IES LM-79-08-DD. IES LM-79-08-DD is an industry accepted
test standard that specifies electrical and photometric test methods
for solid-state lighting products. The test procedures proposed in this
SNOPR reference sections of IES LM-79-08-DD for performing electrical
and photometric measurements of OLED lamps and non-integrated LED
lamps. IES LM-79-08 is readily available on IES's Web site at
www.ies.org/store.
V. Public Participation
A. Submission of Comments
DOE will accept comments, data, and information regarding this
proposed rule no later than the date provided in the DATES section at
the beginning of this SNOPR. Interested parties may submit comments,
data, and other information using any of the methods described in the
ADDRESSES section at the beginning of this SNOPR.
Submitting comments via www.regulations.gov. The
www.regulations.gov Web page will require you to provide your name and
contact information. Your contact information will be viewable to DOE
Building Technologies staff only. Your contact information will not be
publicly viewable except for your first and last names, organization
name (if any), and submitter representative name (if any). If your
comment is not processed properly because of technical difficulties,
DOE will use this information to contact you. If DOE cannot read your
comment due to technical difficulties and cannot contact you for
clarification, DOE may not be able to consider your comment.
However, your contact information will be publicly viewable if you
include it in the comment or in any documents attached to your comment.
Any information that you do not want to be publicly viewable should not
be included in your comment, nor in any document attached to your
comment. Persons viewing comments will see only first and last names,
organization names, correspondence containing comments, and any
documents submitted with the comments.
Do not submit to regulations.gov information for which disclosure
is restricted by statute, such as trade secrets and commercial or
financial information (hereinafter referred to as Confidential Business
Information (CBI)). Comments submitted through regulations.gov cannot
be claimed as CBI. Comments received through the Web site will waive
any CBI claims for the information submitted. For information on
submitting CBI, see the Confidential Business Information section.
DOE processes submissions made through www.regulations.gov before
posting. Normally, comments will be posted within a few days of being
submitted. However, if large volumes of comments are being processed
simultaneously, your comment may not be viewable for up to several
weeks. Please keep the comment tracking number that regulations.gov
provides after you have successfully uploaded your comment.
Submitting comments via email, hand delivery, or mail. Comments and
documents submitted via email, hand delivery, or mail also will be
posted to www.regulations.gov. If you do not want your personal contact
information to be publicly viewable, do not include it in your comment
or any accompanying documents. Instead, provide your contact
information on a cover letter. Include your first and last names, email
address, telephone number, and optional mailing address. The cover
letter will not be publicly viewable as long as it does not include any
comments.
Include contact information each time you submit comments, data,
documents, and other information to DOE. If you submit via mail or hand
delivery, please provide all items on a CD, if feasible. It is not
necessary to submit printed copies. No facsimiles (faxes) will be
accepted.
Comments, data, and other information submitted to DOE
electronically should be provided in PDF (preferred), Microsoft Word or
Excel, WordPerfect, or text (ASCII) file format. Provide documents that
are not secured, written in English and free of any defects or viruses.
Documents should not contain special characters or any form of
encryption and, if possible, they should carry the electronic signature
of the author.
Campaign form letters. Please submit campaign form letters by the
originating organization in batches of between 50 to 500 form letters
per PDF or as one form letter with a list of supporters' names compiled
into one or more PDFs. This reduces comment processing and posting
time.
Confidential Business Information. According to 10 CFR 1004.11, any
person submitting information that he or she believes to be
confidential and exempt by law from public disclosure should submit via
email, postal mail, or hand delivery two well-marked copies: One copy
of the document marked confidential including all the information
believed to be confidential, and one copy of the document marked non-
confidential with the information believed to be confidential deleted.
Submit these documents via email or on a CD, if feasible. DOE will make
its own determination about the confidential status of the information
and treat it according to its determination.
Factors of interest to DOE when evaluating requests to treat
submitted information as confidential include: (1) A description of the
items; (2) whether and why such items are customarily treated as
confidential within the industry; (3) whether the information is
generally known by or available from other sources; (4) whether the
information has previously been made available to others without
obligation concerning its confidentiality; (5) an explanation of the
competitive injury to the submitting person which would result from
public disclosure; (6) when such information might lose its
confidential character due to the passage of time; and (7) why
disclosure of the information would be contrary to the public interest.
It is DOE's policy that all comments may be included in the public
docket, without change and as received, including any personal
information provided in the comments (except information deemed to be
exempt from public disclosure).
B. Issues on Which DOE Seeks Comment
Although comments are welcome on all aspects of this proposed
rulemaking, DOE is particularly interested in comments on the following
issues.
(1) DOE requests comment on the appropriateness of referencing IES
LM-79-08 for the testing of non-integrated LED lamps. DOE also requests
comment on the proposed requirement that manufacturers report the
settings used for the testing of non-integrated LED lamps, specifically
input voltage and current, and whether additional settings are needed
to ensure consistent, repeatable results. DOE requests comment on
whether the manufacturer-
[[Page 47082]]
declared settings should be made available to the public so that
accurate comparisons across products could be made.
(2) DOE requests comment on the industry standards and sections of
the industry standards referenced in its proposed test methods.
VI. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this proposed
rule.
List of Subjects
10 CFR Part 429
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Reporting and
recordkeeping requirements.
10 CFR Part 430
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Incorporation by reference, Intergovernmental relations, Small
businesses.
Issued in Washington, DC, on July 8, 2016.
Steven G. Chalk,
Deputy Assistant Secretary for Operations, Energy Efficiency and
Renewable Energy.
For the reasons stated in the preamble, DOE proposes to amend parts
429 and 430 of chapter II of title 10, Code of Federal Regulations as
set forth below:
PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT
0
1. The authority citation for part 429 continues to read as follows:
Authority: 42 U.S.C. 6291-6317.
0
2. Section 429.27 is amended by revising paragraphs (b)(2)(i), (ii) and
(iii) to read as follows:
Sec. 429.27 General service fluorescent lamps, general service
incandescent lamps, and incandescent reflector lamps.
* * * * *
(b) * * *
(2) * * *
(i) General service fluorescent lamps. The testing laboratory's
ILAC accreditation body's identification number or other approved
identification assigned by the ILAC accreditation body, production
dates of the units tested, the 12-month average lamp efficacy in lumens
per watt (lm/W), lamp wattage (W), correlated color temperature in
Kelvin (K), and the 12-month average Color Rendering Index (CRI).
(ii) Incandescent reflector lamps. The testing laboratory's ILAC
accreditation body's identification number or other approved
identification assigned by the ILAC accreditation body, production
dates of the units tested, the 12-month average lamp efficacy in lumens
per watt (lm/W), and lamp wattage (W).
(iii) General service incandescent lamps, The testing laboratory's
ILAC accreditation body's identification number or other approved
identification assigned by the ILAC accreditation body, production
dates of the units tested, the 12-month average maximum rate wattage in
watts (W), the 12-month average minimum rated lifetime (hours), and the
12-month average Color Rendering Index (CRI).
* * * * *
0
3. Section 429.35 is amended by revising paragraph (b)(2) to read as
follows:
Sec. 429.35 Bare or covered (no reflector) medium base compact
fluorescent lamps.
* * * * *
(b) * * *
(2) Pursuant to Sec. 429.12(b)(13), a certification report shall
include the following public product-specific information: The testing
laboratory's ILAC accreditation body's identification number or other
approved identification assigned by the ILAC accreditation body, the
minimum initial efficacy in lumens per watt (lm/W), the lumen
maintenance at 1,000 hours in percent (%), the lumen maintenance at 40
percent of rated life in percent (%), the rapid cycle stress test in
number of units passed, and the lamp life in hours (h).
0
4. Section 429.57 is added to read as follows:
Sec. 429.57 General service lamps.
(a) Determination of represented value. Manufacturers must
determine represented values, which includes certified ratings, for
each basic model of general service lamp in accordance with following
sampling provisions.
(1) The requirements of Sec. 429.11 are applicable to general
service lamps, and
(2) For general service incandescent lamps, use Sec. 429.27(a);
(3) For compact fluorescent lamps, use Sec. 429.35(a);
(4) For integrated LED lamps, use Sec. 429.56(a);
(5) For other incandescent lamps, use Sec. 429.27(a);
(6) For other fluorescent lamps, use Sec. 429.35(a); and
(7) For OLED lamps and non-integrated LED lamps, use Sec.
429.56(a).
(b) Certification reports. (1) The requirements of Sec. 429.12 are
applicable to general service lamps;
(2) Values reported in certification reports are represented
values;
(3) For general service incandescent lamps, use Sec. 429.27(b);
(4) For compact fluorescent lamps, use Sec. 429.35(b);
(5) For integrated LED lamps, use Sec. 429.56(b); and
(6) For other incandescent lamps, for other fluorescent lamps, for
OLED lamps and non-integrated LED lamps, pursuant to Sec.
429.12(b)(13), a certification report must include the following public
product-specific information: The testing laboratory's ILAC
accreditation body's identification number or other approved
identification assigned by the ILAC accreditation body, initial lumen
output, input power, lamp efficacy, and power factor. For non-
integrated LED lamps, the certification report must also include the
input voltage and current used for testing.
(c) Rounding requirements. (1) Round input power to the nearest
tenth of a watt.
(2) Round initial lumen output to three significant digits.
(3) Round lamp efficacy to the nearest tenth of a lumen per watt.
(4) Round power factor to the nearest hundredths place.
(5) Round standby mode power to the nearest tenth of a watt.
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
0
5. The authority citation for part 430 continues to read as follows:
Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.
0
6. Section 430.3 is amended by:
0
a. Redesignating paragraph (o)(3) as (o)(4);
0
b. Adding paragraph (o)(3);
0
c. Redesignating paragraph (o)(4) as (o)(5);
0
d. Redesignating paragraph (o)(5) as (o)(7);
0
e. Redesignating paragraph (o)(6) as (o)(9);
0
e. Adding new paragraph (o)(6);
0
f. Redesignating paragraph (o)(8) as (o)(11);
0
g. Adding new paragraph (o)(8);
0
f. Redesignating paragraphs (o)(7) and (o)(9) as (o)(10) and (o)(12);
and
0
g. Adding paragraphs (o)(13) and (p)(6).
The additions read as follows:
Sec. 430.3 Materials incorporated by reference.
* * * * *
[[Page 47083]]
(o) * * *
(3) IES LM-9-09 (``IES LM-9-09-DD''), IES Approved Method for the
Electrical and Photometric Measurement of Fluorescent Lamps, approved
January 31, 2009; IBR approved for appendix DD to subpart B, as
follows:
(i) Section 4--Ambient and Physical Conditions;
(ii) Section 5--Electrical Conditions;
(iii) Section 6--Lamp Test Procedures; and
(iv) Section 7--Photometric Test Procedures: Section 7.5--
Integrating Sphere Measurement.
* * * * *
(6) IES LM-20-13, IES Approved Method for Photometry of Reflector
Type Lamps, approved February 4, 2013; IBR approved for appendix DD to
subpart B, as follows:
(i) Section 4--Ambient and Physical Conditions;
(ii) Section 5--Electrical and Photometric Test Conditions;
(iii) Section 6--Lamp Test Procedures; and
(iv) Section 8--Total Flux Measurements by Integrating Sphere
Method.
* * * * *
(8) IES LM-45-15, IES Approved Method for the Electrical and
Photometric Measurement of General Service Incandescent Filament Lamps,
approved August 8, 2015; IBR approved for appendix DD to subpart B as
follows:
(i) Section 4--Ambient and Physical Conditions;
(ii) Section 5--Electrical Conditions;
(iii) Section 6--Lamp Test Procedures; and
(iv) Section 7--Photometric Test Procedures: Section 7.1--Total
Luminous Flux Measurements with an Integrating Sphere.
* * * * *
(13) IES LM-79-08 (``IES LM-79-08-DD''), IES Approved Method for
the Electrical and Photometric Measurement of Solid-State Lighting
Products, approved January 31, 2009; IBR approved for appendix DD to
subpart B as follows:
(i) Section 1.3--Nomenclature and Definitions (except section
1.3[f]);
(ii) Section 2.0--Ambient Conditions;
(iii) Section 3.0--Power Supply Characteristics;
(iv) Section 5.0--Stabilization of SSL Product;
(v) Section 7.0--Electrical Settings;
(vi) Section 8.0--Electrical Instrumentation;
(vii) Section 9--Test Methods for Total Luminous Flux measurement:
Section 9.1 Integrating Sphere with a Spectroradiometer (Sphere-
spectroradiometer System); and
(viii) Section 9--Test Methods for Total Luminous Flux measurement:
Section 9.2--Integrating Sphere with a Photometer Head (Sphere-
photometer System).
* * * * *
(p) * * *
(6) IEC 62301, (``IEC 62301-DD''), Household electrical
appliances--Measurement of standby power, (Edition 2.0, 2011-01); IBR
approved for appendix DD to subpart B as follows:
(i) Section 5--Measurements.
* * * * *
0
7. Section 430.23 is amended by adding paragraph (ff) to read as
follows:
Sec. 430.23 Test procedures for the measurement of energy and water
consumption.
* * * * *
(ff) General Service Lamps. (1) For general service incandescent
lamps, measure lamp efficacy in accordance with paragraph (r) of this
section.
(2) For compact fluorescent lamps, measure lamp efficacy, lumen
maintenance at 1,000 hours, lumen maintenance at 40 percent of
lifetime, rapid cycle stress, time to failure, power factor, CRI, start
time, and standby mode power in accordance with paragraph (y) of this
section.
(3) For integrated LED lamps, measure lamp efficacy, power factor,
and standby mode power in accordance with paragraph (ee) of this
section.
(4) For other incandescent lamps, measure initial light output,
input power, lamp efficacy, power factor, and standby mode power in
accordance with appendix DD of this subpart.
(5) For other fluorescent lamps, measure initial light output,
input power, lamp efficacy, power factor, and standby mode power in
accordance with appendix DD of this subpart.
(6) For OLED and non-integrated LED lamps, measure initial light
output, input power, lamp efficacy, power factor, and standby mode
power in accordance with appendix DD of this subpart.
0
8. Section 430.25 is revised to read as follows:
Sec. 430.25 Laboratory Accreditation Program.
The testing for general service fluorescent lamps, general service
lamps (with the exception of applicable lifetime testing), incandescent
reflector lamps, and fluorescent lamp ballasts must be conducted by
test laboratories accredited by an Accreditation Body that is a
signatory member to the International Laboratory Accreditation
Cooperation (ILAC) Mutual Recognition Arrangement (MRA). A
manufacturer's or importer's own laboratory, if accredited, may conduct
the applicable testing.
0
9. Appendix DD to subpart B of part 430 is added to read as follows:
Appendix DD to Subpart B of Part 430--Uniform Test Method for Measuring
the Energy Consumption and Energy Efficiency of General Service Lamps
that are not General Service Incandescent Lamps, Compact Fluorescent
Lamps, or Integrated LED Lamps.
Note: On or after [INSERT DATE 180 DAYS AFTER DATE OF
PUBLICATION OF THE FINAL RULE IN THE FEDERAL REGISTER], any
representations, including certifications of compliance (if
required), made with respect to the energy use or efficiency of
general service lamps that are not general service incandescent
lamps, compact fluorescent lamps, or integrated LED lamps must be
made in accordance with the results of testing pursuant to this
appendix DD.
1. Scope: This appendix DD specifies the test methods required
to measure the initial lumen output, input power, lamp efficacy,
power factor, and standby mode energy consumption of general service
lamps that are not general service incandescent lamps, compact
fluorescent lamps, or integrated LED lamps.
2. Definitions:
Measured initial input power means the input power to the lamp,
measured after the lamp is stabilized and seasoned (if applicable),
and expressed in watts (W).
Measured initial lumen output means the lumen output of the lamp
measured after the lamp is stabilized and seasoned (if applicable),
and expressed in lumens (lm).
Power factor means the measured initial input power (watts)
divided by the product of the input voltage (volts) and the input
current (amps) measured at the same time as the initial input power.
3. Active Mode Test Procedures
3.1. Take measurements at full light output.
3.2. Do not use a goniophotometer.
3.3. For OLED and non-integrated LED lamps, position a lamp in
either the base-up and base-down orientation throughout testing. An
equal number of lamps in the sample must be tested in the base-up
and base-down orientations, except that, if the manufacturer
restricts the position, test all of the units in the sample in the
manufacturer-specified position.
3.4. Operate the lamp at the rated voltage throughout testing.
For lamps with multiple rated voltages including 120 volts, operate
the lamp at 120 volts. If a lamp is not rated for 120 volts, operate
the lamp at the highest rated input voltage. For non-integrated LED
lamps, operate the lamp at the manufacturer-declared input voltage
and current.
3.5. Operate the lamp at the maximum input power. If multiple
modes occur at the same maximum input power (such as
[[Page 47084]]
variable CCT or CRI), the manufacturer may select any of these modes
for testing; however, all measurements must be taken at the same
selected mode. The manufacturer must indicate in the test report
which mode was selected for testing and include detail such that
another laboratory could operate the lamp in the same mode.
3.6. To measure initial lumen output, input power, input
voltage, and input current use the test procedures in the table in
this section.
Table 3.1--References to Industry Standard Test Procedures
------------------------------------------------------------------------
Lamp type Referenced test procedure
------------------------------------------------------------------------
General service incandescent lamps..... Appendix R to Subpart B of 10
CFR part 430.
Compact fluorescent lamps.............. Appendix W to Subpart B of 10
CFR part 430.
Integrated LED lamps................... Appendix BB to Subpart B of 10
CFR part 430.
Other incandescent lamps that are not IES LM-45-15, sections 4-6, and
reflector lamps. section 7.1.
Other incandescent lamps that are IES LM-20-13, sections 4-6, and
reflector lamps. section 8.
Other fluorescent lamps................ IES LM-9-09-DD, sections 4-6,
and section 7.5.
OLED lamps............................. IES LM-79-08-DD, sections 1.3
(except 1.3[f]), 2.0, 3.0,
5.0, 7.0, 8.0, 9.1 and 9.2.
Non-integrated LED lamps............... IES LM-79-08-DD, sections 1.3
(except 1.3[f]), 2.0, 3.0,
5.0, 7.0, 8.0, 9.1 and 9.2.
------------------------------------------------------------------------
* (incorporated by reference, see Sec. 430.3)
3.7. Determine initial lamp efficacy by dividing the measured
initial lumen output (lumens) by the measured initial input power
(watts).
3.8. Determine power factor by dividing the measured initial
input power (watts) by the product of the measured input voltage
(volts) and measured input current (amps).
4. Standby Mode Test Procedure
4.1. Measure standby mode power only for lamps that are capable
of standby mode operation.
4.2. Connect the lamp to the manufacturer-specified wireless
control network (if applicable) and configure the lamp in standby
mode by sending a signal to the lamp instructing it to have zero
light output. Lamp must remain connected to the network throughout
testing.
4.3. Operate the lamp at the rated voltage throughout testing.
For lamps with multiple rated voltages including 120 volts, operate
the lamp at 120 volts. If a lamp is not rated for 120 volts, operate
the lamp at the highest rated input voltage.
4.4. Stabilize the lamp prior to measurement as specified in
section 5 of IEC 62301-DD (incorporated by reference; see Sec.
430.3).
4.5. Measure the standby mode power in watts as specified in
section 5 of IEC 62301-DD (incorporated by reference; see Sec.
430.3).
[FR Doc. 2016-17135 Filed 7-19-16; 8:45 am]
BILLING CODE 6450-01-P
