Energy Conservation Program: Test Procedure for Compact Fluorescent Lamps, 59385-59420 [2016-19967]

Download as PDF Vol. 81 Monday, No. 167 August 29, 2016 Part IV Department of Energy mstockstill on DSK3G9T082PROD with RULES4 10 CFR Parts 429 and 430 Energy Conservation Program: Test Procedure for Compact Fluorescent Lamps; Final Rule VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\29AUR4.SGM 29AUR4 59386 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations DEPARTMENT OF ENERGY 10 CFR Parts 429 and 430 [Docket No. EERE–2015–BT–TP–0014] RIN 1904–AC74 Energy Conservation Program: Test Procedure for Compact Fluorescent Lamps Office of Energy Efficiency and Renewable Energy, Department of Energy. ACTION: Final rule. AGENCY: This final rule amends the U.S. Department of Energy’s (DOE) test procedures for medium base compact fluorescent lamps (MBCFLs) and adopts test procedures for new metrics for all CFLs including hybrid CFLs and CFLs with bases other than medium screw base. In this final rule, DOE replaces references to ENERGY STAR® testing requirements with references to the latest versions of the relevant industry standard test methods referenced by the ENERGY STAR testing requirements, with certain modifications. In addition, DOE adopts new test procedures to support the ongoing energy conservation standards rulemaking for general service lamps (GSLs), the recently revised final test procedure and energy conservation standards for ceiling fan light kits (CFLKs), and the labeling requirements specified by the Federal Trade Commission (FTC). The test procedures will also support the ENERGY STAR program requirements for lamps and luminaires. Specifically, this final rule adopts test methods for new metrics including color rendering index (CRI), correlated color temperature (CCT), power factor, and start time. DOE also adopts test procedures for additional CFL categories, including non-integrated CFLs and integrated CFLs that are not MBCFLs. This final rule also revises the sampling plan for performance metrics and incorporates methods to measure standby mode power. DATES: The effective date of this rule is September 28, 2016. Representations must be based on testing in accordance with the final rule starting February 27, 2017. The incorporation by reference of certain publications listed in this rule was approved by the Director of the Federal Register on September 28, 2016. ADDRESSES: 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 mstockstill on DSK3G9T082PROD with RULES4 SUMMARY: VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 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://www1.eere.energy.gov/ buildings/appliance_standards/ product.aspx/productid/28. This Web page will contain a link to the docket for this notice on the www.regulations.gov site. The www.regulations.gov Web page will contain simple instructions on how to access all documents, including public comments, in the docket. For further information on how to review the docket, contact Ms. Emily Marchetti at (202) 586–6636 or by email: medium_base_compact_fluorescent_ lamps@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: medium_base_compact_fluorescent_ lamps@ee.doe.gov. Mr. Peter Cochran, U.S. Department of Energy, Office of the General Counsel, GC–33, 1000 Independence Avenue SW., Washington, DC 20585–0121. Telephone: (202) 586–9496. Email: peter.cochran@hq.doe.gov. SUPPLEMENTARY INFORMATION: This final rule incorporates by reference into part 430 specific sections of the following industry standards: (1) American National Standards Institute and International Electrotechnical Commission (ANSI) C78.901–2014, American National Standard for Electric Lamps— Single-Based Fluorescent Lamps— Dimensional and Electrical Characteristics. Copies of ANSI C78.901–2014 can be obtained from ANSI Attn: Customer Service Department, 25 W 43rd Street, 4th Floor, New York, NY, 10036, or by going to https:// webstore.ansi.org/. (2) CIE 13.3–1995 (‘‘CIE 13.3’’), Technical Report: Method of Measuring and Specifying Colour Rendering Properties of Light Sources, 1995, ISBN 3 900 734 57 7. (3) CIE 15:2004 (‘‘CIE 15’’), Technical Report: Colorimetry, 3rd edition, 2004, ISBN 978 3 901906 33 6. Copies of CIE 13.3 and CIE 15 can be obtained from Commission Internationale de l’Eclairage, Central Bureau, Kegelgasse 27, A– 1030, Vienna, Austria, 011 + 43 1 714 31 87 0, or by going to https://www.cie.co.at. (4) IEC 62301 (‘‘IEC 62301–W’’), Household electrical appliances—Measurement of standby power (Edition 2.0, 2011–01). A copy of IEC 62301 can be obtained from the American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 10036, (212) 642–4900, or by going to https:// webstore.ansi.org. (5) Illuminating Engineering Society of North America (IES) LM–54–12, IES Guide to Lamp Seasoning. (6) IES LM–65–14, IES Approved Method for Life Testing of Single-Based Fluorescent Lamps. (7) IES LM–66–14, (‘‘IES LM–66’’), IES Approved Method for the Electrical and Photometric Measurements of Single-Based Fluorescent Lamps. (8) IESNA LM–78–07, IESNA Approved Method for Total Luminous Flux Measurement of Lamps Using an Integrating Sphere Photometer. Copies of IES LM–54–12, IES LM–65–14, IES LM–66 and IES LM–78– 07 can be obtained from IES, 120 Wall Street, Floor 17, New York, NY 10005–4001, or by going to www.ies.org/store. For a further discussion of these standards, see section IV.M. Table of Contents I. Authority and Background A. Authority B. Background II. Synopsis of the Final Rule III. Discussion A. Amendments to Appendix W to Subpart B of 10 CFR part 430 1. Updates to Industry Test Methods 2. Clarifications to General Test Conditions and Setup 3. Clarifications to Definitions 4. Test Procedures for Existing and New Metrics 5. Test Procedures for New CFL Categories 6. Test Procedure for Standby Mode Energy Consumption 7. Rounding Values B. Amendments to Definitions at 10 CFR 430.2 1. Compact Fluorescent Lamp 2. Correlated Color Temperature 3. Lifetime of a Compact Fluorescent Lamp C. Amendments to Materials Incorporated by Reference at 10 CFR 430.3 D. Amendments to 10 CFR 430.23(y) E. Amendments to Laboratory Accreditation Requirements at 10 CFR 430.25 F. Clarifications to Energy Conservation Standard Text at 10 CFR 430.32(u) 1. Initial Lamp Efficacy 2. Lumen Maintenance at 1,000 Hours 3. Lumen Maintenance at 40 Percent of Lifetime 4. Rapid Cycle Stress Test 5. Lifetime G. Amendments to Certification Report Requirements H. Amendments to 10 CFR 429.35 1. Initial Lamp Efficacy and Lumen Maintenance 2. Rapid Cycle Stress Testing 3. Lifetime of a Compact Fluorescent Lamp 4. New Metrics 5. Reuse of Samples 6. Lamp Failures I. Federal Trade Commission (FTC) Labeling Requirements J. Effective Date IV. Procedural Issues and Regulatory Review A. Review Under Executive Order 12866 B. Review Under the Regulatory Flexibility Act E:\FR\FM\29AUR4.SGM 29AUR4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations 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 N. Congressional Notification V. Approval of the Office of the Secretary mstockstill on DSK3G9T082PROD with RULES4 I. Authority and Background A. Authority 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), established the ‘‘Energy Conservation Program for Consumer Products Other Than Automobiles.’’ CFLs are among the consumer products affected by these provisions. Under EPCA, the energy conservation program consists essentially of four parts: (1) Testing, (2) labeling, (3) Federal energy conservation standards, and (4) certification and enforcement procedures. The testing requirements consist of test procedures that manufacturers of covered products must use as the basis for (1) certifying to DOE that their products comply with the applicable energy conservation standards adopted under EPCA (42 U.S.C. 6295(s)) and (2) making representations about the energy use or efficiency of the products (42 U.S.C. 6293(c)). 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 new or amended test procedure shall be reasonably designed to produce test results that measure energy efficiency, energy use, or estimated annual operating cost of a covered product during a representative average use cycle or period of use, and shall not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3)) 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). VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 In addition, if DOE determines that a test procedure amendment is warranted, it must publish a proposed test procedure and offer the public an opportunity to present oral and written comments. (42 U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test procedure, DOE must determine to what extent, if any, the proposed test procedure would alter the measured energy efficiency of the covered product as determined under the existing test procedure. (42 U.S.C. 6293(e)(1)) EPCA also requires that, at least once every 7 years, DOE evaluate test procedures for each type of covered equipment, including MBCFLs, to determine whether amended test procedures would more accurately or fully comply with the requirements for the test procedures to not be unduly burdensome to conduct and be reasonably designed to produce test results that reflect energy efficiency, energy use, and estimated operating costs during a representative average use cycle. (42 U.S.C. 6293(b)(1)(A)) Finally, EPCA directs DOE to amend its test procedures for all covered products to integrate measures of standby mode and off mode energy consumption, if technically feasible. (42 U.S.C. 6295(gg)(2)(A)) DOE has determined that, while no CFLs are capable of operating under off mode, some CFLs are capable of operating under standby mode. Consequently, DOE adopts a test procedure for measuring standby mode power in appendix W, as detailed in section III.A.6 of this final rule. B. Background The Energy Policy Act of 2005 (Public Law 109–58) amended EPCA to require that MBCFL test procedures be based on the August 2001 version of the ENERGY STAR® Program Requirements for CFLs. (42 U.S.C. 6293(b)(12)) Consistent with this requirement, DOE published a final rule on December 8, 2006 (December 2006 final rule) that established DOE’s current test procedures for MBCFLs under 10 CFR part 430, subpart B, appendix W. 71 FR 71340. The December 2006 final rule established test procedures for initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, rapid cycle stress test, and lifetime for MBCFLs. Id. EPCA, however, also requires that at least once every 7 years, DOE must conduct an evaluation of all covered products and either amend the test procedures (if the Secretary determines that amended test procedures would more accurately or fully comply with the requirements of 42 U.S.C. PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 59387 6293(b)(3)) or publish a determination in the Federal Register not to amend them. (42 U.S.C. 6293(b)(1)(A)) The ENERGY STAR Program Requirements for CFLs have been updated several times since 2001 to reflect current best practices and technological developments. This final rule amends the CFL test procedure to directly reference the latest industry standards in accordance with this EPCA requirement. On July 31, 2015, DOE issued a NOPR (July 2015 NOPR) to amend and expand its test procedures for CFLs. 80 FR 45723. DOE then held a public meeting to discuss these proposed amendments on August 31, 2015, and allowed for written comments to be submitted through October 14, 2015. This rule addresses comments that were received on the proposal and finalizes many of the proposed changes to appendix W to subpart B of 10 CFR part 430 and to 10 CFR part 429. II. Synopsis of the Final Rule In this final rule, DOE replaces the existing references to ENERGY STAR program requirements with direct references to the latest versions of the appropriate industry test methods from the Illuminating Engineering Society of North America (IES) (see section III.A.1 for further details). Directly referencing the latest industry standards will allow DOE to adopt current best practices and technological developments in its test procedures. DOE also adopts, in this rule, test procedures for additional CFL categories and metrics to support energy conservation standard rulemakings for GSLs and CFLKs. DOE’s existing test procedures apply only to integrated CFLs with medium screw bases (i.e., MBCFLs). Integrated CFLs (also referred to as self-ballasted or integrally ballasted) contain all components necessary for the starting and stable operation of the lamp, do not include any replaceable or interchangeable parts, and are connected directly to a branch circuit through an American National Standards Institute (ANSI) base and corresponding ANSI standard lampholder (socket). Non-integrated CFLs (also referred to as pin-base) require an external ballast to function, and mainly have pin bases, (e.g., 2-pin or 4-pin). On March 17, 2016, DOE issued a NOPR (March 2016 NOPR) that proposes a new definition for general service lamp that includes both non-integrated CFLs and integrated CFLs. 81 FR 14527. The March 2016 NOPR also proposes minimum efficacy and power factor standards for certain types of general service lamps and additional metrics for E:\FR\FM\29AUR4.SGM 29AUR4 59388 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations MBCFLs. On January 6, 2016, DOE issued a final rule (January 2016 final rule) establishing amended energy conservation standards for CFLs, both integrated and non-integrated, packaged with a CFLK. 81 FR 579. DOE is also adopting these new test procedures to support: (1) The Federal Trade Commission (FTC) labeling requirements for lighting products as specified in 16 CFR 305.15; and (2) the U.S. Environmental Protection Agency’s ENERGY STAR program for lamps and luminaires. Under the FTC Lighting Facts labeling requirement, manufacturers are required to include basic and consistent information about certain types of light bulbs (lamps) including information about the lumen output, input power, life, and correlated color temperature (CCT) on the lamp packaging. Regarding ENERGY STAR, DOE’s adopted CFL test procedure provides test methods for certain metrics included in the ENERGY STAR specification for lamps 2 and luminaires.3 The ENERGY STAR lamps specification includes, among others, metrics for initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, rapid cycle stress test, lifetime, CCT, color rendering index (CRI), power factor, and start time. The ENERGY STAR luminaires specification includes, among others, metrics for efficacy, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power factor, and start time. Table II.1 summarizes the metrics adopted in this final rule and which agency requires them. TABLE II.1—CFL METRICS IN DOE REGULATIONS, FTC LABELING REQUIREMENTS, AND THE ENERGY STAR PROGRAM DOE proposed or established regulations EPA ENERGY STAR program for lamps or luminaires GSL CFLK FTC labeling requirements X — X X X X X X X X X — — X X X X — — — X X — — — X — — — — X X X X X X X X X X * — — — — X — — — — — — — — — X X X X X Metric MBCFL Integrated CFLs Efficacy ................................................................................. CCT ...................................................................................... CRI ....................................................................................... Lumen maintenance at 1,000 hours .................................... Lumen maintenance at 40% of lifetime ............................... Lifetime ................................................................................. Rapid Cycle Stress Test ...................................................... Power Factor ........................................................................ Start Time ............................................................................ Standby Mode Energy Consumption ................................... X ........................ ........................ X X X X ........................ ........................ ........................ Non-Integrated CFLs Efficacy ................................................................................. CCT ...................................................................................... CRI ....................................................................................... Lumen maintenance at 40% of lifetime ............................... Lifetime ................................................................................. — — — — — * In the March 2016 NOPR, DOE notes that the backstop provision in 6296(i)(6)(A)(v) is automatically triggered. The backstop provision requires all lamps that meet the definition of a general service lamp (which includes many non-integrated compact fluorescent lamps) comply with a minimum efficacy standard of 45 lumens per watt. 81 FR 14528, 14540 (March 17, 2016). mstockstill on DSK3G9T082PROD with RULES4 Additionally, DOE establishes a test procedure for CFL standby mode power measurement, as directed by EPCA. However, this test procedure will only apply to integrated CFLs because nonintegrated CFLs are not capable of standby mode operation (see section III.A.6). Finally, DOE also revises the current sampling plan in 10 CFR 429.35. This revised sampling plan is consistent with ENERGY STAR Lamps Specification V2.0, as detailed in section III.H. III. Discussion 1. Updates to Industry Test Methods DOE’s existing MBCFL test procedures contained in appendix W to subpart B of 10 CFR part 430 are based on the August 2001 version of the ENERGY STAR program requirements for CFLs,4 which has since been updated several times. In the July 2015 NOPR, DOE proposed replacing the existing references to ENERGY STAR program requirements with direct references to the latest versions of the appropriate industry test methods from the IES. DOE explained that directly referencing the latest industry standards would allow DOE to adopt current best practices and technological developments in its test procedures. As a result, DOE proposed to directly incorporate by reference in appendix W the latest versions of the following industry test procedures: IES LM–66– 14,5 IES LM–65–14,6 and IES LM–54– 12.7 DOE also proposed to no longer incorporate by reference the August 2001 version of the ENERGY STAR Program Requirements for CFLs, previously approved for appendix W. 2 ENERGY STAR® Program Requirements Product Specification for Lamps (Light Bulbs), Eligibility Criteria, Version 2.0. December 31, 2015. Washington, DC. https://www.energystar.gov/sites/ default/files/ENERGY%20STAR%20Lamps%20V2_ 0%20Program%20Requirements.pdf. 3 ENERGY STAR® Program Requirements Product Specification for Luminaires (Light Fixtures), Eligibility Criteria, Version 2.0. May 29, 2015. Washington, DC. https://www.energystar.gov/sites/ default/files/asset/document/ Luminaires%20V2%200%20Final.pdf. 4 ENERGY STAR® Program Requirements for CFLs Partner Commitments, Version 2.0, Washington, DC (Aug. 9, 2001). www.energystar.gov/ia/partners/product_specs/ program_reqs/archive/CFLs_Program_ RequirementsV2.0.pdf. 5 IES Approved Method for the Electrical and Photometric Measurements of Single-Based Fluorescent Lamps (approved December 30, 2014). 6 IES Approved Method for Life Testing of SingleBased Fluorescent Lamps (approved December 30, 2014). 7 IES Guide to Lamp Seasoning (approved October 22, 2012). VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 A. Amendments to Appendix W to Subpart B of 10 CFR part 430 PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 E:\FR\FM\29AUR4.SGM 29AUR4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES4 DOE compared the currently referenced versions and the new updated versions of the relevant industry standards to determine, as directed by EPCA, whether adopting the latest industry standards would alter measured energy efficiency for MBCFLs as determined under the current DOE test procedure. DOE determined that these changes would have a de minimis effect on measured values. Both the National Electrical Manufacturers Association (NEMA) and OSRAM SYLVANIA, Inc. (OSI) supported the incorporation by reference of IES LM–66–14 and IES LM– 65–14 stating that it would not significantly affect the testing or measured values. (NEMA, No. 9 at pp. 3,8; OSI, No. 5 at pp. 2–3) 8 DOE received comments regarding the provisions on cycling lamps during seasoning in IES LM–54–12. Under the current test procedure, in accordance with IES LM–54–1991, all lamps are seasoned at a 3 hour on, 20 minute off cycle for 100 operating hours. The latest version of the standard, IES LM–54–12, also specifies that lamps that are to be lifetime tested shall be cycled during seasoning. However, IES LM–54–12 does not specify a specific operating cycle during seasoning for lifetime testing. IES LM–54–12 also states that lamps to be tested for other performance metrics can be continuously burned (not cycled) during seasoning to shorten the time required for seasoning. In the July 2015 NOPR, DOE tentatively determined that not providing a specific operating cycle during seasoning for lifetime testing and not requiring cycling during seasoning for other performance metrics would have a de minimis impact on measured values. The California Investor Owned Utilities (CA IOUs) 9 and the Energy Efficiency Advocates (EEAs),10 however, disagreed and recommended that DOE require lamps to be cycled (operated 3 hours and then turned off 8 DOE identifies comments received in response to the July 2015 CFL TP NOPR on Docket No. EERE–2015–BT–TP–0014 by the commenter, the document number as listed in the docket maintained at www.regulations.gov, and the page number of that document where the comment appears (for example: OSI, No. 5 at p. 7). If a comment was made verbally during the August 2015 NOPR public meeting, DOE 9 The CA IOUs are Pacific Gas and Electric Company (PG&E), Southern California Gas Company (SCG), San Diego Gas and Electric Company (SDG&E), and Southern California Edison (SCE). 10 The EEAs are the Appliance Standards Awareness Project (ASAP), American Council for an Energy Efficient Economy (ACEEE), Alliance to Save Energy (ASE), Natural Resources Defense Council (NRDC), Northeast Energy Efficiency Partnerships (NEEP), and Northwest Energy Efficiency Alliance (NEEA). VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 for 20 minutes) during seasoning as was specified in IES LM–54–1991. (CA IOUs, No. 7 at p. 3; EEAs, No. 8 at p. 4) DOE continues to find that cycling during seasoning would have a de minimis impact on measured values. However, in this final rule, in order to establish a more consistent test procedure, DOE specifies cycling during seasoning for all metrics. As discussed in section III.H.5, in this final rule, DOE requires that the same set of lamps be used for measurement of initial lamp efficacy, lumen maintenance, lifetime, color measurements, start time, and power factor. Because of this requirement to use the same set of lamps and the specification in IES LM– 54–12 that lamps should be cycled during seasoning for lifetime measurements, lamps used in DOE’s test procedure must be cycled during seasoning for all other measurements as well. Rapid cycle stress testing is conducted on a unique set of lamps—a separate set of lamps than used for all other metrics. However, DOE requires in this final rule that lamps used for rapid cycle stress testing also be cycled while seasoned and thereby provides a consistent methodology for seasoning across all metrics. To provide further consistency and specificity in test method, in this final rule, DOE specifies in this test procedure how to cycle lamps. Although section 6.2.2.1 of LM–54–12 states that for lifetime testing, lamps should be cycled during seasoning, IES LM–54–12 does not define the cycling time. IES LM–54–1991 required that all lamps be seasoned at a 3 hour (180 minutes) on, 20 minute off cycle for 100 operating hours. Additionally, section 6.4 of IES LM–65–14 states that the standard life operating cycle shall be 180 minutes on, 20 minutes off. Therefore, in this final rule, DOE specifies in section 3.1.3 of appendix W that lamps must be cycled during seasoning, and the operating cycle must be 180 minutes on, 20 minutes off in accordance with section 6.4 of IES LM– 65–14. In this final rule, DOE incorporates by reference IES LM–54– 12, and supplements its seasoning requirements with the additional requirements noted in this section. DOE also received several comments regarding how industry standards incorporated by reference should be cited within the DOE test procedure. Both NEMA and OSI commented that in the NOPR, DOE proposed text copied directly from the referenced industry standards for incorporation into the CFR. NEMA recommended that instead, DOE should incorporate these PO 00000 Frm 00005 Fmt 4701 Sfmt 4700 59389 publications by reference, ensuring that interested parties understand the context. (NEMA, No. 9 at p. 2; OSI, No. 5 at p. 2) Philips Lighting (Philips) expressed concern that when the DOE test procedure deviates from a document incorporated by reference it adds another level of complexity and possibly leads to confusion. (Philips, Public Meeting Transcript, No. 4 at pp. 83–84) As a solution, Philips suggested that DOE provide specific instructions to the testing laboratory like ENERGY STAR and other programs. (Philips, Public Meeting Transcript, No. 4 at p. 68) Westinghouse stated that, although they preferred DOE incorporate by reference the entire document, it was acceptable if only portions can be referenced. Westinghouse stated that it can cause confusion when DOE makes modifications such that something not in the referenced standard is included in the DOE test procedure. In particular, when auditing a test lab, Westinghouse noted that the lab may meet requirements based on the referenced standard but not based on DOE’s test procedure. (Westinghouse, Public Meeting Transcript, No. 4 at p. 85) DOE appreciates the feedback related to incorporation by reference of industry standards as well as ways to improve the clarity of DOE’s test procedure. In the NOPR and in this final rule, DOE did not include text in the regulatory language copied directly from an industry standard and instead incorporated by reference relevant industry standards in 10 CFR 430.3 and referenced sections of the incorporated industry standards as relevant in DOE’s test procedures. DOE lays out instructions regarding the test setup conditions, test methods, and measurements for each CFL metric in appendix W. In these instructions, DOE references relevant sections of industry standards, and provides further clarification as needed. To generate reliable and consistent results, DOE, in some instances, provides further clarification and/or exceptions to the industry standards referenced. For example, appendix W states that lamps should be seasoned according to sections 4, 5, 6.1, and 6.2.2.1 of IES LM– 54–12. To reduce test burden, DOE provides further clarification in appendix W that time during seasoning can be counted toward time to failure and lumen maintenance at 40 percent of lifetime (see section III.A.2.e for further details). IES LM–54–12 states that, for lifetime testing, lamps shall be cycled during seasoning, and for all other performance metrics, lamps can be continuously burned during seasoning. E:\FR\FM\29AUR4.SGM 29AUR4 59390 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations To ensure consistent seasoning requirements across all metrics, DOE requires in this final rule that, for all metrics, including lifetime, lamps must be cycled during seasoning (as noted in this section). Therefore, DOE’s test procedure in appendix W is streamlined to provide, at each step, only the relevant sections of industry standards, and any related additional instructions and/or clarifications specific to the DOE test procedure. In summary, DOE finds that the test procedures for CFLs as prescribed in this final rule address the concerns of interested parties to provide clear, unambiguous instruction regarding the appropriate procedures for testing CFLs. mstockstill on DSK3G9T082PROD with RULES4 2. Clarifications to General Test Conditions and Setup a. Instrumentation In the July 2015 NOPR, DOE proposed that photometric measurements including lumen output, CCT, and CRI be carried out in an integrating sphere. DOE made this proposal because of potential differences in measured values when conducting testing with an integrating sphere versus a goniophotometer and certain issues with the use of goniophotometers. DOE received comments related to its proposal to only allow the use of integrating spheres for photometric measurements. P.R. China noted that although the integrating sphere method is simpler, the goniophotometer measures luminous flux using an absolute method and is therefore more accurate. Specifically, P.R. China argued that the goniophotometer method should be allowed because integrating spheres might lead to errors with largesized lamps or lamps with special shapes. P.R. China added that additional testing cost and/or burden could be introduced by only allowing the use of integrating spheres. (P.R. China, No. 10 at p. 3) However, NEMA and OSI were supportive of using only an integrating sphere for testing. (NEMA, No. 9 at p. 3; OSI, No. 5 at p. 3) Both the integrating sphere and goniophotometer methods are allowed in IES LM–66–14. DOE understands that both these methods are valid ways to take photometric measurements. However, DOE is concerned about the potential difference in measured values generated from the two different measurement approaches. Because DOE test procedures must yield repeatable and reproducible results and comparable measured values, DOE determined that it must specify one method of measurement. DOE believes that the integrating sphere method is VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 preferable to the goniophotometer method because of certain issues that make goniophotometer testing more variable and potentially less accurate. The goniophotometer is potentially problematic for lamps that emit light in all directions as the setup may result in a dead angle where some part of the light output is blocked by the equipment (e.g., the arm in which the lamp is held). The goniophotometer method also requires a precise scanning resolution that may differ by lamp and is not subject to a specific industry requirement that could provide consistency across measurements. Integrating spheres can come in a range of sizes and can accordingly be used to test a variety of sizes and shapes of lamps, including linear fluorescent lamps, which are much larger than CFLs. Therefore, DOE is not aware of any constraints or limitations regarding testing CFLs using integrating spheres. DOE also proposed to incorporate by reference IESNA LM–78–07 in the July 2015 NOPR, which provides more specific guidance on measuring lumen output in an integrated sphere. DOE did not receive any comments related to IESNA LM–78–07. For these reasons, DOE requires that all photometric measurements, including lumen output, CCT, and CRI, must be carried out using the integrating sphere method. Additionally, to provide a method for measuring lumen output in an integrating sphere, DOE incorporates by reference IESNA LM–78–07. b. Ambient Temperature In the July 2015 NOPR, DOE proposed that photometric and electrical testing of CFLs must be conducted at an ambient temperature of 25 ± 1 °C. 80 FR 45731. Section 4.3 of IES LM–66–14 states that the ambient temperature during photometric and electrical testing must be maintained at 25 ± 1 °C unless the CFL is designed to perform optimally under non-standard conditions. Similar requirements and allowance were given in IES LM–66–1991. DOE’s review of manufacturer-published product literature suggests that photometric and electrical testing of CFLs is typically conducted at the standard 25 ± 1 °C temperature conditions and possible inconsistencies could arise between represented values if testing occurred at other temperatures. OSI commented that the ambient temperature requirement of 25 ± 1 °C is acceptable for most lamps, but not for non-integrated lamps specifically designed for high ambient temperature operation. (OSI, No. 5 at p. 3) General Electric (GE) was also supportive of the temperature range for testing for most PO 00000 Frm 00006 Fmt 4701 Sfmt 4700 products, but requested an exclusion for products that are specifically designed for high ambient temperatures. (GE, Public Meeting Transcript, No. 4 at pp. 32–33) NEMA commented that nonintegrated lamps specifically designed for high ambient temperature operation should not be tested at 25 °C. (NEMA, No. 9 at p. 3) DOE understands the concerns of interested parties, but believes that it is important to establish test procedures that provide a consistent set of measurements. That is, DOE believes that adopting a consistent rating condition across all CFL models will make the results more comparable among CFL models. c. Input Voltage In the July 2015 NOPR, DOE proposed that if rated input voltage is a range that includes 120 volts (V), the CFL must be operated at 120 V when conducting the DOE test procedures. If the CFL can be operated with multiple rated input voltages and is not rated for 120 V, the CFL must be operated at the highest rated input voltage. DOE determined that requiring testing at a single input voltage would limit testing variation and ensure more accurate and consistent measurements of time to failure (see sections III.A.3.a and III.A.4.b). In addition, section 5.1.1 of IES LM–65–14 specifies that when the rated input voltage of a lamp or ballast is a range, a nominal value should be selected for lifetime testing and reported as a test condition. 80 FR 45732. NEMA supported DOE’s proposal regarding testing input voltage. (NEMA, No. 9 at p. 3) DOE received no other comments regarding input voltage. In this final rule, DOE adopts a testing voltage requirement that if a rated input voltage is a range that includes 120 V, the CFL must be operated at 120 V. If the CFL with multiple rated input voltages is not rated for 120 V, the CFL must be operated at the highest rated input voltage. d. Lamp Orientation In the July 2015 NOPR, DOE proposed a clarification that lamp orientation must be maintained throughout all testing, including preparation (e.g., seasoning and preburning), storage, and handling between tests. The intent of DOE’s proposal was to minimize changes in lamp operating characteristics between various stages of testing and allow for more accurate and repeatable measurements. 80 FR 45732. NEMA supported DOE’s proposal of maintaining lamp orientation. (NEMA, No. 9 at p. 3) DOE received no other comments regarding lamp orientation. E:\FR\FM\29AUR4.SGM 29AUR4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations In this final rule, DOE adopts a requirement that lamp orientation must be maintained throughout all testing, including preparation (e.g., seasoning and preburning), storage, and handling between tests. mstockstill on DSK3G9T082PROD with RULES4 e. Lamp Seasoning In the July 2015 NOPR, DOE proposed that the seasoning requirements in IES LM–54–12 must be followed prior to the testing of all CFLs. DOE also proposed two additional provisions related to lamp seasoning. First, DOE proposed that unit operating time during seasoning may be counted toward lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, and time to failure if the required operating cycle and test conditions are satisfied as stated in the test method for time to failure. This would reduce testing burden by minimizing the overall testing time required for measuring time to failure and lumen maintenance values. Second, DOE proposed to require that, if a lamp breaks, becomes defective, fails to stabilize, exhibits abnormal behavior such as swirling prior to the end of the seasoning period, or stops producing light, the lamp must be replaced with a new unit. 80 FR 45732. NEMA was supportive of the proposed seasoning requirements. (NEMA, No. 9 at p. 3) DOE received several comments regarding its proposal that a lamp that fails during seasoning should not be included in the sample set to determine the represented value of metrics. DOE addresses these comments in section III.H.6. In this final rule, DOE adopts the clarifications regarding seasoning as noted in this section. As previously stated in section III.A.1, to provide consistency in test methodology, DOE also requires in this final rule that lamps must be cycled during seasoning for all measurements and specifies an operating cycle of 180 minutes on and 20 minutes off in accordance with section 6.4 of IES LM–65–14. f. Lamp Stabilization In the July 2015 NOPR, DOE proposed to disallow the ‘‘peak’’ method provided in Annex B of IES LM–66–14, which can serve as a time saving alternative to the stabilization method specified in section 6.2.1 of IES LM–66–14. IES LM– 66–14 states that the information in the Annex is not intended to be a recommended procedure, but is presented as reference information; it also notes that the stabilization method specified in section 6.2.1 is preferred because considerable testing and experience with a given lamp design VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 may be required due to the number of lamp designs and process variations that exist when conducting the peak according to Annex B. Because of the variabilities that could arise from testing using the peak method, DOE concluded that the peak method could cause inconsistent and potentially inaccurate results. 80 FR 45732. NEMA supported DOE’s proposal. (NEMA, No. 9 at p. 3) DOE received no other comments regarding the ‘‘peak’’ method for stabilization. In this final rule, DOE disallows the ‘‘peak’’ method provided for reference in Annex B of IES LM–66–14. g. Simulated Fixtures During Time to Failure Testing In the July 2015 NOPR, DOE proposed not to allow the use of simulated fixtures during time to failure testing of CFLs. This proposal would remove potential variation in the testing of CFLs and ensure that all CFLs are tested in a consistent manner. 80 FR 45732. NEMA supported this proposal. (NEMA, No. 9 at p. 3) DOE received no other comments regarding testing of lamps in fixtures. In this final rule, DOE disallows the use of simulated fixtures during time to failure testing of CFLs. h. Ballasted Adapters In the July 2015 NOPR, DOE proposed that CFLs packaged with or designed exclusively for use with ballasted adapters must be tested as nonintegrated CFLs, without the inclusion of the ballasted adapter. DOE proposed to define a ‘‘ballasted adapter’’ as a ballast that is not permanently attached to a CFL, has no consumer-replaceable components, and serves as an adapter by incorporating both a lamp socket and a lamp base. 80 FR 45732. NEMA agreed with the proposed term ‘‘ballasted adapter.’’ (NEMA, No. 9 at p. 3) DOE received no other comments regarding the definition for ‘‘ballast adapter.’’ In this final rule, DOE adopts the proposed definition for the term ‘‘ballasted adapter.’’ DOE also received comments related to the inclusion of screw-base ballasted adapters for non-integrated CFLs. NEMA, OSI, and Philips stated that screw-base ballasted adapters for nonintegrated CFLs should not be part of the CFL test procedure, but rather addressed in the fluorescent lamp ballast (FLB) rulemaking.11 (NEMA, No. 9 at p. 2; OSI, No. 5 at p. 2; Philips, No. 6 at p. 3) DOE notes that it is not proposing a test procedure for ballasted 11 Information regarding the Fluorescent Lamps Ballast Rulemaking can be found at https:// www.regulations.gov/docket?D=EERE–2015–BT– STD–0006. PO 00000 Frm 00007 Fmt 4701 Sfmt 4700 59391 adapters in this rulemaking, only a test procedure for compact fluorescent lamps. Philips disagreed with DOE’s proposal that CFLs, packaged with or designed exclusively for use with ballasted adapters, must be tested as non-integrated CFLs, without the inclusion of the ballasted adapter. Instead, Philips recommended that a ballasted adapter sold with a lamp should be tested as a system and the system should be subject to the same energy conservation standards as integrated lamps. (Philips, No. 6 at p. 3) DOE requires that non-integrated CFLs be tested on reference ballasts as specified in IES LM–66–14. This ensures consistent test conditions for measuring the performance characteristics of non-integrated CFLs that are externally ballasted. As noted in this preamble, DOE defines ballasted adapter as a component that is not permanently attached to the CFL, and therefore is similar to the external ballasts used with non-integrated CFLs. DOE reviewed CFLs that are compatible with ballasted adapters and determined that there was no technical reason they could not be tested on a reference ballast. Further, although the CFL may be packaged with a certain ballasted adapter, a consumer could choose to replace it with a different ballasted adapter or a manufacturer could pair the same lamp with different ballasted adapters. Thus, use of a reference ballast allows for a consistent and comparable assessment of the lamp’s performance. Therefore, DOE continues to require that CFLs packaged with or designed exclusively for use with ballasted adapters be tested as non-integrated CFLs. i. Multi-Level CFLs and Dimmable CFLs Footnote 2 to the energy conservation standards for MBCFLs codified at 10 CFR 430.32(u) includes the statement that for multi-level or dimmable systems, measurements shall be at the highest setting. In the July 2015 NOPR, DOE proposed to remove the footnote in order to consolidate testing requirements in the test procedure and add language to the test procedure addressing dimmable CFLs in the general instruction section of appendix W. The lumen output level and input power can be adjusted for some CFLs (i.e., dimmable), and thus not clarifying the input power for testing these lamps can introduce testing variation. Therefore, to ensure consistent results, DOE proposed that a dimmer not be used in the circuit and that all CFLs be tested at the labeled wattage, which DOE defines as the highest wattage E:\FR\FM\29AUR4.SGM 29AUR4 59392 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations marked on the lamp and/or lamp packaging (see section III.A.3.f for further details on the labeled wattage). 80 FR 45732–4573. NEMA and OSI agreed that testing should be conducted with no dimmer in the circuit, but the CA IOUs proposed testing dimmable CFLs at dimmed states in addition to full power. (NEMA, No. 9 at p. 4; OSI, No. 5 at p. 3; CA IOUs, No. 7 at p. 4) However, neither the current energy conservation standards nor those proposed in the March 2016 NOPR require measurements of performance of CFLs at dimmed levels. Therefore, DOE is not establishing test procedures for CFLs to be tested at such levels. Both NEMA and OSI commented that CFL testing should be conducted at labeled voltage (which is an independent variable), rather than at labeled wattage (which is a dependent variable). (NEMA, No. 9 at pp. 3–4; OSI, No. 5 at p. 3) DOE agrees that wattage is dependent on voltage and understands that, during testing, the electrical characteristics of the incoming power to the lamp would be adjusted to achieve a given wattage. Because voltage and wattage are related quantities, DOE notes that specifying either the voltage or wattage will achieve the same result when testing a given lamp. DOE’s specification that the lamp be tested at the labeled wattage is intended to indicate that CFLs specified for a range of wattages should be measured at the highest wattage marked on the lamp. This is consistent with the existing test specifications for CFL testing and DOE’s proposed definition of ‘‘labeled wattage,’’ as discussed in section III.A.3.f. In this final rule, DOE removes the text regarding multi-level or dimmable systems from § 430.32(u) and, instead, specifies in appendix W that dimmable CFLs must be tested at their highest labeled wattage. DOE believes specifying that a dimmer cannot be used in the circuit is an unnecessary addition as DOE also specifies that dimmable CFLs must be tested at their highest labeled wattage. DOE therefore removes this direction in the final rule. 3. Clarifications to Definitions mstockstill on DSK3G9T082PROD with RULES4 a. Average Rated Life In the July 2015 NOPR, DOE proposed to remove the term ‘‘average rated life’’ and adopt the terms ‘‘lifetime of a compact fluorescent lamp’’ and ‘‘time to failure.’’ The existing definition of ‘‘average rated life’’ makes only general reference to the sample size for time to failure testing. DOE believes the use of the word ‘‘average’’ in the term ‘‘average VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 rated life’’ may be confusing, and although defined in appendix W, the term is not otherwise used in appendix W or in specifications of existing MBCFL energy conservation standards. Further, the term ‘‘rated life’’ is used as a descriptor in appendix W, but is not defined. Therefore, DOE proposed to remove the term ‘‘average rated life’’ from appendix W and to add the definition ‘‘lifetime of a compact fluorescent lamp’’ at 10 CFR 430.2. 80 FR 45733. See section III.B.3 for more detail. In the July 2015 NOPR, DOE also proposed to define ‘‘time to failure’’ in appendix W to support the new definition of ‘‘lifetime of a compact fluorescent lamp’’ specified in 10 CFR 430.2. ‘‘Time to failure’’ in the context of CFLs is the time elapsed between first use and the point at which the lamp fully extinguishes and no longer creates light. 80 FR 45733.This definition aligns with the definition of lamp failure in section 8.2 of ANSI/IES RP–16–14.12 The EEAs were supportive of DOE’s proposed changes related to lifetime, but recommended that the definition of ‘‘time to failure’’ be the point at which the lumen output falls below 70 percent of initial lumen output. The EEAs stated that 70 percent is a common threshold within the lighting industry and addresses a situation where the CFL starts, but does not provide sufficient light. (EEAs, No. 8 at p. 1) DOE is only aware of 70 percent initial lumen output to characterize lifetime of light-emitting diode (LED) lamps. This determination is based on the understanding that the LED lamp has reached the end of its useful life when it achieves a lumen maintenance of 70 percent. In the June 3, 2014 supplemental notice of proposed rulemaking (SNOPR), DOE concluded that there is no industry consensus for how to characterize lifetime of LED lamps in terms of performance metrics other than lumen maintenance. However, for other lighting technologies, such as CFLs, industry standards define lamp lifetime as the time at which 50 percent of tested samples stop producing light. 79 FR 32020, 32028. Therefore, in this final rule, DOE defines ‘‘time to failure’’ as the time elapsed between first use and the point at which the CFL ceases to produce measureable lumen output. As noted in section III.A.1, DOE references IES LM–65–14 for lifetime testing of CFLs. Section 3.0 of IES LM– 65–14 specifies the terms ‘‘lamp failure,’’ ‘‘lamp life,’’ and ‘‘rated lamp 12 Nomenclature and Definitions for Illuminating Engineering (approved 2010). PO 00000 Frm 00008 Fmt 4701 Sfmt 4700 life.’’ However, DOE is specifically defining the terms, ‘‘time to failure’’ and ‘‘lifetime of a compact fluorescent lamp’’ (see section III.B.3) to support its lifetime testing of CFLs and align with terminology used in other DOE lamp test procedures. Although the definitions in section 3.0 of IES LM–65– 14 are often analogous to DOE’s adopted definitions for time to failure and lifetime of a compact fluorescent lamp, to avoid confusion regarding terminology when executing the lifetime test procedure for CFLs, DOE proposed that section 3.0 of IES LM–65–14 should be disregarded and replaced with the DOE definitions used for lifetime testing of CFLs. DOE did not receive any comments regarding this proposal and adopts it in this final rule. b. Initial Performance Values DOE proposed in the July 2015 NOPR to (1) delete the term ‘‘initial performance values;’’ (2) add a definition for the term ‘‘initial lamp efficacy;’’ (3) add a definition for the term ‘‘measured initial input power;’’ (4) delete the term ‘‘rated luminous flux or rated lumen output;’’ and (5) add a definition for the term ‘‘measured initial lumen output.’’ 80 FR 45733–45734. The new terms clarify the measurement of CFL initial performance values, and eliminate the need for the terms ‘‘initial performance values’’ and ‘‘rated luminous flux or rated lumen output.’’ DOE did not receive any comments related to deletion or addition of these terms. Therefore, in this final rule, DOE removes the terms ‘‘initial performance values’’ and ‘‘rated luminous flux or rated lumen output,’’ and adopts definitions for ‘‘initial lamp efficacy,’’ ‘‘measured initial input power,’’ and ‘‘measured initial lumen output.’’ c. Lumen Maintenance In the July 2015NOPR, DOE proposed to amend the definition of ‘‘lumen maintenance’’ to clarify that calculated lumen maintenance values are based on measured lumen output as the existing definition of ‘‘lumen maintenance’’ does not clearly distinguish between rated and measured values. The DOE proposed to adopt the term ‘‘lumen maintenance’’ in appendix W as the lumen output measured at a given time in the life of the lamp and expressed as a percentage of the measured initial lumen output. 80 FR 45734. NEMA agreed with this clarification. (NEMA, No. 9 at p. 5) DOE did not receive any other comments on the term ‘‘lumen maintenance.’’ In this final rule, DOE adopts the term ‘‘lumen maintenance’’ and definition as proposed in the July 2015 NOPR. E:\FR\FM\29AUR4.SGM 29AUR4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations d. Rated Voltage In appendix W, the term ‘‘rated voltage’’ is defined as meaning the voltage marked on the lamp. As previously noted, in this final rule, DOE requires measurement at the highest rated input voltage for lamps rated at multiple input voltages not including 120 V (see section III.A.2.c). In order to support this test condition, in this final rule, DOE adds clarifying text to the definition of ‘‘rated voltage.’’ Specifically, in this final rule, DOE replaces the term ‘‘rated voltage’’ with ‘‘rated input voltage,’’ defined as the voltage(s) marked on the lamp as the intended operating voltage, or if not marked on the lamp, 120 V. e. Rated Supply Frequency In the July 2015 NOPR, DOE proposed to remove from appendix W the term ‘‘rated supply frequency’’ because appendix W does not use this term. 80 FR 45734. NEMA agreed with removing this term. (NEMA, No. 9 at p. 4) DOE did not receive any other comments on removing ‘‘rated supply frequency.’’ In this final rule, DOE removes the term ‘‘rated supply frequency’’ from appendix W. mstockstill on DSK3G9T082PROD with RULES4 f. Rated Wattage In the July 2015 NOPR, DOE proposed to change the term ‘‘rated wattage’’ to ‘‘labeled wattage’’ and amend the definition to clarify its applicability to multi-level (i.e., multi-power) and dimmable CFLs. 80 FR 45734. Currently, in appendix W ‘‘rated wattage’’ is defined as the wattage marked on the lamp. The term is intended to denote the wattage marked on the lamp that should be used to determine the applicable minimum efficacy requirement for existing MBCFL energy conservation standards as specified in 10 CFR 430.32(u). However, in ANSI standards, the rated wattage is a targeted rather than actual value and can sometimes differ from the value displayed on the lamp packaging. NEMA and OSI recommended DOE not remove the term ‘‘rated wattage,’’ which they stated is widely used and understood by the lighting industry, and instead suggested adding the term ‘‘ANSI rated wattage’’ to differentiate the ANSI-based wattages. (NEMA, No. 9 at p. 5; OSI, No. 5 at p. 4) Although DOE understands that ‘‘rated wattage’’ is a commonly used term in the lighting industry, DOE also notes that its meaning may differ depending on the context in which it is used (i.e., referring to wattages referenced in ANSI standards as VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 opposed to the wattage listed on the CFL). Using the term ‘‘labeled wattage’’ will avoid any potential confusion when applying DOE’s test procedures and align with the definition of the term, which specifies it as the wattage marked on the lamp. Therefore, in this final rule, DOE removes ‘‘rated wattage’’ and defines ‘‘labeled wattage’’ as the highest wattage marked on the lamp and/or lamp packaging. g. Self-Ballasted Compact Fluorescent Lamp The term ‘‘self-ballasted compact fluorescent lamp,’’ as defined in appendix W, means a CFL unit that incorporates, permanently enclosed, all elements that are necessary for the starting and stable operation of the lamp, and does not include any replaceable or interchangeable parts. The terms self-ballasted CFL, integrally ballasted CFL, and integrated CFL are used interchangeably in industry to identify a CFL that contains all components necessary for the starting and stable operation of the lamp, does not include any replaceable or interchangeable parts, and is connected directly to a branch circuit through an ANSI base and corresponding ANSI standard lamp-holder (socket). Because DOE proposed to include test procedures for additional categories of CFLs, including integrated and nonintegrated CFLs, in the July 2015 NOPR, DOE also proposed to define the mutually exclusive terms ‘‘integrated CFL’’ and ‘‘non-integrated CFL’’ to clearly differentiate the applicability of the relevant CFL test procedures and energy conservation standards. Specifically, DOE proposed to remove the definition of ‘‘self-ballasted compact fluorescent lamp’’ and add a new definition for the term ‘‘integrated compact fluorescent lamp’’ as an integrally ballasted CFL that contains all components necessary for the starting and stable operation of the lamp, does not include any replaceable or interchangeable parts, and is connected directly to a branch circuit through an ANSI base and corresponding ANSI standard lamp-holder (socket). DOE also proposed to add a definition of ‘‘nonintegrated compact fluorescent lamp’’ as ‘‘a compact fluorescent lamp that is not integrated.’’ 80 FR 45734. OSI and NEMA stated that the proposed definition for ‘‘nonintegrated’’ was unnecessarily broad and encompassed all CFLs that are not integrated CFLs. OSI and NEMA instead suggested DOE incorporate the following ANSI C78.901–2014 definition for non-integrated CFLs: a CFL that has an ANSI pin base, does not PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 59393 incorporate a ballast, and appears in ANSI C78.901–2014. (OSI, No. 5 at p. 5; NEMA, No. 9 at p. 5) Additionally, during the public meeting held to discuss the July 2015 NOPR, OSI asked why the term ‘‘integrated’’ was chosen as opposed to ‘‘self-ballasted.’’ OSI also inquired about the use of the term ‘‘pin based’’ in the context of ‘‘nonintegrated.’’ (OSI, Public Meeting Transcript, No. 4 at pp. 53–54) Philips responded that UL 1993 13 uses the term ‘‘self-ballasted lamp’’ and acknowledged that the IES struggled with the terms when developing IES LM–65–14 and IES LM–66–14, but ultimately both documents use the terms integrated and non-integrated when appropriate. (Philips, Public Meeting Transcript, No. 4 at pp. 53–55) The term ‘‘integrated’’ can be used across lamp technologies to describe lamps that contain all the necessary components for operation, and thereby provides consistency across DOE test procedures for lamps. The term supports the March 2016 NOPR and the amended standards for CFLKs, both of which apply to lamps that use ballasts as well as drivers. Further, because this test procedure applies to all CFLs, it is DOE’s intent to set forth terminology that includes all CFL types. Based on its review of products, DOE determined that a CFL is either ‘‘integrated’’ or ‘‘non-integrated’’ and intentionally defined the terms to be mutually exclusive (i.e., a CFL can be either integrated or non-integrated, but not both) and inclusive of all CFLs. Therefore, DOE defines ‘‘non-integrated compact fluorescent lamp’’ to include any CFL that does not meet the definition ‘‘integrated compact fluorescent lamp’’ and does not limit this definition by base type or inclusion in industry standard. Hence, in this final rule, DOE removes the definition of ‘‘self-ballasted compact fluorescent lamp’’ and adds new definitions for ‘‘integrated compact fluorescent lamp’’ and ‘‘non-integrated compact fluorescent lamp.’’ 4. Test Procedures for Existing and New Metrics a. Test Procedures for Initial Lamp Efficacy, Lumen Maintenance, CCT, CRI, and Power Factor In the July 2015 NOPR, DOE proposed to continue to include test procedures for measuring initial lamp efficacy and lumen maintenance and add test procedures for measuring CCT, CRI, and power factor in appendix W. DOE 13 UL. UL1993, ‘‘Self-Ballasted Lamps and Lamp Adapters,’’ https://ulstandards.ul.com/standard/ ?id=1993_4 E:\FR\FM\29AUR4.SGM 29AUR4 59394 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES4 proposed that the test procedures for initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, CCT, and CRI would apply to both integrated and non-integrated lamps, although the test procedure for power factor would only apply to integrated lamps. 80 FR 45735. The following sections discuss these metrics and the related comments received. Initial Lamp Efficacy and Lumen Maintenance Although appendix W currently specifies a test procedure for initial lamp efficacy and lumen maintenance, it does not explicitly state how to measure and calculate initial lamp efficacy and lumen maintenance values. In order to standardize the CFL test procedure and the calculation of these values, DOE proposed that initial lamp efficacy be determined as the measured initial lumen output divided by the measured initial input power. DOE further proposed to reference IES LM– 66–14 for test conditions and setup to measure initial lamp efficacy, lumen maintenance at 1,000 hours, and lumen maintenance at 40 percent of lifetime. 80 FR 45735. DOE did not receive any comments regarding its proposals for initial lamp efficacy and therefore, in this final rule, adopts them as described in the July 2015 NOPR. Similarly, in the July 2015 NOPR, DOE proposed to calculate lumen maintenance at 1,000 hours as measured lumen output at 1,000 hours divided by the measured initial lumen output and to calculate lumen maintenance at 40 percent of lifetime as the measured lumen output at 40 percent of lifetime of a compact fluorescent lamp divided by the measured initial lumen output. 80 FR 45735. DOE evaluated its existing energy conservation standards and ongoing standards rulemakings for CFLs as well as FTC Lighting Facts labeling and determined that a lumen maintenance at 1,000 hours metric is not required for non-integrated CFLs. Therefore, in this final rule, DOE is only adopting a test procedure for lumen maintenance at 1,000 hours for integrated CFLs. GE and Philips commented during the public meeting for the July 2015 NOPR that logistical testing issues arise if the definition of lifetime is changed to a measured quantity. GE and Philips postulated that they could not measure lumen maintenance at 40 percent of measured lifetime because the point at which lifetime is determined would be later than the 40 percent of the lifetime measurement point. (GE, Public Meeting Transcript, No, 4 at pp. 44–47; Philips, VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 Public Meeting Transcript, No. 4 at pp. 21–22) Both NEMA and OSI proposed measuring lumen maintenance at 40 percent of a rated lifetime rather than the lifetime measured as proposed by DOE. (NEMA, No 9 at pp. 4–5; OSI, No 5 at p. 4) DOE acknowledges the logistical concerns about measuring lumen maintenance at 40 percent of the lifetime of a CFL. In this final rule, DOE is adopting that lumen maintenance at 40 percent of lifetime can be an estimated value for initial certification of new basic models or existing basic models when retesting is required until lifetime testing is complete. As described in section 10 CFR 429.35(b), certification reports must be submitted for CFLs and represented values of lifetime, lumen maintenance at 40 percent of lifetime, life, and rapid cycle stress test surviving units are estimated values until testing is complete. Upon completion of lifetime testing, the next annual certification report must include final values for these metrics based on the actual represented value for lifetime. In this way, the time required to test for lifetime, lumen maintenance at 40 percent of lifetime, life, and rapid cycle stress will not delay the distribution in commerce of a lamp. (See section III.G for further details on certification reports.) Although DOE is adopting test methods for lumen maintenance at 40 percent of lifetime for both integrated and non-integrated CFLs, DOE notes that standards for lumen maintenance at 40 percent of lifetime are only applicable for integrated CFLs, specifically MBCFLs. Lumen maintenance at 40 percent of lifetime for non-integrated CFLs is only required to the extent that manufacturers wish to make representations regarding the lumen maintenance of their products or participate in the voluntary ENERGY STAR program. Correlated Color Temperature (CCT) In the July 2015 NOPR, DOE proposed to establish a test procedure for measuring CCT in appendix W. The term ‘‘correlated color temperature’’ is defined in 10 CFR 430.2 as the absolute temperature of a blackbody whose chromaticity most nearly resembles that of the light source. DOE proposed adding the abbreviation ‘‘CCT’’ to this definition as explained in section III.B.2. DOE further proposed that CCT be measured and calculated in accordance with IES LM–66–14, which references Commission Internationale de l’Eclariage (CIE) 15:2004 (3rd edition), ‘‘Colorimetry.’’ 80 FR 45735. CIE 15:2004 was previously PO 00000 Frm 00010 Fmt 4701 Sfmt 4700 incorporated by reference in a test procedure final rule published on July 6, 2009 for general service fluorescent lamps, incandescent reflector lamps (IRLs), and general service incandescent lamps (GSIL) for appendix R (hereafter ‘‘2009 GSFL, IRL, and GSIL Test Procedure’’). 74 FR 31829, 31834. Both the CA IOUs and the EEAs supported the proposed methodology to measure CCT. (CA IOUs, No. 7. at pp. 3–4; EEAs, No. 8 at p. 4) Likewise, NEMA had no issues with the proposed test procedure, but noted that the proposed methodology would add measurements to the existing requirements. (NEMA, No. 9 at p. 6) OSI added that the additional measurements would have no regulatory benefit. (OSI, No. 5 at p. 5) Although DOE agrees with commenters that DOE has not set standards or requirements regarding the CCT of CFLs, as noted previously, this test procedure supports the FTC Lighting Facts labeling requirements for lighting products, the ENERGY STAR Lamps Specification V2.0 and the ENERGY STAR Luminaires Specification V2.0, all of which require the CCT metric. Therefore, in this final rule, DOE adopts the test procedure for CCT and incorporates CIE 15:2004 by reference for appendix W as proposed in the July 2015 NOPR. Color Rendering Index (CRI) In the July 2015 NOPR, DOE proposed establishing a test procedure for measuring CRI in appendix W. DOE proposed that CRI must be measured and calculated in accordance with IES LM–66–14, which references CIE 13.3– 1995, ‘‘Method of Measuring and Specifying Colour Rendering Properties of Light Sources.’’ DOE also proposed to incorporate CIE 13.3–1995 by reference for appendix W. 80 FR 45735. CIE 13.3– 1995 was previously incorporated by reference for appendix R in the 2009 GSFL, IRL, and GSIL Test Procedure. The CA IOUs and EEAs supported the proposed test procedure for CRI. (CA IOUs, No. 7 at pp. 3–4; EEAs, No. 8 at p. 4) NEMA and OSI expressed the view that a CRI test method would have no regulatory benefit and should not be included in the test method but agreed the proposed methodology was appropriate for measuring CRI. (NEMA, No. 9 at p. 6; OSI, No. 5 at p. 5) Philips commented that CRI should be excluded from the test procedure, as the metric would not yield substantial energy savings. (Philips, No. 6 at p. 3) The EEAs proposed testing color under the new IES metric outlined in IES TM–30–2015, IES Method for Evaluating Light Source Color Rendition. (EEAs, No. 8 at p. 4) IES TM– E:\FR\FM\29AUR4.SGM 29AUR4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations 30–2015 is a new methodology for evaluating different color properties than CRI.14 CRI is determined by comparing a specific set of eight color samples and calculating the average term known as Ra. In contrast, IES TM– 30–2015 provides calculations and directions for quantifying fidelity (Rf, which is the closeness to a reference) and gamut (Rg, which is the increase or decrease in chroma). DOE must specify test procedures in order to determine whether the products comply with any relevant standards promulgated under EPCA. (42 U.S.C. 6295(s)) In the March 2016 NOPR, DOE proposed that MBCFLs have a CRI of at least 80. 81 FR 14554. Additionally, ENERGY STAR Lamps Specification V2.0 and Luminaire Specification V2.0 include a CRI requirement. Therefore, in this final rule, DOE establishes a test procedure for CRI and incorporates CIE 13.3–1995 by reference for appendix W. As there are no existing standards for IES TM–30–2015 color metrics for CFLs, nor were any proposed in the March 2016 NOPR, DOE is not adopting test procedures to evaluate color metrics specified in IES TM–30–2015 in this final rule. In this final rule, DOE is adopting test methods for determining CRI for both integrated and non-integrated CFLs. While DOE is only adopting certification requirements for integrated CFLs when complying with general service lamps standards, if adopted, DOE’s test procedure for CRI is applicable to all CFLs and must be used when making representations. (As proposed in the March 2016 NOPR, 81 FR 14554) More specifically, if a manufacturer of a non-integrated CFL decides to make representations of CRI in its product literature, manufacturer catalogues, labeling, or for voluntary energy-efficiency programs, the manufacturer must use the DOE test procedure, including sampling plan. mstockstill on DSK3G9T082PROD with RULES4 Power Factor In the July 2015 NOPR, DOE proposed a test procedure for measuring power factor for integrated CFLs based on electrical measurements conducted in accordance with section 5.0 of IES LM– 66–14. DOE also proposed to define power factor in appendix W as the measured root square mean (RMS) input power (watts) divided by the product of the measured RMS input voltage (volts) and the measured RMS input current (amps). 80 FR 45735. DOE did not 14 IES Method for Evaluating Light Source Color Rendition. https://www.ies.org/store/product/iesmethod-for-evaluating-light-source-color-rendition3368.cfm. VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 receive comments on the proposed definition. In this final rule, DOE has modified the definition slightly to align with the definition in ENERGY STAR. Therefore, DOE adopts the following definition of power factor: power factor means the measured input power (watts) divided by the product of the measured RMS input voltage (volts) and the measured RMS input current (amps). The CA IOUs and EEAs commented that they were supportive of the requirement of testing power factor as well as the proposed approach. (CA IOUs, No. 7 at pp. 4; EEAs, No. 8 at pp. 3–4) GE, Philips, NEMA, and OSI commented that power factor should be excluded from the test procedure, with Philips stating that the metric would not yield substantial energy savings, and NEMA and OSI stating that it would have no regulatory benefit. (GE, Public Meeting Transcript, No. 4 at pp. 140– 142; OSI, No. 5 at p. 5; Philips, No. 6 at p. 3) In the March 2016 NOPR, DOE proposed setting a minimum power factor standard for MBCFLs. 81 FR 14528, 14554–14555 (March 17, 2016). DOE notes that ENERGY STAR Lamps Specification V2.0 also includes a power factor requirement. As power factor is required to demonstrate compliance with the proposed GSL energy conservation standards and to support the ENERGY STAR requirements, in this final rule, DOE is establishing a test procedure for power factor. GE, NEMA, OSI, and Philips commented that power factor is not relevant to non-integrated CFLs because it is a metric specific to the ballast. (GE, Public Meeting Transcript, No. 4 at pp. 140–142; NEMA, No. 9 at p. 6; OSI, No. 5 at p. 5; Philips, No. 6 at p. 3) In response, DOE clarifies that the power factor test procedure is only applicable to integrated CFLs. DOE also received a comment from the CA IOUs recommending that DOE consider requiring the measurement and reporting of total harmonic distortion of current (abbreviated as THD in the comment). (CA IOUs, No. 5 at p. 4) In the March 2016 NOPR, DOE stated that THD is directly related to power factor and a power factor requirement will effectively establish a standard for THD. 81 FR 14555–14556. Therefore, DOE is not adopting a test procedure for total harmonic distortion of current in this final rule. b. Test Procedures for Time to Failure In the July 2015 NOPR, DOE proposed test procedures for measuring time to failure in appendix W for integrated and PO 00000 Frm 00011 Fmt 4701 Sfmt 4700 59395 non-integrated CFLs. 80 FR 45735. DOE determined that test conditions, setup, and measurement of time to failure should be as specified in IES LM–65–14. DOE also proposed that use of simulated fixtures during time to failure testing of CFLs not be allowed. This proposed provision was to prevent potential variation in testing of CFLs and to ensure that all CFLs are tested in a consistent manner. 80 FR 45732. NEMA agreed with DOE’s proposal to disallow the use of simulated fixtures during time to failure testing. (NEMA, No. 9 at p. 3) OSI requested that DOE not include lifetime testing for pin base CFLs in the test procedure, noting that initial lamp efficacy is sufficient for reporting metrics of these lamp types. (OSI, No. 5 at p. 2) NEMA agreed with OSI that DOE should not include lifetime testing for pin base CFLs. NEMA also stated that lifetime testing would depend on the ballast operating the non-integrated CFL. (NEMA, No. 9 at pp. 2, 6) DOE agrees with NEMA that the specific ballast used affects the lifetime of non-integrated CFLs; however, the characteristics of the lamp also affect this metric. Further, manufacturer catalogs specify the lifetime of nonintegrated CFL products and lifetime is also required by ENERGY STAR Luminaires Specification V2.0. Therefore, DOE finds that lifetime is an important characteristic of the performance of the non-integrated CFL. Additionally, by using reference ballasts when testing non-integrated CFLs, DOE is able to assess the performance of the non-integrated CFL in a comparable and standardized way across all nonintegrated lamps. In this final rule, DOE adopts the proposed test procedures for time to failure for integrated and nonintegrated CFLs to be used to determine lifetime. c. Test Procedure for Rapid Cycle Stress Test In the July 2015 NOPR, DOE proposed test procedures for conducting rapid cycle stress testing for integrated and non-integrated CFLs. DOE proposed that test conditions, setup, and rapid cycle stress testing be as specified in IES LM– 65–14, but retained the existing operating cycle for rapid cycle stress testing (i.e., CFLs must be cycled continuously with each cycle consisting of one 5-minute on period followed by one 5-minute off period). 80 FR 45735. DOE did not propose any modifications to the rapid cycle stress test itself, but did propose modifications to rounding requirements (see section III.A.7), removal of test procedure language from the energy conservation standard E:\FR\FM\29AUR4.SGM 29AUR4 59396 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES4 requirements (see section III.F.4), and modifications to sample size (see section III.H.2) for this test. DOE received comments that rapid cycle stress testing should not be applied to non-integrated CFLs. GE commented that rapid cycle stress testing should not apply to nonintegrated CFLs because it is dependent on the ballast paired with the lamp. (GE, Public Meeting Transcript, No. 4 at pp. 140–142) OSI added that rapid cycle stress testing was designed to stress the ballast and not applicable to nonintegrated CFLs. (OSI, No. 5 at pp. 2, 5) NEMA supported the test procedure for rapid cycle stress testing with the clarification that the test procedure should not apply to non-integrated CFLs. (NEMA, No. 9 at p. 6) Philips also stated that non-integrated CFLs be excluded from rapid cycle stress test and questioned the energy savings aspects related to measuring rapid cycle stress test. (Philips, No. 6 at p. 3) In light of the comments received from interested parties, DOE evaluated its existing energy conservation standards and ongoing standards rulemakings as well as FTC Lighting Facts labeling and ENERGY STAR specifications and determined that rapid cycle stress testing of non-integrated CFLs is not required by any of these regulatory and non-regulatory programs. Therefore, DOE is not adopting a test procedure for rapid cycle stress testing of non-integrated CFLs. DOE notes, however, that the existing standards for MBCFLs, the proposed standards in the March 2016 NOPR, and the ENERGY STAR Lamps Specification V2.0 all contain a requirement for rapid cycle stress testing for MBCFLs. Therefore, DOE retains the test procedure for rapid cycle stress testing for integrated CFLs. d. Test Procedure for Start Time In the July 2015 NOPR, DOE proposed a test procedure for measuring start time for integrated CFLs. In support of the proposed start time test method, DOE defined the terms ‘‘start time,’’ ‘‘start plateau,’’ and ‘‘percent variability.’’ DOE also proposed that the lamp be seasoned, stored at a certain temperature, and tested according to a certain operating procedure following the seasoning. 80 FR 45735–45736. DOE received comments regarding the applicability of the start time metric. NEMA, OSI, and Philips stated that start time is not related to energy efficiency and should not be part of the test procedure. (NEMA, No. 9 at pp. 6,8; OSI, No. 5 at p. 5; Philips, No. 6 at p. 3) NEMA and OSI stated that DOE should abandon the effort to create a test procedure for start time. (NEMA, No. 9 VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 at p. 6; OSI, No. 5 at p. 5) GE, NEMA, Philips, and OSI stated that start time is not applicable to non-integrated CFLs. (GE, Public Meeting Transcript, No. 4 at pp. 140–142; NEMA, No. 9 at p. 8; OSI, No. 5 at pp. 2,7; Philips, No. 6 at p. 3) In the March 2016 NOPR, DOE proposed a requirement for start time for MBCFLs that the lamp must remain continuously illuminated within one second of application of electrical power. 81 FR 14528, 14555 (March 17, 2016). ENERGY STAR Lamps Specification V2.0 includes a requirement for start time. DOE notes that because the ongoing GSL rulemaking considered a start time metric for only integrated CFLs, the July 2015 NOPR proposed measuring start time for only integrated CFLs. 80 FR 45736. In this final rule, DOE continues to specify that only integrated lamps must be tested for start time. DOE received several comments regarding the proposed definitions and test procedures for start time. The CA IOUs agreed with the proposed methods for start time outlined in the July 2015 NOPR. (CA IOUs, No. 7 at pp. 3–4) The EEAs stated that they supported DOE’s test procedures for start plateau, percent variability, and start time as long as they are fully consistent with the ENERGY STAR test procedure for start time. (EEAs, No. 8 at p. 4) If DOE were to require measuring and reporting start time, OSI suggested using the ENERGY STAR procedure, which it stated is well understood. (OSI, No. 5 at p. 5) NEMA noted that although the ENERGY STAR test procedure for start time is well understood, it should not be required for lamps that are not ENERGY STAR certified. (NEMA, No. 9 at p. 6) Both Philips and Westinghouse commented that DOE’s proposed start time procedure seemed overly complicated, and requested that DOE harmonize with or simply adopt the ENERGY STAR test procedure. (Philips, Public Meeting Transcript, No. 4 at p. 65; Westinghouse, Public Meeting Transcript, No. 4 at pp. 66–67) When developing the start time test procedure, DOE reviewed the August 2013 ‘‘ENERGY STAR Program Requirements Product Specification for Lamps Version 1.0: Start Time Test Method.’’ 15 ENERGY STAR released ‘‘ENERGY STAR Program Requirements for Lamps and Luminaires Start Time 15 ENERGY STAR® Program Requirements Product Specification for Lamps Version 1.0: Start Time Test Method. August 2013. www.energystar.gov/sites/default/files/specs// ENERGY%20STAR%20Lamps%20V1%200%20 Final%20Test%20Methods%20and %20Recommended%20Practices.pdf. PO 00000 Frm 00012 Fmt 4701 Sfmt 4700 Test Method’’ 16 in September 2015 (hereafter ‘‘ENERGY STAR Start Time Test Method’’). For this final rule, DOE reviewed the latest version of the ENERGY STAR Start Time Test Methods and determined that the only differences between the two methods are the applicable products and referenced documents.17 DOE determined that its proposed start time test method continues to align with the ENERGY STAR Start Time Test Method, while providing greater specificity in order to ensure consistency and reproducibility in measurements. (DOE also notes section 11.4 of ENERGY STAR Lamps Specification V2.0 references the DOE test procedure for compact fluorescent lamps (once final) for measuring start time of fluorescent lamps.) The following sections describe how the proposed definitions and test procedures for start time harmonize with the ENERGY STAR Start Time Test Methods as well as amendments to these proposals that provide further simplification and clarity. Definitions In the July 2015 NOPR, DOE proposed definitions for the terms ‘‘start plateau,’’ ‘‘percent variability,’’ and ‘‘start time.’’ 80 FR 45754. DOE proposed to define the term ‘‘start plateau’’ as the first 100 millisecond period of operation during which the percent variability does not exceed 5 percent and the average measured lumen output is at least 10 percent of the measured initial lumen output. 80 FR 45736. This definition aligns with ENERGY STAR’s definition of ‘‘initial plateau’’ as ‘‘the point at which the average increase in the light output over time levels out (reduces in slope). This can be determined mathematically or visually based on the lamp output trace.’’ Both definitions are intended to describe a time interval in which the light output is relatively steady. ENERGY STAR does not specify the 16 ENERGY STAR® Program Requirements for Lamps and Luminaires Start Time Test Method. September 2015. https://www.energystar.gov/sites/ default/files/ENERGY%20STAR%20Start%20 Time%20Test%20Method_1.pdf. 17 The August 2013 ENERGY STAR Start Time Test Method applied to integrated CFLs and solidstate lighting (SSL) lamps. In contrast, the September 2015 ENERGY STAR Start Time Test Method applies to all integrated and externally ballasted CFLs, and SSL lamps, light engines, and luminaires. Both versions referenced IES LM–66, ‘‘IES Approved Method for Electrical and Photometric Measurements of Single-Based Compact Fluorescent Lamps.’’ However, the August 2013 ENERGY STAR Start Time Test Method referenced the 2011 version of IES LM–66 and the latest version references the 2014 version of IES LM–66. E:\FR\FM\29AUR4.SGM 29AUR4 mstockstill on DSK3G9T082PROD with RULES4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations method by which such a time interval should be quantitatively and objectively determined. In order to ensure consistent and reproducible measurements, DOE’s proposed definition specifies the time period over which lumen output should be steady as 100 milliseconds and described the criteria for light output that must be met during this time period. DOE selected 100 milliseconds to evenly capture either 5 or 6 full cycles of the sampled waveform (for 50 or 60 Hz input voltage, respectively). 80 FR 45736. Section 5.4 of IES LM–28–12 states that by choosing the integrating time to be a multiple of the period of the line frequency (16.67 milliseconds for 60 Hz), for example, 100 milliseconds (6 line cycles for 60 Hz and 5 line cycles for 50 Hz), the effect of flicker for either line frequency can be removed. Id. Regarding the criteria for determining stability of light output during the first 100 milliseconds, DOE proposed that the percent variability not exceed 5 percent and that the average measured lumen output over the time interval should be at least 10 percent of the measured initial lumen output. The first criterion is intended to quantify when the light output can be deemed ‘‘stable.’’ DOE determined that the criterion that the percent variability cannot exceed 5 percent is sufficient to capture a 100 millisecond interval in which light output is steady and subsequently determine an appropriate start time. The second criterion is intended to capture the time at which light output is first detected for a continuous period and ensure that light is actually being created from the lamp (e.g., a stable output of zero if the lamp fails to turn on is not acceptable). In re-evaluating the latter criterion, DOE found that requiring a specific threshold of light output is unnecessary for the start time metric. According to the test procedures established in this final rule, measured initial lumen output must be determined using the integrating sphere method. Therefore, for comparison purposes, the average lumen output in a 100 millisecond span that occurs during the initial operation of the lamp must also be determined using the integrating sphere method. However, DOE has determined that, due to the precision of the measurement, the integrating sphere may require reconfiguration and additional setup to measure the lumen output in the initial milliseconds of lamp operation. DOE has determined that including the latter criterion does not merit requiring a potentially complex test setup. Removing this criterion would allow for start time testing to be conducted using VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 either an integrating sphere or nonintegrating sphere method such as a photodetector. Therefore, in this final rule, DOE defines ‘‘start plateau’’ to mean ‘‘the first 100 millisecond period of operation during which the percent variability does not exceed 5 percent.’’ To provide further clarity to the definition of ‘‘start plateau,’’ DOE proposed to define the term ‘‘percent variability’’ as the range (calculated by subtracting the minimum from the maximum) expressed ‘‘as a percentage of the mean for the contiguous set of separate lumen output measurements spanning the specified time period, where each lumen output measurement is the average value of the sampled waveform over an interval corresponding to one full cycle of sinusoidal input voltage.’’ 80 FR 45736. Because DOE is no longer requiring lumen measurements to determine start plateau, percent variability also does not have to be based on lumen output. Therefore, DOE is replacing the specification of lumen output measurements with light output values. Additionally, DOE is providing a clearer description of calculating a time-average of measured light output values. In summary, in this final rule, DOE is specifying ‘‘percent variability’’ to be ‘‘the result of dividing the difference between the maximum and minimum values by the average value for a contiguous set of separate time-averaged light output values spanning the specified time period. For a waveform of measured light output values, the timeaveraged light output is computed over one full cycle of sinusoidal input voltage, as a moving average where the measurement interval is incremented by one sample for each successive measurement value.’’ In the July 2015 NOPR, DOE proposed to define the term ‘‘start time’’ as the time, measured in milliseconds, between the application of power to the CFL and the point when the measured full-cycle lumen output (the average value of the sampled waveform over an interval corresponding to one full cycle of sinusoidal input voltage) reaches 98 percent of the average measured lumen output of the start plateau. 80 FR 45754. ENERGY STAR defines start time as ‘‘the time between the application of power to the device and the point where light output reaches 98% of the lamp’s initial plateau.’’ GE commented that from the consumer’s perspective the simplest definition for start time is the time between energizing the circuit and the first light output. GE added that the specification of 97 or 96 percent of the plateau was not distinguishable. (GE, PO 00000 Frm 00013 Fmt 4701 Sfmt 4700 59397 Public Meeting Transcript, No. 4 at pp. 68–70) ENERGY STAR Lamps Specification V2.0 describes start time as the time for a lamp to remain continuously illuminated after applying electrical power. DOE agrees that the start time metric is intended to capture the time of detection of first continuous light output. Hence, the 98 percent threshold is not necessary for representative measurements of start time. Therefore, in this final rule, DOE removes this element from the definition of start time. Additionally, DOE provides a clearer description of the point at which start time should be determined. In summary, DOE defines ‘‘start time’’ to mean ‘‘the time, measured in milliseconds, between the application of power to the CFL and the beginning of the start plateau.’’ Lamp Storage/Operating Cycle Post Seasoning In the July 2015 NOPR, DOE proposed that, after seasoning, units must be stored at 25 ± 5 °C ambient temperature for a minimum of 16 hours prior to testing, after which the ambient temperature must be 25 ± 1 °C for a minimum of 2 hours prior to testing. DOE also determined that any units that have been off for more than 24 hours must be operated for 3 hours and then be turned off for 16 to 24 hours prior to testing. 80 FR 45736. ENERGY STAR Start Time Test Method prescribes similar specifications with the time period characterized as 20 ± 4 hours. During the public meeting for the July 2015 NOPR, OSI stated that 16 hours after the lamp is seasoned before testing was atypical for its test laboratories and based on this schedule the time that testing could begin would be outside the normal work schedule. OSI added that the rationale for the 16 hours after seasoning was not well understood. (OSI, Public Meeting Transcript, No. 4 at pp. 73–74) During the public meeting, DOE noted that the proposed storage and operating cycle post seasoning requirements were consistent with ENERGY STAR. (DOE, Public Meeting Transcript, No. 4 at p. 75) OSI acknowledged the ENERGY STAR specification of the 16 hour period, but, stated that ENERGY STAR testing does not represent all of the testing that OSI conducts because not all of their products are submitted to ENERGY STAR. OSI elaborated they did not have a technical justification for or against the time period, but that it could be a potential cost burden. (OSI, Public Meeting Transcript, No. 4 at p. 74) Westinghouse Lighting (Westinghouse) added that the scheduling and E:\FR\FM\29AUR4.SGM 29AUR4 59398 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES4 subsequent cost issues described by OSI are even more pronounced for them because they use an independent testing laboratory where not all Westinghouse products may be tested at the same time. (Westinghouse, Public Meeting Transcript, No. 4 at pp. 74–76) The proposed operating cycle ensures that the lamp has been seasoned and recently operated, but not so recently that elements in the recent operation of the lamp could directly affect start time. DOE does clarify in this final rule that the 3 hours that the unit must be operated after being off for more than 24 hours is a minimum of 3 hours. This specification is mainly for clarification purposes; DOE does not find that operating the lamp for a longer period would affect the start time testing. Any units that have been off for more than 24 hours must be operated for a minimum of 3.0 hours and then be turned off for 16 to 24 hours prior to testing. DOE notes that the range of 16 to 24 hours in the off state provides an 8 hour range during which start time testing may begin, which should allow it to be conducted during normal working hours. Therefore, DOE adopts the proposed operating cycle and ambient temperature requirements described in this final rule. Testing Methodology For test setup and conditions for measuring start time, DOE proposed in the July 2015 NOPR to reference IES LM–66–14 and IES LM–54–12. 80 FR 45735–45736. DOE proposed to adopt the measurement circuit requirements as specified in section 5.2 of IES LM– 66–14 and that lumen output measurements be taken as specified in section 6.3.1 of IES LM–66–14. DOE also proposed to adopt seasoning specifications as provided in sections 4, 5, 6.1, 6.2.2.1of IES LM–54–12. 80 FR 45736. Further, DOE proposed that a multichannel oscilloscope with data storage capability be connected to record the input voltage to the CFL and its lumen output. DOE specified that the oscilloscope must be set to trigger at 10 V lamp input voltage, to have the vertical scale set at a vertical resolution that is 1 percent of measured initial lumen output or finer, and to be set to sample the lumen output waveform at a minimum rate of 2 kHz. Id. The proposed test setup and conditions generally align with those specified by ENERGY STAR. Section 4(B) of the ENERGY STAR Start Time Test Method references IES LM–66–14 and IES LM–54–12. Section 5.A(2) of the ENERGY STAR Start Time Test Method requires a multichannel oscilloscope with data storage capability VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 and section 7.1(F) also requires to set the trigger level at 10 V. DOE’s proposal for a minimum 2 kHz sampling rate is also consistent with the ENERGY STAR requirement for flicker testing,18 and DOE understands that this requirement would also provide sufficient horizontal resolution for start time testing. DOE did not receive any comments specific to the proposed test setup and conditions for start time. In this final rule, DOE adopts the test setup and conditions as proposed in the July 2015 NOPR. In the July 2015 NOPR, DOE also proposed that upon the trigger for start time testing, the sampled lumen output waveform must be recorded until the measured lumen output has reached the start plateau. 80 FR 45736. In addition, DOE proposed in the NOPR that the trace of full-cycle lumen output must be calculated as a moving average, whereby values are determined at least once every millisecond and each value represents the full-cycle interval in which it is centered. Id. The August 2013 ENERGY STAR Start Time Test Method provides an example of a light output trace for compact fluorescent lamps. Aligning with ENERGY STAR, DOE’s proposed steps provide specifics on recording such a light output trace and how time-averaged values from the light output trace should be calculated. Specifically, in this final rule, DOE states that, upon the trigger for start time testing, the sampled light output must be recorded until the start plateau (as defined in this section) has been determined. Additionally, in this final rule, to determine the ‘‘percent variability’’ of light output in accordance with the start plateau definition, DOE requires calculation of a time-averaged light output value at least once every millisecond where each value represents the full-cycle interval in which it is centered. DOE further specifies that, for a waveform of measured light output values, the timeaveraged light output is computed over one full cycle of sinusoidal input voltage, as a moving average where the measurement interval is incremented by one sample for each successive measurement value. Lamp Orientation In the July 2015 NOPR, DOE proposed that all units be tested in the base up position, but that if the position is 18 ENERGY STAR® Program Requirements Product Specification for Lamps Version 1.0—Light Source Flicker Recommended Practice. August 2013. Washington, DC. www.energystar.gov/sites/ default/files/specs//ENERGY%20STAR%20 Lamps%20V1%200%20Final%20 Test%20Methods%20and%20Recommended %20Practices.pdf. PO 00000 Frm 00014 Fmt 4701 Sfmt 4700 restricted by the manufacturer, units would be tested in the manufacturer specified position. 80 FR 45755. Section 5(H) of the September 2015 ENERGY STAR Start Time Test Method states the samples be tested in the orientation(s) as specified by the ENERGY STAR specification or manufacturer specified position if different. It should be noted that ENERGY STAR Lamps Specification V2.0 does not state the testing orientation in section 11.4, Start Time. However, for purposes of consistency, DOE proposed that all units for start time be tested in the base up position, but that if the position is restricted by the manufacturer, units must be tested in the manufacturer specified position. DOE did not receive any comments specific to lamp orientation for start time; and in this final rule adopts the sample unit orientation specification. Hybrid Lamps In the July 2015 NOPR, DOE proposed measuring only integrated CFLs for start time, which would include hybrid lamps. 80 FR 45755. DOE also proposed that hybrid CFLs must be tested with all supplemental light sources turned off, if possible. 80 FR 45737. The EEAs cautioned that having the supplemental light source off during testing could yield inaccurate test results for start time testing. (EEAs, No. 8 at p. 3) NEMA requested the start time test procedure not apply to hybrid CFLs or to not require that the supplementary light source not be operating. (NEMA, No. 9 at p .7) GE also requested that hybrid CFLs be exempt from start time testing because it could lead to inaccurate results because one of the primary functions of hybrid CFLs is to allow for quicker start time through the supplemental light source. (GE, Public Meeting Transcript, No. 4 at pp. 59–60) DOE has determined that hybrid lamps should not be exempt from the start time test procedure. The March 2016 NOPR proposes a start time metric for medium base CFLs. If a hybrid CFL meets the definition of medium base CFL, then the applicable standard applies to the hybrid CFL. Similarly, ENERGY STAR Lamps Specification V2.0 does not specify different start time requirements for hybrid CFLs. DOE determined that requiring the supplemental light source be off, if possible, is the most consistent manner in which the various combinations of primary and supplementary light sources in hybrid CFLs can be tested. Therefore, in this final rule, DOE retains the requirement that hybrid CFLs be tested for start time with the E:\FR\FM\29AUR4.SGM 29AUR4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations supplemental light source turned off, if possible. mstockstill on DSK3G9T082PROD with RULES4 5. Test Procedures for New CFL Categories a. Test Procedures for Integrated CFLs In the July 2015 NOPR, DOE proposed test procedures for integrated CFLs without exclusion of any base type. NEMA, OSI, and Philips requested that DOE exclude E12 19 and GU24-based integrated lamps from the test procedure. All three entities stated that lamps with these bases represented a small portion of the market. (NEMA, No. 9 at pp. 2,8; OSI, No. 5 at p. 7; Philips, No. 6 at p. 3) NEMA and OSI further stated that if a particular lamp has the same technical specifications across lamps with medium, E12, and GU24 base types, then DOE should only require testing on MBCFLs. NEMA and OSI argued that base type does not have any effect on lamp performance. (NEMA, No. 9 at pp. 2, 6; OSI, No. 5 at pp. 2, 5) Regarding the applicability of the test procedure to integrated lamps with certain base types, DOE notes that the March 2016 NOPR proposed standards for GU24 base integrated lamps. 81 FR 14551. Further, CFLK standards with required compliance in 2019 are applicable to CFLKs packaged with CFLs of all base types. As both of these standards will be supported by this test procedure, DOE is obligated to establish test procedures for CFLs of all base types for the applicable metrics addressed in those rules. Therefore, in this final rule, DOE does not exclude E12 and GU24-base lamps from the test procedures for integrated CFLs. Regarding lamps that have the same technical specifications, manufacturers must submit represented values of required metrics for each basic model before distribution in commerce. 10 CFR 429.12(a). Represented values of measures of energy efficiency or energy consumption must be the same for all individual models represented by a given basic model. 10 CFR 429.11(a). However, DOE provides manufacturers with the flexibility to group individual models into basic models for the purposes of certification to DOE, provided that all representations regarding the energy efficiency or energy consumption of CFLs within that basic model are identical and based on the most consumptive unit. See 76 FR 19 DOE defines a candelabra base incandescent lamp in 10 CFR 430.2 as a lamp that uses a candelabra screw base as described in ANSI C81.61, Specifications for Electric Bases, common designations E11 and E12 . The base is not specific to the light source, therefore a candelabra base lamp can be either an E11 or E12 base. VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 12422, 12423 (March 7, 2011). Therefore, it may be possible to group lamps that have the same technical specifications but different base types into the same basic model. However, all representations within a basic model must have essentially identical electrical, physical, and functional characteristics that affect energy efficiency (see definition of basic model per 10 CFR 430.2). Accordingly, CFLs that are in separate product classes and thereby subject to separate standards (e.g., integrated and non-integrated CFLs) cannot be grouped in the same basic model. Also, DOE does not believe it is appropriate to group models of lamps that have different testing methods as defined in Appendix W into the same basic model as they will not have essentially identical electrical characteristics. b. Test Procedures for Non-Integrated CFLs In the July 2015 NOPR, DOE proposed test procedures for non-integrated CFLs. Specifically, DOE proposed adopting section 5.2 of IES LM–66–14 for electrical and photometric testing of non-integrated CFLs, which specifies procedures for determining initial lamp efficacy, lumen maintenance at 40 percent of lifetime, CRI, and CCT. 80 FR 45737. To ensure repeatable and consistent measurements, DOE proposed that non-integrated CFLs must be tested using the appropriate reference ballasts as provided in section 5.2 of IES LM–66–14, which specifies using reference ballasts specifications listed in ANSI C78.901–2014, ‘‘American National Standard for Electric Lamps— Single-Based Fluorescent Lamps— Dimensional and Electrical Characteristics,’’ (hereafter ‘‘ANSI C78.901–2014’’). Id. NEMA and OSI agreed with referencing ANSI C78.901–2014 to identify reference ballasts for nonintegrated CFLs, but also stated that industry only has experience using reference ballasts for photometry. (NEMA, No. 9 at pp. 6–7; OSI, No. 5 at pp. 5–6) Reference ballast characteristics provide the necessary functionality to operate a non-integrated CFL and a standardized and consistent method of testing non-integrated CFLs. DOE does not find any technical reason why reference ballasts cannot be used for non-photometric measurements. Therefore, in this final rule, DOE requires using reference ballast specifications in ANSI C78.901–2014 to test non-integrated CFLs for all measurements. In the July 2015 NOPR, DOE noted that certain non-integrated CFL designs PO 00000 Frm 00015 Fmt 4701 Sfmt 4700 59399 do not have reference ballast specifications listed in ANSI C78.901– 2014. For these lamp designs, DOE proposed reference ballast specifications. In cases where there are no reference ballast specifications for a lower wattage CFL, DOE proposed the reference ballast specifications of the corresponding full wattage version, if they existed. For all other cases, DOE developed reference ballast specifications by matching the shape, diameter, and base of the CFL without reference ballast specifications to the most similar CFL with specifications that also had the closest wattage. 80 FR 45737. For any non-integrated CFLs that do not have a reference ballast listed in ANSI C78.901–2014 and for which DOE has not specified reference ballast characteristics in appendix W, DOE also specified two principles that must be employed to determine the appropriate reference ballast specifications. For such a lamp, DOE specified that, manufacturers must use the specifications in ANSI C78.901 2014 for the higher wattage lamp for which it is a replacement; otherwise, use the specifications in ANSI C78.901 2014 for a lamp with the most similar shape, diameter, and base specifications, and next closest wattage. OSI agreed with DOE’s proposal to address lamps for which reference ballast characteristics are not specified. (OSI, No. 5 at pp. 5– 6) In this final rule, DOE is also specifying the appropriate frequency along with the reference ballast values of current, impedance, and voltage. To specify a consistent set of testing procedures for non-integrated CFLs, in the July 2015 NOPR, DOE proposed several clarifications and specifications regarding the circuits on which the lamps must be tested. 80 FR 45737. DOE proposed to test non-integrated CFLs rated for operation on a choice of low frequency or high frequency circuits at low frequency only. Id. GE, NEMA, and OSI stated they were unaware of any dual-frequency reference ballast specifications. (GE, Public Meeting Transcript, No. 4 at pp. 56–57; NEMA, No. 9 at pp. 6–7; OSI, No. 5 at p. 6) NEMA and OSI suggested that DOE require testing at the manufacturer-specified frequency. (NEMA, No. 9 at pp. 6–7; OSI, No. 5 at p. 6) GE stated that, because these products are operating at high frequency in application, testing them at low frequency reference conditions when high frequency reference conditions are available would misrepresent their efficacy. (GE, Public Meeting Transcript, No. 4 at pp. 56–57) As noted previously, in order to establish a set of consistent E:\FR\FM\29AUR4.SGM 29AUR4 mstockstill on DSK3G9T082PROD with RULES4 59400 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations specifications and conditions and to follow industry standards for testing non-integrated CFLs, in this final rule, DOE is requiring the use of ANSI C78.901–2014 for reference ballast values per IES LM–66–14. There are certain lamps for which ANSI C78.901– 2014 provides details for both low and high frequency operation. For example, a 36 W T5 single-based fluorescent lamp on datasheet 78901–ANSI–4019–1 provides reference ballast characteristics for low frequency operation and also information on high frequency ballast design. Manufacturers must use the values designated as ‘‘reference ballast characteristics’’ when testing lamps. If more than one set of values is designated as ‘‘reference ballast characteristics,’’ then manufacturers must use the values designated for low frequency operation. DOE reviewed the reference ballast specifications for nonintegrated CFLs and found that the majority are specified for low frequency operation. Therefore, in this final rule, in order to maintain consistency and comparability across testing, DOE continues to require operating on low frequency where reference ballast characteristics for both low and high frequency operation are provided. DOE also proposed in the July 2015 NOPR that non-integrated CFLs rated for multiple circuits including rapid start (i.e., rapid start and either preheat start or instant start) be tested on rapid start circuits when rapid circuits are an option to ensure consistent measurements. 80 FR 45737. NEMA and OSI disagreed with the requirement to use rapid start circuits. Both NEMA and OSI stated that rapid start circuits have not typically been used in testing of non-integrated CFLs and expressed concerns regarding how the testing would relate to certification, compliance, and enforcement. (NEMA, No. 9 at pp. 6–7; OSI, No. 5 at p. 6) GE indicated that a rapid start circuit would include cathode heat while use of a programmed start circuit would exclude cathode heat. GE explained that testing without cathode heat is the most representative of the current applications. GE further added that including cathode heat would decrease the apparent lamp efficacy, and not be reflective of how the product is used. (GE, Public Meeting Transcript, No. 4 at pp. 56–58) In reviewing the reference circuits specified for lamps, DOE has decided to modify its proposed specifications for reference circuits on which nonintegrated CFLs must be tested in this final rule. In the July 2015 NOPR, DOE proposed to specify that a rapid start reference circuit be used when a non- VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 integrated CFL is rated for multiple circuits in order to establish a consistent set of test specifications. In preparation for this final rule, DOE reviewed the reference ballast specifications for nonintegrated CFLs and found that most lamps are rated for preheat circuits. DOE found that if a lamp was rated for multiple circuits, further specifications still may be needed to indicate the circuit to use for testing. If a lamp is rated for operation on both a preheat and high frequency circuit, the reference ballast characteristics provided describe low frequency operation and therefore the lamp must be tested on the low frequency preheat circuit. If a lamp is rated for operation on both a preheat and rapid start circuit, DOE is specifying in this final rule that the lamp be tested on the preheat circuit in order to maintain consistency and comparability across testing. In this final rule, DOE is not adopting test procedures for lumen maintenance at 1,000 hours or rapid cycle stress test for non-integrated CFLs, as these metrics are not being evaluated for inclusion in, nor are they currently required by, any DOE energy conservation standards, FTC Lighting Facts labeling requirements, or ENERGY STAR program requirements. Therefore, in this final rule, DOE adopts test procedures for initial lamp efficacy, lumen maintenance at 40 percent of estimated lifetime, lifetime, CRI, and CCT for non-integrated CFLs. c. Test Procedures for Hybrid CFLs In the July 2015 NOPR, DOE proposed establishing a test procedure to measure the applicable metrics for hybrid CFLs in appendix W. That is, DOE proposed that the same test procedures for integrated CFLs would be applicable to hybrid CFLs, with a few minor clarifications regarding the configuration and operation of hybrid CFLs during testing. DOE considers hybrid CFLs to be CFLs with an additional light source of a different technology that is not the primary source of light. DOE proposed to define the term ‘‘hybrid compact fluorescent lamp’’ in appendix W as a CFL that incorporates one or more supplemental light sources of different technology. 80 FR 45737–45738. NEMA and OSI proposed the definition of ‘‘a compact fluorescent lamp that incorporates one or more supplemental light sources of different technology, such as halogen or LED, which are energized and operated independently and may or may not operate simultaneously.’’ (NEMA, No. 9 at p. 7; OSI, No. 5 at p. 6) OSI stated that there are different types of hybrid lamps where either the main or the PO 00000 Frm 00016 Fmt 4701 Sfmt 4700 supplemental light source operates or both the main and supplemental light sources operate. OSI requested that both the definition and related test procedures address these different possible configurations of hybrid lamps. (OSI, Public Meeting Transcript, No. 4 at p. 59) DOE reviewed the definition suggested by NEMA and OSI and notes that there is significant overlap between DOE’s proposed definition and the alternate definition. Both definitions contain a reference to a CFL as well as supplemental technologies. DOE finds that the example ‘‘such as halogen or LED’’ is not necessary, as the DOE’s proposed definition specifies that the supplemental light sources would be of ‘‘different technology.’’ Further providing such examples may be misinterpreted by some users to limit the types of applicable supplementary sources. NEMA and OSI’s other suggestion of ‘‘which are energized and operated independently and may or may not operate simultaneously’’ identifies potential operating configurations of the supplementary light sources. By not specifying any configurations for the operation of the supplementary light source, DOE’s proposed definition does not exclude the configurations mentioned by NEMA and OSI or any others. DOE’s proposed definition is also consistent with industry definitions of other hybrid technologies such as a hybrid LED luminaire as defined in IES RP–16–10, which also does not identify the operating parameters of the different light sources. For these reasons, DOE retains the proposed definition from the July 2015 NOPR of the term ‘‘hybrid compact fluorescent lamp’’ as meaning a CFL that incorporates one or more supplemental light sources of different technology. DOE believes that this is consistent with the definition suggested by interested parties, but is more general and leaves less room for misinterpretation of specific examples or operating parameters. In the July 2015 NOPR, DOE proposed a test procedure for hybrid CFLs where the supplemental light source is off (if possible) and the lamp stabilized. Id. In response to the proposal, the EEAs encouraged DOE to incorporate language defining a not-to-exceed time to stabilization prior to taking measurements to prevent extended periods of operation of secondary sources. (EEAs, No. 8 at p. 3) DOE’s test procedure for hybrid CFLs requires that the supplementary source be turned off before initiating testing. In the cases where supplementary source cannot be turned off, the lamp must adhere to stabilization criteria as E:\FR\FM\29AUR4.SGM 29AUR4 mstockstill on DSK3G9T082PROD with RULES4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations specified in section 6.2.1 of IES LM–66– 14. This stabilization criteria involves a series of time-related measurements to determine stable light output and electrical usage. Although the supplementary source may have some effect on the stabilization time, it is more important that the lamp achieve stabilization per an established criterion in order to obtain accurate measurements. Further, the determination of a stable light output will likely be predominantly influenced by the CFL, which is the primary source of light. Therefore, in this final rule, DOE is not adding a not-to-exceed time for stabilization for taking measurements of hybrid CFLs. NEMA was supportive of DOE’s proposed test procedure for hybrid lamps. However, NEMA requested that start time not apply to hybrid CFLs. NEMA added that if start time testing was required for hybrid CFLs, the supplementary light source should be turned on. NEMA agreed with DOE’s proposal to test hybrid CFLs as nonhybrid CFLs (that is with only the CFL source active) for any measurements besides start time. (NEMA, No. 9 at p. 7) The EEAs disagreed with DOE’s proposal that hybrid lamps be tested for efficacy with the supplemental light source turned off. The EEAs argued that having the supplemental light source off during testing could yield inaccurate test results for both start time testing and energy efficiency. (EEAs, No. 8 at p. 3) DOE addressed start time testing in section III.A.4.d. DOE disagrees with the EEAs that testing hybrid CFLs with the supplemental light source off (when possible) would yield inaccurate results for energy efficiency. Testing the hybrid CFL with only the CFL light source operating (when possible) would yield comparable efficacy measurements across basic models of CFLs. Further, based on a review of available hybrid CFLs, DOE has determined that many supplemental light sources turn off automatically or will likely be turned off during normal operation (such as when the supplemental light source is intended to be a night light). Thus, DOE’s test procedure is representative of lamp operation under normal conditions. In this final rule, DOE adopts a requirement that hybrid CFLs must be tested with all supplemental light sources turned off, if possible, and that the lamp be stabilized in the operating mode that corresponds to its primary light source, according to test procedures for CFLs in appendix W. VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 6. Test Procedure for Standby Mode Energy Consumption In the July 2015 NOPR, DOE proposed a test procedure to measure standby mode energy consumption for integrated CFLs, where applicable, in appendix W. 80 FR 45738. EPCA directs DOE to amend its test procedures for all covered products to incorporate a measure of standby and off mode energy consumption in accordance with IEC 62301 and IEC 62087, if technically feasible. (42 U.S.C. 6295(gg)(2)) DOE research indicated that some integrated CFLs include controls, and that these CFLs can operate in standby mode but not off mode. DOE did not find any non-integrated CFLs capable of operation in standby mode or off mode, and understands that any such circuitry would likely be found in the ballast rather than the lamp. Therefore, in the July 2015 NOPR, DOE proposed that standby mode power be measured only for integrated CFLs that are capable of standby mode operation. 80 FR 45738. For integrated CFLs, DOE proposed that standby mode power be measured in accordance with IEC 62301. DOE also proposed to approve IEC 62301, which is already incorporated by reference in 10 CFR 430.3, for incorporation into appendix W. DOE proposed that, when measuring standby power for integrated CFLs, the test conditions and setup must be as prescribed in IEC 62301, except for ambient temperature and ambient airflow. Instead, DOE proposed to prescribe the ambient temperature and ambient airflow requirements in IES LM–66–14 to minimize differences between test procedures for active mode and standby mode. DOE proposed to season lamps in the same manner as test procedures for the other applicable CFL metrics, as described in section III.A.2.e, and to measure standby mode power as prescribed in section 5 of IEC 62301. Finally, DOE proposed that standby mode be initiated when the integrated CFL is connected to the power supply and lumen output is set to zero via remote or other wireless/sensor control. 80 FR 45738. NEMA and OSI commented that, according to the definition proposed in the July 2015 NOPR, CFLs operate in the off mode when switched off. They also stated that off mode consumes no power nor produces any function. (NEMA, No. 9 at p. 7; OSI, No. 5 at p. 6) DOE determined that it is not possible for CFLs to meet the off mode criteria because there is no condition in which a CFL is connected to main power and is not already in a mode accounted for in either active or standby mode. That is, DOE is not aware of any CFLs that, PO 00000 Frm 00017 Fmt 4701 Sfmt 4700 59401 when provided with power, are not operating in active mode (i.e., illuminated) or standby mode (i.e., facilitating the activation or deactivation of active mode via remote switch, internal sensor, or timer). In response to the specific example raised by NEMA and OSI, a CFL that is switched off is not connected to a main power source because the circuit is disrupted at the switch and thus power is not being provided to the CFL. Therefore, in this final rule, DOE retains the position that CFLs do not operate in off mode and has not considered test procedures for such modes of operation. NEMA, Philips, and OSI also requested that DOE explicitly exclude CFLs that are not designed with standby operation from standby mode power measurements. (NEMA, No. 9 at p. 7; OSI, No. 5 at p. 6; Philips, No. 6 at p. 4) DOE agrees with NEMA, OSI, and Philips that only integrated CFLs capable of operating in standby mode should be tested for standby mode energy consumption. In the July 2015 NOPR, DOE proposed regulatory language for measuring standby power in appendix W that stated standby mode energy consumption should be measured only for integrated CFLs that are capable of standby mode operation. 80 FR 45755. For further clarity, in the final rule DOE has moved this instruction to the beginning of the regulatory text for the standby mode test procedure in appendix W. DOE received comments from CA IOUs to harmonize testing for standby mode operation with the LED lamps test procedure.20 (CA IOUs, No. 7 at pp. 4– 5) The CA IOUs wanted to ensure that lamps capable of operation in network mode were tested in network mode. (CA IOUs, No. 7 at pp. 4–5) Specifically, CA IOUs requested that DOE define network mode and suggested that if a product is designed to be connected to a wireless network in order to fully operate, then the test procedure should specify that the lamp is to be connected to the network before testing begins. Connected lamps may require the use of an external control system or hub to serve as a communication point between the lamp and end user, and the CA IOUs asked DOE to specify a maximum permissible distance the control system can be from the lamp during testing. (CA IOUs, No. 7 at pp. 4–5) The EEAs were supportive of the 20 Information regarding the Light-Emitting Diode Lamps Test Procedure Rulemaking can be found on regulations.gov, docket number EERE–2011–BT– TP–0071 at www.regulations.gov/ #!docketDetail;D=EERE–2011-BT-TP–0071. E:\FR\FM\29AUR4.SGM 29AUR4 mstockstill on DSK3G9T082PROD with RULES4 59402 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations CA IOUs comments. (EEAs, No. 8 at pp. 5–6) DOE agrees that the test procedure needs additional detail to specify that lamps capable of operation in standby mode must remain connected to the external wireless network through the entirety of the test for standby mode energy consumption. If the lamp becomes disconnected, the lamp may exit standby mode or otherwise have its power draw affected, which would yield inaccurate test results. Therefore, in this final rule DOE is adding detail to section 4 of appendix W to specify that integrated CFLs capable of connecting to a communication network must be connected to the network prior to testing and must remain connected throughout the duration of the test. DOE did not specify a maximum distance the integrated CFL can be from the control system or hub during testing because DOE believes the requirement for the integrated CFL to remain connected throughout the entire duration of the test ensures that, if an integrated CFL is moved to a distance such that it disconnects from the communication network, the test results would be invalid. CA IOUs also commented that connected lamps may experience cycles or power fluctuations when lamps are communicating with the wireless network, and requested the test procedure provide instructions to account for this in an average power metric over a minimum 5-minute test duration. (CA IOUs, No. 7 at pp. 4–5) The EEAs were supportive of the CA IOUs comments. (EEAs, No. 8 at pp. 5– 6) DOE is requiring that standby mode measurements be taken as specified in section 5 of IEC 62301. DOE notes that section 5 of IEC 62301 gives manufacturers the flexibility to choose the measurement method that best applies to the nature of their products’ power supply. Further, each of the methods available for use in IEC 62301 specifies that the product must have test durations of at least 10 minutes, which is an adequate test duration to ensure wattage fluctuations have been recorded. IEC 62301 also states that data collection at equal intervals of 0.25 seconds or faster is recommended for loads that are unsteady or where there are any regular or irregular power fluctuations. DOE finds that the measurement instructions provided in section 5.0 of the IEC 62301 appropriately account for any potential power fluctuations, and is not specifying additional instructions regarding measurement of standby mode power. VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 In addition, DOE is clarifying in this final rule that standby mode testing must be conducted prior to testing for time to failure. DOE is also clarifying that ambient conditions, power supply, electrical settings, and instrumentation must be the same as used for active mode testing. These clarifications are intended to ensure that test conditions will be as consistent as possible. 7. Rounding Values In the July 2015 NOPR, DOE proposed amending certain rounding requirements for existing metrics, as DOE found the existing rounding requirements for individual units in a given test sample to be inconsistent with the required standard level for some metrics. For example, although final values for lumen maintenance at 1,000 hours and lumen maintenance at 40 percent of lifetime must be rounded to whole numbers, existing standards for lumen maintenance at 1,000 hours (90.0 percent) and lumen maintenance at 40 percent of lifetime (80.0 percent) are specified to the tenth of a percent in 10 CFR 430.32(u). In the July 2015 NOPR, DOE also proposed to move the rounding requirements from appendix W to 10 CFR 429.35. 80 FR 45738. DOE noted in the July 2015 NOPR that the rounding requirements for lumen maintenance measurements are to the nearest tenth for integrated CFLs, and proposed the same requirement for non-integrated CFLs. Id. Both NEMA and OSI recommended that lumen maintenance be rounded to the nearest whole number. (NEMA, No. 9 at p. 8; OSI, No. 5 at p. 7) NEMA further stated that rounding lumen maintenance to the nearest tenth of a percent is not practical or meaningful. (NEMA, No. 9 at p. 8) DOE notes that the lumen maintenance value of the standard is to the tenth of a percent and was established in the 2006 rule that adopted standards for MBCFLs. 71 FR 71340, 71369 (Dec. 8, 2006). DOE understands that at least 3 significant figures are required in both the numerator (maintained lumens) and denominator (initial lumens) to yield 3 significant figures for lumen maintenance values. DOE reviewed product catalogs currently published by OSI and several other CFL manufacturers and determined that lumen output values are often reported to 3 or 4 significant figures. Therefore, DOE has concluded that it is possible to determine lumen maintenance to the nearest tenth of a percent. To align with existing standards, in this final rule, DOE provides in 10 CFR 429.35 that lumen maintenance at 1,000 hours and lumen maintenance at 40 percent of PO 00000 Frm 00018 Fmt 4701 Sfmt 4700 lifetime must be rounded to the nearest tenth of a percent. In the July 2015 NOPR, DOE proposed that lifetime of a CFL be rounded to the nearest hour and that these requirements be located in 10 CFR 429.35. 80 FR 45738. Both NEMA and OSI argued that lifetime should be rounded to two significant digits. (NEMA, No. 9 at p. 8; OSI, No. 5 at p. 7) NEMA further stated that expressing lifetime to the nearest hour is meaningless, as the uncertainty in an individual time-to-failure measurement is much larger than 1 hour. (NEMA, No. 9) However, rounding to the nearest whole hour is consistent with the unit of time used for lifetime metrics for other lamp technologies, such as LED,21 and is a level of accuracy a laboratory is capable of measuring with a standard time-keeping device. In this final rule, DOE adopts a rounding requirement to the nearest whole hour for lifetime. DOE notes that manufacturers can make representations of lifetime to the nearest two significant digits provided that the value is lower than the actual measured lifetime when rounded to the nearest hour (i.e., manufacturers are reporting a conservative value for lifetime). DOE did not receive any comments on the proposal to round initial lamp efficacy values to the nearest tenth of a lumen per watt, input power to the nearest tenth of a watt, lumen output to three significant digits, or rapid cycle stress values to whole numbers. Therefore, in this final rule, DOE adopts these requirements. Additionally, in the July 2015 NOPR, DOE proposed rounding requirements for new proposed metrics of CRI, CCT, start time, standby mode power, and power factor based on industry standard reporting precision, as determined based on a review of manufacturer catalogs. DOE also proposed locating those rounding requirements in 10 CFR 429.35. 80 FR 45738. DOE did not receive any comments related to this proposal. Therefore, in this final rule, DOE adopts the rounding requirements for these metrics as proposed in the July 2015 NOPR, specifically: CRI be rounded to the nearest whole number; start time be rounded to the nearest whole number in milliseconds; CCT be rounded to the nearest 100 K; standby mode power rounded to the nearest tenth of a watt; and power factor be rounded to the nearest hundredths place. 21 See LED final rule test procedure. 81 FR 43404 (July 1, 2016). E:\FR\FM\29AUR4.SGM 29AUR4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES4 B. Amendments to Definitions at 10 CFR 430.2 1. Compact Fluorescent Lamp In the July 2015 NOPR, DOE proposed to add a definition of ‘‘compact fluorescent lamp’’ in 10 CFR 430.2. 80 FR 45738–45739. DOE reviewed its definitions for other lighting products and considered the existing definition of the term ‘‘fluorescent lamp’’ at 10 CFR 430.2 as a basis for its definition of ‘‘compact fluorescent lamp.’’ DOE also consulted the current IES definition of ‘‘compact fluorescent lamp’’ contained in IES RP–16–10 and the description of compact fluorescent lamps in IES LM– 66–14, which includes elements of the lamp characteristics and discusses elements of light output generation. During the public meeting for the July 2015 NOPR, OSI inquired why DOE did not adopt the IES RP–16–10 definition rather than developing a novel definition for compact fluorescent lamp. (OSI, Public Meeting Transcript, No. 4 at pp. 16–20) Lucidity Lights stated that IES labors over the exact wording in definitions and also encouraged DOE to use the exact wording in IES RP–16–10. (Lucidity Lights, Public Meeting Transcript. No. 4 at p. 22) Both NEMA and OSI also recommended that DOE use definitions from or reference IES RP–16–10. (NEMA, No. 9 at p. 5; OSI, No. 5 at pp. 2–3) NEMA stated that the proposed definition for CFL was technically correct, but raised concern that it expanded the scope of the definition. (NEMA, No. 9 at p. 8) DOE appreciates the work that members of the IES did in developing the definitions in IES RP–16–10. DOE reviewed IES RP–16–10 and IES LM– 66–14 in developing this final rule. DOE considered: (1) Use of the term fluorescent lamp; (2) tube diameter; (3) general features (i.e., amalgam, cold chamber); (4) lamp geometry; and (5) base specification and lamp configuration in the definition. The following paragraphs provide additional details on each of these elements. The definition of CFL in section 6.5.6.1.4 of IES RP–16–10 includes the phrase ‘‘a fluorescent lamp with . . .’’ DOE cannot use this element in 10 CFR 430.2 to define a CFL because 10 CFR 430.2 already defines the term fluorescent lamp, which establishes a fluorescent lamp as a low pressure mercury electric-discharge source in which a fluorescent coating transforms some of the ultraviolet energy generated by the mercury discharge into light, and is limited to six specific lamps, all of which are longer than 22 inches and are double ended. If DOE adopted a definition of CFL that contained the VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 term ‘‘fluorescent lamp,’’ it would include these large lamp lengths and base configurations that are not CFLs. The definition of CFL in IES RP–16– 10 also specifies that the diameter of the lamp’s tube must be less than or equal to that of a T5. However, DOE’s review of ANSI standards and manufacturer’s lamp marketing materials indicated that there are CFLs with tube diameters greater than T5. Specifically, ANSI C78.901–2014 includes within their list of data sheets a handful of ‘‘square’’ shaped CFLs that are listed with a corresponding T6 tube diameter. DOE also found manufacturer data sheets of lamps greater than T5 in diameter that were single-ended and folded or bent fluorescent lamps and characterized as CFLs. Therefore, DOE determined that diameter could be a limiting specification that may exclude lamps that should be categorized as CFLs. Therefore, in this final rule, DOE does not include specification of the tube diameter in the definition of ‘‘compact fluorescent lamp.’’ The IES RP–16–10 definition also states that the lamp designs generally include amalgam and a cold chamber, or a cold spot, to control the mercury vapor pressure and light output. These features are general and not distinctive for all CFLs. Therefore, in this final rule, DOE does not include this description in the definition of ‘‘compact fluorescent lamp.’’ The IES RP–16–10 definition of ‘‘compact fluorescent lamp’’ specifies that tube construction must be glass and describes the configuration of the glass tube as folded, bent, or bridged to create a long discharge path. The IES LM–66– 14 description of fluorescent lamps notes that a fluorescent lamp can be made compact in two ways. Fluorescent lamps with electrodes (typically long, tubular lamps) can be made compact by folding the tube one or more times or spiraling it in a helix in such a way that both electrodes are configured to have one connection, leading to single base construction. IES LM–66 also notes that induction-driven electrodeless fluorescent lamps are compact because the discharge current is required to form a closed loop inside the structure. Because fluorescent lamps with a compact size do not necessarily include a glass tube with a specific geometry, DOE does not add such a description to the definition of ‘‘compact fluorescent lamp.’’ Both of the introductory sections of IES LM–65–14 and LM–66–14 discuss that there are two types of CFLs: Integrated and non-integrated. Further, the titles of both IES LM–65–14 and LM–66–14 contain the phrase ‘‘single- PO 00000 Frm 00019 Fmt 4701 Sfmt 4700 59403 based.’’ DOE agrees with these IES documents in the importance of clarifying that CFLs are integrated or non-integrated and single-based. Therefore, DOE retains those terms in the definition of ‘‘compact fluorescent lamp’’ adopted in this final rule. IES LM–66–14 also specifically excludes Ushaped and circline fluorescent lamps from its CFL definition. DOE agrees with IES LM–66–14 that U-shaped and circline lamps are not CFLs. Therefore, to ensure such lamps are not inadvertently misclassified, DOE also retains these exclusions in the definition of ‘‘compact fluorescent lamp’’ adopted in this final rule. In summary, DOE has incorporated language from IES RP–16–10 and IES LM–66–14 that helps clearly define CFLs without erroneously excluding or including lamps. In this final rule, DOE defines a compact fluorescent lamp (CFL) 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 lamps. 2. Correlated Color Temperature In the July 2015 NOPR, DOE proposed modifying the definition of ‘‘correlated color temperature’’ in 10 CFR 430.2 by adding the abbreviation ‘‘CCT.’’ DOE explained that a similar abbreviation exists in 10 CFR 430.2 for the definition of color rendering index or CRI. The abbreviation ‘‘CCT’’ is widely used in industry as well as by ENERGY STAR and in 10 CFR part 430, subpart B, appendix R. 80 FR 45739. Both NEMA and OSI submitted written comments in support of the proposed change. (NEMA, No. 9 at p. 8; OSI, No. 5 at p. 7) OSI also suggested that DOE harmonize the definition with IES RP–16–10. (OSI, Public Meeting Transcript, No. 4 at pp. 16–19) Section 4.6.4.2 of IES RP–16–10 defines ‘‘correlated color temperature of a light source’’ as the absolute temperature whose chromaticity most nearly resembles that of the light source. Other than the added abbreviation of ‘‘or CCT’’ and the phrase ‘‘of a light source,’’ DOE’s definition (defined by EPCA) is the same as IES RP–16–10. Therefore, in this final rule, DOE adopts the abbreviation ‘‘CCT’’ into the term ‘‘correlated color temperature’’ and makes no other changes to the definition. E:\FR\FM\29AUR4.SGM 29AUR4 mstockstill on DSK3G9T082PROD with RULES4 59404 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations 3. Lifetime of a Compact Fluorescent Lamp DOE proposed to define ‘‘lifetime of a compact fluorescent lamp’’ in 10 CFR 430.2 as the time to failure of 50 percent of the sample size (as defined and calculated in 10 CFR 429.35(a)(1)) in accordance with the test procedures described in section 3.3 of appendix W. 80 FR 45733. NEMA and Philips raised concerns that replacing ‘‘average rated life’’ with ‘‘lifetime of a compact fluorescent lamp’’ might result in unintended consequences; specifically, lumen maintenance of a lamp could not be determined until the lamp’s lifetime is known. (NEMA, No. 9 at pp. 4–5; Philips, No. 6 at p. 4) DOE addresses lumen maintenance measurements in section III.A.4.a. NEMA proposed replacing ‘‘average rated life’’ with ‘‘rated life,’’ noting that the latter term appears in the CFR and is similar to the term ‘‘rated lamp life’’ defined in ‘‘Nomenclature and Definitions for Illuminating Engineering’’ from the IES (IES RP–16). NEMA stated the determination of lifetime should be independent of a specific sample size and allow for the use of more stable statistical estimators of the population median value than failure of 50 percent of the sample. Therefore, NEMA recommended that DOE define ‘‘rated life’’ as median time to failure of the population of CFLs. For further support, NEMA stated that EPCA defines ‘‘life’’ and ‘‘lifetime’’ as the length of operating time of a statistically large group of lamps between first use and failure of 50 percent of the group. NEMA also cited the IES Lighting Handbook which states in section 13.3 that for incandescent, fluorescent, and HID lamps, rated lamp life is the total operating time at which, under normal operating conditions, 50% of any large group of initially installed lamps is expected to have failed. This is a statistically determined estimate of the median operational life. NEMA stated that by adopting the definition in the IES Lighting Handbook, DOE would indicate that the lifetime is the median value of a large group of lamps and is statistically determined. NEMA also noted that DOE should not restrict the sample size to a multiple of two if statistical estimation of the population median value is accepted. (NEMA, No. 9 at pp. 4–5, 10) OSI also proposed the term ‘‘rated life’’ citing 10 CFR part 430 and IES RP– 16–10. OSI agreed with NEMA that lifetime should be determined independent of a specific sample size. OSI recommended a definition similar VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 to the one in the IES Lighting Handbook, defining rated life as the total operating time at which, under normal operating conditions, 50 percent of any large group of initially installed lamps is expected to have failed, referencing the historic ENERGY STAR and IES definition. (OSI, No. 5 at pp. 4– 5) In general, NEMA and OSI stated lifetime is poorly estimated by the arithmetic mean of the time to failure of the two middle sample units when sorted in order. (NEMA, No. 9, p. 10; OSI, No. 5 at p. 9) During the public meeting for the July 2015 NOPR, both GE and Westinghouse stated the middle value of a sample was a poor indicator of the median and instead recommended using an entire population. (GE, Public Meeting Transcript, No. 4 at pp. 14–15, 25–26; Westinghouse, Public Meeting Transcript, No. 4 at pp. 15–16) GE added that the intent of the statutory language was to indicate a median value for lifetime, that DOE has the opportunity to clearly specify this and, further, that this value should represent 50 percent failure of the population to align with the industry standard for rated lifetime of lamps. (GE, Public Meeting Transcript, No. 4 at pp. 25–26) DOE understands that the IES Lighting Handbook and EPCA describe ‘‘rated lamp life’’ and ‘‘lifetime’’/‘‘life’’ to be based on a large group of lamps rather than a specific number of lamps. Further, the IES Lighting Handbook states that ‘‘rated lamp life’’ is when 50 percent of any large group of lamps is expected to have failed and that it is a statistically determined estimate of the median operational life. However, DOE notes that it must prescribe test procedures that provide consistent and reproducible results, and allow for comparison of represented values across basic models. Therefore, rather than allow any number of lamps to be used to determine the represented value of lifetime, DOE must specify a minimum sample size. Commenters did not suggest a specific minimum sample size, and as proposed in the July 2015 NOPR, DOE is adopting a minimum sample size of 10 for testing the initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode power. DOE is requiring that the same sample of 10 units be used for testing these metrics, and that a minimum of three units from the same sample of units be tested for start time. (Due to the nature of the test, a unique sample set is required for rapid cycle stress testing.) Each of these metrics PO 00000 Frm 00020 Fmt 4701 Sfmt 4700 contribute to the overall performance of a CFL, and because they are fundamentally related, directly and/or indirectly impact each other. Therefore, the same set of sample units and sample size should result in more accurate measurements of all metrics, including lifetime. Manufacturers may, at their discretion, use a larger sample size to determine a representative value of lifetime if they believe it is warranted. However, the same sample set and size must also be used for testing initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode power; the total number of units in the sample set must be a multiple of two; and a minimum of three units from the sample set must be used for start time. If the same sample of units is not available for the testing of additional metrics for an existing model, the basic model must be retested using the same sample set for all metrics. DOE notes that the statutory definition of lifetime does not include any mention of a statistical method that can be used and DOE is hesitant to allow for any statistical method to determine lifetime. Commenters did not provide explicit suggestions regarding any applicable statistical methods in their comments. In addition, neither the IES Lighting Handbook nor any other industry standard provides a specific statistical method that should be used to determine the lifetime of compact fluorescent lamps. Further, DOE notes that the median of a sample is a robust statistical descriptor of the central tendency of the sample (and thereby the population) that deals well with outlier values, which may be the case in lifetime testing of CFLs. Although other statistical tools can be used to describe the variance about the median or estimate adjusted median values if other attributes about the population are known (e.g., the distribution is a Pareto distribution or a weighted median if the precision of each data point is known and is significantly variable), these more advanced statistical tools are unnecessary, as they would not provide a better description of the expected lifetime of the lamp, as defined by EPCA, than the median value. Therefore, DOE finalizes its proposal in the July 2015 NOPR, that lifetime of a CFL be calculated as the operating time between first use and failure of 50 percent of the sample units; the sample size must be at least 10 units; and the represented value of lifetime must be the median time to failure of the sample (calculated as the arithmetic mean of the time to failure of the two middle sample E:\FR\FM\29AUR4.SGM 29AUR4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES4 units when the numbers are sorted in value order). DOE believes that this definition provides the appropriate specificity to produce consistent and repeatable results while aligning with EPCA’s definition of ‘‘lifetime’’ and ‘‘life’’ as the ‘‘length of operating time of a statistically large group of lamps between first use and failure of 50 percent of the group.’’ In order to provide a clear and consistent test procedure, DOE specifies ‘‘group’’ as a minimum sample size of 10 units for CFLs, but reiterates that manufacturers are not prevented from testing significantly more than 10 CFLs provided the total number tested is a multiple of two. C. Amendments to Materials Incorporated by Reference at 10 CFR 430.3 In the July 2015 NOPR, DOE proposed to incorporate by reference ANSI C78.901–2014, IES LM–54–12, IES LM– 65–14, and IES LM–78–07 industry standards and to extend the incorporation by reference of CIE 13.3– 1995, CIE 15:2004, IES LM–66–14, and IEC 62301 into DOE’s test procedure for CFLs in appendix W. As noted in section III.A.1, DOE proposed in the July 2015 NOPR to incorporate by reference IES LM–54–12, IES LM–65–14, and IES LM–66–14 for appendix W for seasoning, time to failure measurements, and electrical and photometric measurements respectively. 80 FR 45727. In response to this proposal, both NEMA and OSI agreed with the incorporation of IES LM–54– 12, IES LM–65–14, and IES LM–66–14. (NEMA, No. 9 at pp. 3, 8; OSI, No. 5 at pp. 2–3) The CA IOUs noted that the IES LM–54–12 removes the requirement of cycling during seasoning for metrics other than lifetime and did not agree with DOE’s proposal to, accordingly, also remove the cycling requirements in its test procedure. (CA IOUs, No. 7 at p. 3) DOE is requiring cycling for all metrics, see section III.A.1 for further details. In this final rule, DOE incorporates by reference these test methods into 10 CFR 430.3 for appendix W or extends the incorporation by reference of these test procedures to appendix W. As noted in section III.A.2.a, DOE also proposed in the July 2015 NOPR to incorporate by reference IESNA LM–78– 07 for appendix W for measurements using an integrating sphere photometer. 80 FR 45731. DOE did not receive any comments related to incorporating IESNA LM–78–07. Therefore, in this final rule, DOE incorporates by reference this test method into 10 CFR 430.3 for appendix W. VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 As noted in section III.A.4.a, in the July 2015 NOPR DOE proposed incorporating CIE 13.3–1995 and CIE 15:2004 (3rd edition) for appendix W for measuring and calculating CRI and CCT respectively. 80 FR 45739. The CA IOUs were supportive of incorporating by reference both CIE 13.3–1995 and CIE 15:2004 (3rd edition). (CA IOUs, No. 7 at pp. 3–4) Therefore in this final rule, DOE extends the incorporation by reference of these test procedures to appendix W. As noted in section III.A.5.b, in the July 2015 NOPR DOE proposed incorporating by reference ANSI C78.901–2014 for appendix W to include reference ballast specifications for non-integrated CFLs. 80 FR 45739. NEMA supported incorporating by reference ANSI C78.901–2014. (NEMA, No. 9 at pp. 6–7) Therefore in this final rule, DOE incorporates by reference this industry standard into 10 CFR 430.3 for appendix W. As noted in section III.A.6, in the July 2015 NOPR, DOE proposed incorporating by reference IEC 62301 for appendix W for measuring standby mode energy consumption. 80 FR 45739. DOE did not receive any comments related to this proposal. DOE notes that 10 CFR 430.3 presently has two different versions of IEC 62301 incorporated. DOE is extending the incorporation by reference of the edition 2.0, 2011–01 version of IEC 62301 to appendix W. D. Amendments to 10 CFR 430.23(y) In the July 2015 NOPR, DOE proposed to revise and add text at 10 CFR 430.23(y) to reflect other proposed changes to the scope and applicability of DOE’s CFL test procedures. 80 FR 45739. Specifically, the existing text at 10 CFR 430.23(y) indicates that, for MBCFLs, the initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40-percent of rated life, and lamp life must be measured, and the rapid cycle stress test conducted, in accordance with section 4 of appendix W of this subpart. DOE proposed to delete the text ‘‘medium base’’ to reflect the inclusion of additional CFL categories. Id. In addition, in the July 2015 NOPR, DOE also proposed to specify in 10 CFR 430.23(y) the relevant sections of appendix W to be used to measure the following metrics: Initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, CRI, CCT, power factor, time to failure, rapid cycle stress test, start time, and standby mode energy consumption. 80 FR 45739–45740. PO 00000 Frm 00021 Fmt 4701 Sfmt 4700 59405 Both NEMA and OSI submitted comments requesting that DOE retain the term ‘‘medium base’’ in the title of the term because they did not think non-integrated CFLs should be part of the test procedures. (NEMA, No. 9 at p. 7; OSI, No. 5 at p. 6) DOE did not receive any other comments related to this proposed modification. As DOE has stated previously, the test procedures that are the subject of this final rule address integrated and non-integrated CFLs in support of existing and potential standards, as well as requirements of FTC’s Lighting Facts Label and ENERGY STAR Program Requirements for Lamps and Luminaires (see section II for further details). Therefore, in this final rule, DOE is removing the reference to ‘‘medium base’’ and specifying all applicable metrics for CFLs. E. Amendments to Laboratory Accreditation Requirements at 10 CFR 430.25 In the July 2015 NOPR, DOE proposed to amend 10 CFR 430.25 to extend the laboratory accreditation requirements for MBCFL testing to additional CFL categories and metrics covered under the proposed new and amended test procedures. 80 FR 45740. Specifically, DOE proposed to replace the text ‘‘medium base compact fluorescent lamps’’ with the text ‘‘compact fluorescent lamps’’ and specify that if a manufacturer’s or importer’s laboratory is accredited, it may conduct the applicable testing. Id. NEMA and OSI raised concerns that expanding testing in an accredited lab from MBCFLs to all CFLs would increase the testing burden, adding that non-integrated CFLs typically are not tested in accredited laboratories. Additionally, NEMA and OSI asked that this potential requirement be addressed in both the manufacturing impact analysis, as well as testing burden analyzed in the regulatory flexibility analysis. (NEMA, No. 9 at p. 9; OSI, No. 5 at p. 7) Testing in accredited laboratories helps ensure that measurements are consistent and reproducible. Therefore, in this final rule, DOE removes the phrase ‘‘medium base’’ and specifies that if a manufacturer’s or importer’s laboratory is accredited, it may conduct the applicable testing in 10 CFR 430.25. See section IV.B for a discussion of test burden. F. Clarifications to Energy Conservation Standard Text at 10 CFR 430.32(u) MBCFL energy conservation standards are codified in a table at 10 CFR 430.32(u). Certain language in the E:\FR\FM\29AUR4.SGM 29AUR4 59406 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES4 MBCFL energy conservation standards table provides clarification relevant to test procedures (e.g., sampling, test methods, and test calculations). Although this clarifying language is not in conflict with the specifications in the test procedures for MBCFLs contained in appendix W and in 10 CFR 429.35, for simplicity DOE proposed to modify the text in the MBCFL energy conservation standards table to remove specific test procedure language and instead reference the relevant parts of the MBCFL test procedures. In addition, in the introductory paragraph of 10 CFR 430.32(u), DOE proposed to replace the text ‘‘bare lamp and covered lamp’’ with the text ‘‘bare or covered.’’ DOE considered these revisions to be clarifications that do not modify the energy conservation standards. 80 FR 45740–45741. NEMA and OSI in general agreed with separating the test procedure specifications from section (u) with certain exceptions discussed in the next sections. (NEMA, No. 9 at p. 9; OSI, No. 5 at p. 8) In this final rule, DOE retains the change to the first sentence in 10 CFR 430.32(u) to read as ‘‘A bare or covered (no reflector) medium base compact fluorescent lamp manufactured on or after January 1, 2006 . . .’’ Revisions to specific metrics in the table at 10 CFR 430.32(u) and related comments received are described in the subsequent sections. 1. Initial Lamp Efficacy In the July 2015 NOPR, DOE proposed amending the first column of the table in 10 CFR 430.32(u) by replacing the seven instances of the text ‘‘lamp power’’ with the text ‘‘labeled wattage.’’ 80 FR 45740. DOE proposed to use labeled wattage as that is the term DOE is using to define the wattage marked on the lamp that should be used to determine the applicable minimum efficacy requirement (see section III.A.3.f). DOE also proposed deleting the current text in footnote 1. Id. NEMA and OSI recommended using the term ‘‘rated wattage’’ rather than ‘‘labeled wattage.’’ (NEMA, No. 9 at p. 9; OSI, No. 5 at pp. 8–9) As discussed in section III.A.3.f, DOE disagrees with NEMA and OSI about using the term ‘‘rated wattage’’ because DOE believes it may cause confusion or be easily misinterpreted. Instead, DOE retains in this final rule the term ‘‘labeled wattage.’’ In the July CFL TP NOPR, DOE also proposed to remove the text from footnote 2 indicating that for multi-level or dimmable systems, measurements shall be at the highest setting, and acceptable measurement error is ±3 VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 percent. NEMA and OSI suggested keeping the 3 percent measurement error for efficacy and extend it to all other parameters. (NEMA, No. 9 at p. 9; OSI, No. 5 at pp. 8–9) DOE has determined that a 3 percent tolerance is not necessary. DOE addresses measurement error in sample size, confidence limit, and de-rating values as provided in 10 CFR 429.35. Because this allowance for determining compliance with existing standards already exists in 10 CFR 430.32(u), the 3 percent tolerance for efficacy has been maintained but moved to 10 CFR 429.35. 2. Lumen Maintenance at 1,000 Hours In the July 2015 NOPR, DOE proposed amending the text for 1,000-hour lumen maintenance in the second column of the table in 10 CFR 430.32(u), which indicates that the average of at least 5 lamps must have a minimum 90.0 percent of initial (100-hour) lumen output at 1,000 hours of rated life. DOE proposed to delete this text and only state the standard as ≥90.0 percent. DOE also provided specific other changes to the table to correspond with terminology in the amended test procedure. 80 FR 45740. DOE did not receive any comments regarding these specific changes. Therefore, in this final rule, DOE modifies 10 CFR 430.32(u) to remove test procedure text and to align the terminology with the amended test procedure. 3. Lumen Maintenance at 40 Percent of Lifetime In the July 2015 NOPR, DOE proposed amending the text for lumen maintenance in the second column of the table in 10 CFR 430.32(u), which indicates 80.0 percent of initial (100hour) rating at 40 percent of rated life (per ANSI C78.5 Clause 4.10). 80 FR 45740–45741. DOE proposed to delete this text and state only the standard as ≥80.0 percent and other modifications to the table to read lumen maintenance at 40 percent of lifetime. Id. DOE did not receive any comments regarding these specific changes. Therefore, in this final rule, DOE modifies 10 CFR 430.32(u) to remove test procedure text and to align the terminology with the amended test procedure. In addition, for clarity DOE includes a footnote on the term ‘‘lifetime’’ that states ‘‘Lifetime refers to lifetime of a compact fluorescent lamp as defined in 10 CFR 430.2.’’ 4. Rapid Cycle Stress Test In the July 2015 NOPR, DOE proposed amending the text in the second column of the table for rapid cycle stress test in 10 CFR 430.32(u). 80 FR 45741. DOE PO 00000 Frm 00022 Fmt 4701 Sfmt 4700 proposed to delete the first two sentences of this text and to state that each lamp must be cycled once for every 2 hours of lifetime and at least 5 lamps must meet or exceed the minimum number of cycles. Id. NEMA and OSI responded that the row in the table that codifies MBCFL energy conservation standards at 10 CFR 430.32(u) specifically retains the term ‘‘rated lifetime.’’ (NEMA, No. 9 at p. 9; OSI, No. 5 at p. 8) In this final rule, DOE defines the term ‘‘lifetime of a compact fluorescent lamp’’ to be used in the new and amended test procedures (see section III.A.3.a for further details). Therefore, to align with the test procedures, DOE amends table 10 CFR 430.32(u) in this final rule to state that each lamp must be cycled once for every 2 hours of lifetime and at least 5 lamps must meet or exceed the minimum number of cycles. In addition, for clarity DOE includes a footnote on the term ‘‘lifetime’’ that states ‘‘Lifetime refers to lifetime of a compact fluorescent lamp as defined in 10 CFR 430.2.’’ 5. Lifetime In the July 2015 NOPR, DOE proposed amending 10 CFR 430.32(u) by deleting the term ‘‘average rated lamp life’’ and replacing it with the term ‘‘lifetime.’’ 80 FR 45741. DOE also proposed to amend the text in the second column pertaining to lifetime to only state the standard as ≥6,000 hours and that DOE will no longer allow the use of statistical methods at 80 percent of rated life to determine the represented value of lifetime. Id. NEMA and OSI stated that the row should retain the text ‘‘≥6,000 hours as declared by the manufacturer on packaging.’’ (NEMA, No. 9 at p. 9; OSI, No. 5 at p. 8) In this final rule, DOE defines the term ‘‘lifetime of a compact fluorescent lamp’’ and provides test procedures for the measurement and reporting of this value. To avoid potential confusion regarding how lifetime should be measured, DOE removes the language ‘‘as declared by the manufacturer on packaging’’ in this final rule. In addition, for clarity DOE includes a footnote on the term ‘‘lifetime’’ that states ‘‘Lifetime refers to lifetime of a compact fluorescent lamp as defined in 10 CFR 430.2.’’ G. Amendments to Certification Report Requirements In the July 2015 NOPR, DOE recognized that testing of CFL lifetime and lumen maintenance at 40 percent of lifetime require considerably more time than testing of other required CFL metrics. DOE proposed to allow new basic models of CFLs to be distributed prior to completion of the full testing for E:\FR\FM\29AUR4.SGM 29AUR4 mstockstill on DSK3G9T082PROD with RULES4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations lifetime and lumen maintenance at 40 percent of lifetime, as well as prior to completion for the rapid cycle stress test because it is also dependent on lifetime. DOE’s proposal was similar to other lighting technologies in that prior to distribution of the new basic model of CFL, manufacturers may submit an initial certification report based on estimated values of lifetime, 40 percent lumen maintenance, and rapid cycle stress test if the testing for lifetime is not complete. In such a case, the certification report would be required to specifically describe a prediction method that would be generally representative of the methods specified in appendix W. Manufacturers would be required to maintain relevant records, in accordance with 10 CFR 429.71, of the development of all estimated values and any associated initial test data. DOE also proposed amendments to the certification report to address the new and additional metrics that are being adopted in this final rule and are required for compliance with DOE’s energy conservation standards. 80 FR 45741. Philips commented that there currently are no restrictions with respect to the prediction models that may be used, so selection of the prediction model should be at the discretion of the manufacturer, and should only be disclosed to defend it to the DOE if challenged. (Philips, No. 6 at p. 4) NEMA and OSI similarly objected to the proposed requirements that manufacturers must disclose the prediction method and that it must represent one of the methods in appendix W. (NEMA, No. 9 at p. 9; OSI, No. 5 at p. 8; Philips p. 4) The EEAs opposed DOE’s proposal to allow manufacturers to estimate values for lifetime and rapid cycle stress prior to the completion of testing for time to failure, and particularly opposed the proposal that manufacturers be permitted to develop their own prediction methods for these estimates. (EEAs, No. 8 at p. 5) The EEAs stated that, by the time DOE received a full certification report showing that a given model did not meet the standard, manufacturers may be retiring the model and it will have been in commerce for a significant portion of its intended market life. The EEAs also suggested it may be theoretically possible to extrapolate lumen depreciation provided a common approach based on industry standard methods is used. (EEAs, No. 8 at p. 5) Based on a review of the market, DOE found that most CFLs have a lifetime of 10,000 hours or longer and therefore, it may take more than a year to complete VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 the necessary lifetime measurements. Therefore, to accommodate such long testing time, DOE believes that the use of estimated values for lifetime, lumen maintenance at 40 percent of lifetime, and rapid cycle stress testing are required. In response to the concerns of CA IOUs and the EEAs regarding the accuracy of such methods, DOE notes that DOE is not aware of any industrywide accepted method for extrapolation of lumen depreciation for CFLs. Therefore, DOE is not requiring a specific prediction method for estimated values. However, DOE is requiring manufacturers to specify the method of prediction and that this method must be generally representative of DOE’s test procedures for CFLs in appendix W. In addition, DOE is adding a requirement to the certification report that manufacturers must state whether values of lifetime, lumen maintenance at 40 percent of lifetime, and rapid cycle stress testing are based on estimated or measured values. DOE believes that, as noted by CA IOUs and EEAs, such information regarding the prediction methods used by manufacturers is necessary in order to verify that such predictions are valid and based on sound engineering judgement and calculations. Therefore, DOE believes that these requirements regarding the prediction method are adequate and necessary to ensure estimated values are reliable, representative, and consistent with test conditions, setup, and methods specified in DOE’s test procedures for CFLs. In addition, DOE notes that there is precedent for allowing products to be distributed in commerce based on estimated values. DOE allows initial certification reports for GSFLs and incandescent reflector lamps and also requires that manufacturers include a description of any testing or analysis the manufacturer performed. 10 CFR 429.12(e)(2) Under EPCA, MBCFLs may be marketed before completion of testing for lifetime and lumen maintenance at 40 percent of lifetime with supporting engineering predictions and analysis. 42 U.S.C. 6293(b)(12)(C). Therefore, by allowing new basic models of CFLs to be distributed in commerce based on estimated values determined by prediction methods representative of DOE’s test procedures for CFLs, DOE is ensuring products are available to consumers in a reasonable time while still requiring a rigorous process to ensure that all representative values are as accurate and precise as possible. In this final rule, DOE also clarifies that for existing basic models that require retesting, manufacturers may submit an initial certification PO 00000 Frm 00023 Fmt 4701 Sfmt 4700 59407 report based on estimated values of lifetime, 40 percent lumen maintenance, and rapid cycle stress if the testing for lifetime is not complete. The EEAs also recommended that DOE take action to enhance industry adherence with the CFL test procedure. They noted that under two CFL verification testing programs, ENERGY STAR and the Program for the Evaluation and Assessment of Residential Lighting (PEARL), a significant number of ENERGY STARqualified CFLs were found to be noncompliant with ENERGY STAR program requirements. The EEAs noted that these results varied between brands, but the overall consumer dissatisfaction and perception of poor CFL quality applied throughout the industry, regardless of a particular brand’s performance. The EEAs suggested DOE collect and analyze performance data for CFLs sold in the retail distribution chain and adopt an enhanced enforcement strategy focused on brands, rather than only basic models. The EEAs recommended that DOE require manufacturers to submit data that support the enhanced enforcement strategy and to tighten data submission requirements to prevent manufacturers from submitting incomplete or incorrect test data that may misrepresent the quality of products being verified. (EEAs, No. 8 at pp. 6–7) DOE currently has enforcement procedures in place for, among many other products, CFLs that are subject to energy conservation standards. For more information please refer to DOE’s ‘‘Implementation, Certification, and Enforcement’’ Web site at https:// energy.gov/eere/buildings/ implementation-certification-andenforcement. Additionally in the July 2015 NOPR, DOE proposed that if, prior to completion of testing, a manufacturer ceases to distribute in commerce a basic model, the manufacturer must submit a full certification report and provide all of the information listed in 10 CFR 429.12(b), including the productspecific information required by 10 CFR 429.35(b)(2), as part of its notification to DOE that the model has been discontinued. 80 FR 45741. DOE did not receive any comments regarding this proposal and adopts it in this final rule. This provision will help alleviate potential issues envisioned by the EEAs that models will be retired without any accountability for compliance with the standards. Further, for this final rule, DOE separated the certification report requirements for medium base CFLs that E:\FR\FM\29AUR4.SGM 29AUR4 59408 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations are showing compliance with the current energy conservation standards, integrated CFLs that would need to show compliance with potential GSL energy conservation standards, and nonintegrated CFLs which may need to show compliance with potential GSL energy conservations standards. DOE separated these requirements in order to clarify that different values must be reported when certifying compliance to existing standards in 430.32(u) (as it appears in 10 CFR parts 200–499 edition revised as of January 1, 2016) for medium base CFLs; general service lamp energy conservation standards (if adopted) for integrated CFLs; and general service lamp energy conservations standards (if adopted) for non-integrated CFLs. mstockstill on DSK3G9T082PROD with RULES4 H. Amendments to 10 CFR 429.35 The text of the 10 CFR 429.35 title currently addresses bare or covered (no reflector) MBCFLs. DOE proposed in the July 2015 NOPR to remove this text and identical text found in § 429.35(a)(1) and (a)(2), and replace it with the text ‘‘compact fluorescent lamps’’ to reflect the inclusion of additional CFL categories. 80 FR 45741. DOE did not receive any comments on this proposal and therefore adopts this change in the final rule. In addition, DOE also proposed to clarify and amend the sampling requirements for existing and new metrics, provide clarification on reuse of samples, and address failures of sample units. 80 FR 45741. DOE concluded that these clarifications and amendments would not have a significant effect on measured values or test burden. Id. In general, the EEAs were supportive of DOE’s proposed changes to sampling requirements. (EEAs, No. 8 at pp. 2–4) DOE received comments related to the specific proposals to 10 CFR 429.35 and discusses these in detail in the following sections. 1. Initial Lamp Efficacy and Lumen Maintenance Currently, in 10 CFR 429.35, sampling requirements are specified for efficacy, 1,000-hour lumen maintenance, and lumen maintenance at 40 percent of rated life. In the July 2015 NOPR, DOE proposed to replace the terms efficacy, 1,000-hour lumen maintenance, and lumen maintenance, respectively, with the terms initial lamp efficacy, lumen maintenance at 1,000 hours, and lumen maintenance at 40 percent of lifetime. 80 FR 45741–45742. DOE also proposed to create a separate sampling requirement section for initial lamp efficacy in order to include an allowance of 3 percent VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 tolerance on the represented value of this metric (see section III.F.1). Specifically, DOE proposed that, to account for measurement error, the represented value for initial lamp efficacy of MBCFLs may include 3 percent added to the lower of (a) the mean of the sample and (b) the lower 97.5 percent LCL of the true mean divided by 0.95. For example, if the lower value is the mean of the sample at 60.0 lumens per watt, then the 1.03 multiplier could be applied to yield a represented value for initial lamp efficacy of up to 61.8 lumens per watt. DOE concluded that this clarification does not result in a significant impact to measured values. DOE received comments on this proposal and addresses them in section III.F.1. In this final rule, DOE adopts the proposal regarding the 3 percent tolerance for initial lamp efficacy as described in this preamble. Additionally, DOE proposed to expand the sample size from a minimum of 5 units to a minimum of 10 units for initial lamp efficacy, 1,000 hour lumen maintenance, and lumen maintenance at 40 percent of lifetime. 80 FR 45742. Further DOE proposed that if more than 10 units are tested as part of the sample for these three metrics, the total number of units must be a multiple of two so that an equal number of units can be tested base up and base down. DOE also notes that, because the sample set must be the same for all metrics, if the sample size is greater than 10, the same larger sample set must be used for the other metrics required to utilize the sample set (see III.H.5). In the July 2015 CFL TP NOR, DOE also proposed that half of the units be tested base up and half of the units be tested base down, rather than testing all units base up as currently required. Testing in both the base up and base down positions provides an accurate representation of performance under both orientations since the end-use orientation is unknown. 80 FR 45742. OSI raised concerns that adding another orientation besides base up will effectively double testing costs by increasing the number of units under test as well as increasing the infrastructure required. OSI also stated that in many cases, manufacturers have evaluated products only in the base up position. (OSI, No. 5 at p. 8) NEMA stated that modifying the orientation specification would change measured values and add test burden. (NEMA, No. 9 at pp. 3, 8) Test burden is discussed in section IV.B. DOE notes that ENERGY STAR has required both a sample size of 10 and PO 00000 Frm 00024 Fmt 4701 Sfmt 4700 that half be tested in the base up position and the other half in the base down position orientations since version 3.0 of the ‘‘ENERGY STAR® Program Requirements for CFLs’’, which was finalized in 2003.22 CA IOUs commented (and DOE verified) that according to ENERGY STAR 64 percent of integrated CFLs shipped in 2014 were ENERGY STAR certified. (CA IOUs, No. 7 at p. 4) Therefore, a majority of integrated CFLs have already been evaluated in both orientations. NEMA and OSI stated that if testing of non-integrated CFLs is necessary, that these lamps should only be tested in the base up position as base down testing is not representative of actual usage. Further, both NEMA and OSI raised concerns about the burden related to testing non-integrated CFLs in both base up and base down orientations. (NEMA, No. 9 at p. 10; OSI, No. 5 at p. 8) Test burden is discussed in section IV.B. Contrary to the assertion of NEMA and OSI that base down orientation would not be representative of actual use for non-integrated CFLs, DOE has identified fixtures for non-integrated CFLs classified as ‘‘chandelier,’’ ‘‘decorative pendant,’’ and ‘‘sconce/ marker light’’ all with base down lamp orientations.23 DOE retains in this final rule that, for both integrated and nonintegrated CFLs, half the sample size be tested in the base up and the other half in base down orientation. In the July 2015 NOPR, DOE also proposed to specify in 10 CFR 429.35 that any represented value of lumen maintenance at 40 percent of lifetime must be based on a lifetime value that is equal to or greater than the represented value of lifetime. DOE did not receive any comments regarding this proposal; therefore, DOE adopts it in this final rule. 2. Rapid Cycle Stress Testing In the July 2015 NOPR, DOE proposed to restrict the sample size for rapid cycle stress testing to an exact number of units. 80 FR 45742. Currently, the sampling size for rapid cycle stress testing is specified at 10 CFR 429.35(a)(2)(ii) as no less than 6 unique units. DOE proposed specifying that exactly 6 unique units must be tested 22 Version 3.0 of the CFL lamps specification was superseded by other versions of the CFL lamp specification and then ultimately the CFL specification was replaced by the overall lamp specification. However, the original specification can be found at https://www.energystar.gov/ products/spec by searching lighting, light bulbs (CFLs) and historic in status. 23 DOE conducted a search using eLumit, an independently owned, industry-neutral company that is a lighting search and specification tool for design professionals. www.eLumit.com. E:\FR\FM\29AUR4.SGM 29AUR4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES4 per basic model for rapid cycle stress testing with the rationale that this new specification will minimize confusion and improve consistency in the number of samples used for testing. 80 FR 45742. This new sampling requirement is consistent with the sample size requirement for rapid cycle stress testing in the ENERGY STAR Lamps Specification V2.0. DOE did not receive any comments related to the sample size for rapid-cycle stress testing and therefore adopts the requirement in this final rule that the sample size for rapidcycle stress testing be 6 unique units. NEMA and OSI stated that lamp orientation has little effect on the rapid cycle stress testing and suggested that testing half of the lamps base up and half base down would be an additional burden that would not affect the results of the rapid-cycle stress test. (NEMA, No. 9 at p. 10; OSI, No. 5 at p. 8) Rapid cycle stress testing is intended to stress the lamp’s electrical components to evaluate the performance of a lamp undergoing repeated cycling. Lamp orientation affects the thermal conditions of the lamp. Because temperature has some impact on the performance of a lamp’s electrical components, testing in both base up and base down orientations will provide a more comprehensive set of results for assessing rapid cycle stress. Therefore, in this final rule, DOE specifies in appendix W that for rapid cycle stress testing half of the units must be tested in the base up position, and half of the units must be tested in the base down position, but that if the position is restricted by the manufacturer, units must be tested in the manufacturerspecified position. In the July 2015 CFL NOPR, DOE also proposed a new paragraph in 10 CFR 429.35 that any represented value of rapid cycle stress test surviving units must be based on a lifetime value that is equal to or greater than the represented value of lifetime. 80 FR 45742. DOE did not receive any comments on this proposal and therefore, adopts it in this final rule. 3. Lifetime of a Compact Fluorescent Lamp In the July 2015 NOPR, DOE proposed clarifying the sampling requirements for the lifetime of a CFL, including the position in which lamps are tested. Specifically DOE proposed to align the sampling requirements for lifetime with the sampling requirements for initial lamp efficacy and lumen maintenance. DOE clarified that if more than 10 units are tested as part of the sample, the total number of units must be a multiple of two and the time to failure value as VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 determined per section 3.3 of appendix W must be used to determine the represented value of lifetime. 80 FR 45742. DOE did not receive any comments regarding this proposal and therefore, in this final rule, adopts it as proposed. 4. New Metrics As discussed in section III.A.4 in this document, DOE establishes test procedures for measuring new metrics including CRI, power factor, CCT, start time, and standby mode energy consumption. For CRI, power factor, CCT, and standby mode power, in the July 2015 NOPR, DOE proposed requiring a sample size of at least 10 (half base up and half base down). Testing in both the base up and base down positions provides an accurate representation of performance under both orientations since the end-use orientation is unknown. DOE also proposed specifying within the sampling requirements for CRI, power factor, CCT, and standby mode power, that, if more than 10 units are tested as part of the sample, the total number of units must be a multiple of two. DOE proposed to specify the same sampling requirements for CRI and power factor as those specified for initial lamp efficacy, lumen maintenance at 1,000 hours, and lumen maintenance at 40 percent of lifetime in 10 CFR 429.35. Thus, for CRI and power factor, DOE determined that representations of these metrics be equal to the lesser of the mean of the sample and the 97.5 percent LCL divided by 0.95. Since higher values are desirable for CRI and power factor, use of the lesser of the mean and LCL ensures that a representative value is reported. Because there are no targeted upper or lower bound values for CCT, DOE proposed to specify in 10 CFR 429.35 that representations of CCT be the mean of the sample. For the start time, DOE proposed a sample size of three units in 10 CFR 429.35. DOE believes this is an appropriate sample size to determine an accurate value for the lamp start time. Further, DOE proposed that for start time, representations be equal to the greater of the mean of the sample and the 97.5 percent upper confidence limit (UCL) divided by 1.05, since lower values are desirable. For standby mode power, DOE proposed to specify in 10 CFR 429.35 a sample size of at least 10 units, consistent with that used for the active mode power metric and initial lamp efficacy. DOE determined that representations should be equal to the greater of the mean of the sample and PO 00000 Frm 00025 Fmt 4701 Sfmt 4700 59409 the 97.5 percent UCL divided by 1.05, as lower values are desirable. DOE notes that the current sampling requirements already require 10 units for determining lifetime, and that several of these metrics (e.g., CRI, CCT, and power factor values) can be determined in the course of lifetime testing. Additionally, this sampling plan is consistent with the sampling requirements for these metrics in the ENERGY STAR Lamps Specification v2.0. OSI stated that power factor, CRI, and start time requirements are not necessary and thus the proposed sampling requirements should not be included. (OSI, No. 5 at p. 9) As noted previously, DOE is establishing test procedures that include sampling requirements for power factor, CRI, and start time, in support of the ongoing GSL standards rulemaking (see section II for further details). Therefore, DOE retains the sampling plan for these metrics in this final rule. However, DOE notes that power factor and start time measurements are not applicable to or required for non-integrated CFLs. NEMA and OSI also commented on DOE’s use of the lower confidence level (LCL), UCL, and statistical divisor in determining represented values. They argued that DOE’s current methodology is biased and statistically incorrect and recommended DOE use only the sample mean as it is the best estimator of the population parameters. (NEMA, No. 9 at p. 10; OSI, No. 5 at p. 9) Confidence limits are a valid statistical method used to understand the accuracy of the sample mean. By using confidence limits, DOE is able to implement a conservative approach, ensuring that products on the market perform at least as well as represented by manufacturers, by requiring the lower confidence limit value if it is less than the sample mean when higher values are desirable and requiring the upper confidence limit if it is greater than the sample mean when lower values are desirable. DOE finds this methodology more appropriate in determining represented values than relying only on the sample mean. Therefore, in this final rule, DOE retains the confidence limit methodology for existing metrics and implements it for new metrics, where applicable. DOE also clarifies that on or after 180 days after publication of this final rule, manufacturers of MBCFLs must use the test procedures established in this final rule to certify compliance with existing standards and for any representations regarding energy use or efficiency, and manufacturers of other CFLs without existing standards must use the test E:\FR\FM\29AUR4.SGM 29AUR4 59410 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES4 procedures for any representations regarding energy use or efficiency. As of the compliance date of any standards adopted in the GSL ECS rulemaking, manufacturers must use the test procedures established in this final rule to certify compliance with GSL standards, if adopted. (See section III.J for further details regarding effective dates.) Further, in this final rule, DOE specifies sampling requirements specific to metrics of integrated CFLs and nonintegrated CFLs. 5. Reuse of Samples In the July 2015 NOPR, DOE proposed to specify in 10 CFR 429.35 that the same sample of units must be used to determine initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CRI, CCT, power factor, start time, and standby mode power. 80 FR 45743. NEMA and OSI commented that reuse of samples should not be mandatory except in the case of lumen maintenance values where a ratio is required involving the initial measurements. NEMA and OSI stated that the manufacturer should be permitted to use representative samples and make measurements in parallel to reduce the time burden of measurement. OSI also stated that this requirement would preclude large sample size life tests in which the lamps would run uninterrupted until failure. NEMA added that it is restrictive to require the same samples for all tests completed for one basic model. (NEMA, No. 9 at p. 10– 11; OSI, No. 5 at p. 9) Philips commented that manufacturers should be allowed to test larger populations for lifetime than for photometric-related measurements. (Philips, Public Meeting Transcript, No. 4 at p. 90) GE recommended that, rather than requiring the reuse of a sample across all tests, DOE should require that all test units must be drawn from the same population. (GE, Public Meeting Transcript, No. 4 at pp. 91–95) By requiring the same sample set to be used across all metrics, DOE ensures sample units are not selected to obtain favorable measurements for one metric over others and that all representative values are internally consistent and representative of the population (to the extent the selected test sample is representative of the population). The lifetime measurement is just an extension of the other photometric measurements taken at different points in time of the same lamp. DOE believes taking these photometric measurements such as efficacy, lumen maintenance, and lifetime on the same set of lamps VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 will result in a better characterization of the photometric performance of the population by minimizing the variation that may be introduced into the measurement by using different test units for different metrics. Hence, the requirement of the same sample set allows for a more accurate assessment of a basic model’s compliance with standards for all metrics. Therefore, DOE retains in this final notice that the same sample of units must be used as the basis for representations for standby power, power factor, CCT, CRI, initial lumen output, input power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, and lifetime; no less than three units from the same sample of units must be used when testing for the start time; and exactly six unique units must be used for rapid cycle stress testing. Additionally, in this final rule, DOE specifies that sample units must be comprised of production units. For those basic models that currently make representations of the energy efficiency metrics described in this test procedure, including medium base CFLs, manufacturers must ensure that representations, including certifications, are made in accordance with the DOE test procedure, including sampling plan. While DOE believes manufacturers have been following these testing procedures, including sampling plans, for making current representations, DOE clarifies that a manufacturer may need to retest in the event that the current representations are not supported by the test when measured in accordance with the method being adopted in this final rule, including the sampling plan. 6. Lamp Failures In the July 2015 NOPR, DOE also clarified that, if a lamp breaks, becomes defective, fails to stabilize, exhibits abnormal behavior such as swirling or stops producing light, prior to the end of the seasoning period, the lamp must be replaced with a new unit. 80 FR 45732. If a lamp fails after the seasoning period, the lamp’s measurements must be included when calculating represented values. Id. The CA IOUs stated that lamps that fail during lamp seasoning (‘‘early failure lamps’’) should also be maintained in the sample and new units should be added until the required units pass the seasoning period. The CA IOUs stated that not including units that fail during the seasoning period in the sample set will result in inaccurate measurements of metrics. The CA IOUs gave the example where a manufacturer might test 100 units, 90 of which would fail during seasoning, and report the PO 00000 Frm 00026 Fmt 4701 Sfmt 4700 lifetime of the lamp based on the 10 units that passed. The CA IOUs asserted that these early failures cause consumer dissatisfaction related to CFL lifetime. Citing an ENERGY STAR report 24 the CA IOUs stated that the majority of verification testing failures for CFLs in ENERGY STAR are related to tests for product lifetime (e.g., interim life test, lumen maintenance, and rapid cycle stress tests). Additionally, the CA IOUs and the EEAs cited a study conducted by PEARL that found that 2 to 12 percent of the CFLs tested failed to reach 40 percent of rated life. (CA IOUs, No. 7 at pp. 1–3; CA IOUs, Public Meeting Transcript, No. 4 at pp. 38–41, 89) The CA IOUs further stated that the number of ‘‘early failures’’ should be recorded along with the time and manner of failure. The CA IOUs also suggested that DOE require the entire sample set to be discarded if one unit fails during seasoning in order to incentivize manufacturers to produce higher quality products. Additionally, the CA IOUs recommended DOE evaluate data on early CFL failures to verify that the majority of early failures occur in the first 100 hours of operation and increase this time interval for recording early failures, if necessary. (CA IOUs, No. 7 at p. 3) The EEAs supported CA IOUs written comments related to early failures, noting that ignoring early failures would make it difficult to develop metrics to address these failures. The EEAs added that lamps that fail during seasoning would fall in the category of manufacturing defect, a category of lamp failure identified in IES LM–65– 14. (EEAs, No. 8 at p. 3) GE (with Philips concurring) agreed that failures of lamps ‘‘right out of the box’’ represented a manufacturing defect and stated it is appropriate to remove these from the sample during seasoning. (GE, Public Meeting Transcript, No. 4 at p. 38, Philips, Public Meeting Transcript, No. 4 at p. 38) Westinghouse stated that its products were not experiencing industry failures within the warranty period, and definitely not within the first 100 hours. Westinghouse added that lamps that did fail early would not pass DOE’s verification testing and therefore, would not be available on the market. (Westinghouse, Public Meeting Transcript, No. 4, at pp. 40–41) DOE evaluated the reports cited by CA IOUs and EEAs in their comments, specifically, ENERGY STAR verification 24 Overview of CFL Verification Testing Results Jan 2010-Apr 2014. EPA. 2014. www.energystar.gov/ sites/default/files/specs/ Presentation%20Verification%20Testing%207-3114.pdf. E:\FR\FM\29AUR4.SGM 29AUR4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations mstockstill on DSK3G9T082PROD with RULES4 test report of 2014 and the study conducted by PEARL. While both of these reports indicate that there are lamps that fail to meet metrics related to product lifetime, neither support that these failures are due to lamps failing in the first 100 hours of the lamp lifetime. Both documents only report failures before 40 percent of rated life as one aggregated value with no data on actual time of failure. Further, DOE evaluated results of a study conducted by the California Public Utility Commission that provided data on the number of hours before failure for 72 models of MBCFLs with a sample set of 3601 lamps that were tested on 10 different cycling times. Of the 360 lamps tested on the 180 minute cycling time, the same as the cycling time for lifetime testing, none of the lamps failed during the first 100 hours of testing.25 Based on available data, DOE finds that it is not common for CFLs to fail before the seasoning period; therefore, the requirement that a sample unit be replaced if it fails during seasoning will not result in appreciably less accurate measurements. DOE notes that its proposed method for addressing lamp failures aligns with ANSI C78.5–2003,26 which provides specifications on integrated CFLs and is referenced by IES LM–65–14 (incorporated by reference). Section 6.1.2 of ANSI C78.5–2003 notes that ‘‘. . . if a unit fails to stabilize or exhibits abnormal behavior, the lamp shall be discarded. Testing shall resume with a suitable replacement specimen procured and prepared in the same manner as the original specimen. The use of replacement specimens shall be documented in the test report.’’ Further, section 3.1 of IES LM–65–14 states that lamp failures due to manufacturing defects are reported but not included in the calculation of lamp lifetime. Therefore, in this final rule, DOE retains the requirement that, if a lamp breaks, becomes defective, fails to stabilize, exhibits abnormal behavior such as swirling or stops producing light prior to the end of the seasoning period, the lamp must be replaced with a new unit. DOE also notes that ANSI C78.5–2003 and IES LM–65–14 recommend respectively, recording replacement of sample units and failures. Because such data can be informative, in this final rule, DOE adds the requirement that manufacturers must provide in the 25 CFL Laboratory Testing Report: Results from a CFL Switching Cycle and Photometric Laboratory Study. December 9, 2015. California Public Utilities Commission. 26 American National Standard For Electric Lamps: Specifications for Performance of SelfBallasted Compact Fluorescent lamps (approved 2003). VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 certification report, the number of sample units replaced within each unique sample set used in determining represented values and believes that such information could be helpful to consumers or interested parties in determining more reliable CFL models, as requested by the CA IOUs and EEAs. I. Federal Trade Commission (FTC) Labeling Requirements As discussed throughout this document, the CFL test procedure adopted in this final rule is intended, among other things, to support FTC’s Lighting Facts Labeling program. Accordingly, in the July 2015 NOPR, DOE proposed adding provisions to 10 CFR 429 for initial lumen output, input power, CCT, estimated annual energy cost, and life (in years) for MBCFLs to enable FTC to allow manufacturers to submit data through DOE’s Compliance Certification Management System (CCMS) for the FTC labeling requirements. 80 FR 45743. Except for CCT, these metrics are already being determined as part of the existing test procedures in appendix W. For example, initial lumen output and input power (a standalone metric and also part of the calculation for estimated annual energy cost) are the two quantities required to calculate the existing metric of initial lamp efficacy. Furthermore, the life (expressed in years) is determined by dividing the existing metric of lifetime by an average operating hour value specified by FTC. NEMA stated that the test procedures should not be developed for lamps not regulated by FTC. NEMA highlighted the fact that FTC’s label does not cover non-integrated CFLs and reiterated that non-integrated CFLs should not be included in the test procedure. (NEMA, No. 9 at p. 2) As noted previously, the test procedures that are the subject of this rulemaking are intended to support existing and potential standards for CFLs and ENERGY STAR lamp and luminaire specifications, as well as support the FTC Lighting Facts labeling requirements. DOE did not receive any other comments related to the proposed provisions for DOE to collect FTC Lighting Facts labeling data through DOE’s CCMS. Therefore, in this final rule, DOE adopts the provisions as described in this preamble. J. Effective Date In the July 2015 NOPR, DOE specified that the effective date for the amended test procedures would be 30 days after publication of the final rule in the Federal Register. 80 FR 45743. Representations based on the amended PO 00000 Frm 00027 Fmt 4701 Sfmt 4700 59411 and new test procedures would be required as of 180 days after publication of the final rule. (42 U.S.C. 6293(c)(2)) DOE received several comments regarding these dates and certifications of compliance for products according to the new and amended test procedures. NEMA and OSI asked DOE to provide clarification on the need to retest lamps that are already certified in the CCMS database, or if industry is allowed to use existing test reports for current products. (NEMA, No. 9 at p. 2; OSI, No. 5 at p. 2) OSI also sought clarification from DOE regarding the disposition of existing inventory if retesting is required for current products. (OSI, No.5 at p. 2) Representations related to the metrics addressed in the amended Appendix W must reflect testing in accordance with Appendix W not later than February 27, 2017. Representations are not required by DOE for CFLs not currently subject to standards (although they may be required by the FTC). In contrast, certifications of compliance are required for medium base CFLs, which are currently subject to standards; those certifications must reflect testing in accordance with the amended Appendix W as of the next annual certification date or February 27, 2017, whichever is later. DOE also reiterates, as noted throughout this document, that the new and amended test procedures are not anticipated to result in changes in measured energy consumption or other performance metrics for any products that are currently subject to energy conservation standards and thus required to certify compliance to DOE. Therefore, existing medium base CFLs may not require re-testing if their representative values continue to be valid. Certifications of compliance for basic models of CFLs with any new and/or amended energy conservation standards must reflect testing in accordance with Appendix W as amended in this final rule, prior to distribution in commerce, and annually thereafter by the filing date specified in 10 CFR 429.12(d); however, no basic model is required to be certified until it is required to comply with energy conservation standards. Therefore, for CFLs not currently subject to standards, the initial certification report must be filed by the compliance date of any new energy conservation standards. NEMA and OSI stated that due to the additional testing required by the new and amended test procedures established in this final rule, it was not practical to certify all lamps to the new and amended test procedures by the next annual filing date for certification. E:\FR\FM\29AUR4.SGM 29AUR4 mstockstill on DSK3G9T082PROD with RULES4 59412 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations In particular, OSI cited changes to the sample size and orientation; and NEMA added testing for rapid cycle stress. NEMA and OSI noted that publication of the final rule for the ongoing GSL standards rulemaking is expected before the end of 2017. They requested that until March 1, 2018, only new CFLs certified after the publication of this test procedure final rule be required to be tested under the new and amended CFL test procedures established by it; and after March 1, 2018, all CFLs must be tested under the new and amended CFL test procedures. NEMA and OSI reasoned this would minimize testing burden on industry for current products that are expected to be rendered obsolete by the ongoing GSL standards rulemaking. (NEMA, No. 9 at p. 11; OSI, No. 5 at p. 9) The change in sample size and orientation requirements adopted in this final rule align with ENERGY STAR Lamps Specification V2.0 (effective January 1, 2017) and its previous version, with the only exception being that DOE is requiring 3 units tested base up, and 3 units tested base down for the rapid cycle stress test. DOE notes that two thirds of compact fluorescent lamps already comply with ENERGY STAR, which already requires 10 units to be tested, and does not believe the change in orientation requirements for the rapid cycle stress test would require an extensive change to the existing test setup. While DOE is adopting test procedures for additional metrics, several of these metrics (e.g., CCT, CRI, power factor) can be determined simultaneously with existing metrics such as efficacy, and therefore testing new metrics would not require a significant amount of additional time to conduct. Further for new basic models or existing basic models that require retesting because their certified values are no longer valid, if a metric requires a longer period of time to test (lifetime, lumen maintenance at 40 percent of lifetime), DOE allows for the reporting of estimated values until the testing is complete. Therefore, DOE finds that manufacturers should be able to certify and make representations of all applicable CFL products within 180 days of the publication of this final rule. Hence, the effective date for the new and amended test procedures discussed in this final rule will be 30 days after publication of this document in the Federal Register. Representations must reflect testing in accordance with the new and amended test procedure not later than 180 days after publication of the final rule. (42 U.S.C. 6293(c)(2)) VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 After the effective date and prior to 180 days following publication of this CFL test procedure final rule, manufacturers may voluntarily begin to make representations with respect to the energy use or efficiency of CFLs (including but not limited to MBCFLs) using the results of testing pursuant to this final rule. On or after 180 days after publication of this final rule, any representations including certifications of compliance (if required), made with respect to the energy use or efficiency of CFLs (including but not limited to MBCFLs) must be made in accordance with the results of testing pursuant to the new and amended test procedures. IV. Procedural Issues and Regulatory Review A. Review Under Executive Order 12866 The Office of Management and Budget (OMB) has determined that test procedure rulemakings do not constitute ‘‘significant regulatory actions’’ under section 3(f) of Executive Order 12866, Regulatory Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this action was not subject to review under the Executive Order by the Office of Information and Regulatory Affairs (OIRA) in 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 (IFRA) for any rule that by law must be proposed for public comment and a final regulatory flexibility analysis (FRFA) for any such rule that an agency adopts as a final rule, 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 this final rule, which amends and establishes new test procedures for CFLs, under the provisions of the Regulatory Flexibility Act and the procedures and policies published on February 19, 2003. DOE certifies that the rule will not have a significant economic impact on a substantial number of small entities. PO 00000 Frm 00028 Fmt 4701 Sfmt 4700 The factual basis for this certification is as follows. 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 CFLs 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. DOE conducted a focused market survey reviewing information from trade associations such as NEMA; ENERGY STAR programs; market reports (e.g. Hoover’s reports); and individual company Web sites to identify companies that sell products covered by this rulemaking. DOE then determined the number of small businesses based on SBA definition. In its estimation of a company’s number of employees, DOE also includes any parent companies and/or subsidiaries. In the July 2015 NOPR, DOE identified 26 manufacturers that would be considered small businesses. 80 FR 45744. Westinghouse indicated the number of small businesses identified by DOE was less than expected, noting that there are only a handful of large-size businesses in the market. (Westinghouse, Public Meeting Transcript, No. 4 at pp. 134–136) For this final rule, DOE reviewed its estimated number of small businesses. DOE updated its list of small businesses by reviewing information from trade associations such as NEMA; ENERGY STAR programs; market reports (e.g. Hoover’s reports); and individual company Web sites to identify companies that sell CFLs in the United States. DOE screened out companies that do not offer products covered by this rulemaking, do not meet the definition of a ‘‘small business,’’ or are completely foreign owned and operated. DOE determined that there are no small businesses that maintain domestic production facilities for CFLs. Based on the criteria outlined earlier and the reasons discussed above, DOE certifies that the test procedures adopted in this final rule would not have a significant economic impact on a substantial number of small entities, and the preparation of a final regulatory flexibility analysis is not warranted. DOE has submitted a 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). E:\FR\FM\29AUR4.SGM 29AUR4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations C. Review Under the Paperwork Reduction Act of 1995 Manufacturers of CFLs must certify to DOE that their products comply with any applicable energy conservation standards. To certify compliance, manufacturers must first obtain test data for their products according to the DOE test procedures, including any amendments adopted for those test procedures. DOE has established regulations for the certification and recordkeeping requirements for all covered consumer products and commercial equipment, including CFLs. See generally 10 CFR part 429, subpart B. The collection-of-information requirement for the certification and recordkeeping is subject to review and approval by OMB under the Paperwork Reduction Act (PRA). This requirement has been approved by OMB under OMB control number 1910–1400. Public reporting burden for the certification is estimated to average 30 hours per response including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the PRA, unless that collection of information displays a current valid OMB Control Number. mstockstill on DSK3G9T082PROD with RULES4 D. Review Under the National Environmental Policy Act of 1969 In this final rule, DOE is approving test procedure amendments that it expects will be used to develop and implement future energy conservation standards for CFLs. DOE has determined that this rule falls into a class of actions that are categorically excluded from review under the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE’s implementing regulations at 10 CFR part 1021. Specifically, this rule amends an existing rule without affecting 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 A5 under 10 CFR part 1021, subpart D, which applies to any rulemaking that interprets or amends an existing rule without changing the environmental effect of that rule. Accordingly, neither an environmental assessment nor an environmental impact statement is required. VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 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 examined this final 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 final 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 PO 00000 Frm 00029 Fmt 4701 Sfmt 4700 59413 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, this final 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 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 final 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. 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 E:\FR\FM\29AUR4.SGM 29AUR4 59414 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations that may affect family well-being. This final 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. mstockstill on DSK3G9T082PROD with RULES4 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 final 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 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 VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 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. This final rule incorporates by reference the testing methods and modifications to the test procedures that are contained in the following commercial standards: (1) ANSI C78.901–2014, ‘‘American National Standard for Electric Lamps— Single-Based Fluorescent Lamps— Dimensional and Electrical Characteristics,’’ 2014; (2) CIE 13.3–1995, ‘‘Technical Report: Method of Measuring and Specifying Colour Rendering Properties of Light Sources,’’ 1995; (3) CIE 15:2004, ‘‘Technical Report: Colorimetry, 3rd edition,’’ 2004; (4) IES LM–54–12, ‘‘IES Guide to Lamp Seasoning,’’ 2012; (5) IES LM–65–14, ‘‘IES Approved Method for Life Testing of Single-Based Fluorescent Lamps,’’ 2014; (6) IES LM–66–14, ‘‘IES Approved Method for the Electrical and Photometric Measurements of Single-Based Fluorescent Lamps,’’ 2014; (7) IESNA LM–78–07, :IESNA Approved Method for Total Luminous Flux Measurement of Lamp Using an Integrated Sphere Photometer,’’ 2007; and (8) IEC Standard 62301 (Edition 2.0, 2011– 01), ‘‘Household electrical appliances— Measurement of standby power,’’ 2011. Although these test procedures are not exclusively based on these industry testing standards, some components of the DOE test procedure adopt definitions, test parameters, and measurement techniques from them without amendment. The Department has evaluated these industry testing standards and is unable to conclude whether they fully comply with the PO 00000 Frm 00030 Fmt 4701 Sfmt 4700 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 has consulted with both the Attorney General and the Chairman of the FTC about the impact on competition of using the methods contained in these standards and has received no comments objecting to their use. M. Description of Materials Incorporated by Reference DOE incorporates by reference the test standard published by ANSI, titled ‘‘American National Standard for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional and Electrical Characteristics,’’ ANSI C78.901–2014. ANSI C78.901–2014 is an industry accepted test standard that specifies physical and electrical characteristics of non-integrated CFLs and is applicable to products sold in North America. It is used to identify the appropriate reference ballast specifications for CFL as described in this final rule. ANSI C78.901–2014 is readily available on ANSI’s Web site at https://webstore.ansi.org/. DOE incorporates by reference the test standard published by IES, titled ‘‘IES Guide to Lamp Seasoning,’’ IES LM–54– 12. IES LM–54–12 is an industry accepted test standard that specifies a method for seasoning CFLs prior to testing and is applicable to products sold in North America. The test procedures adopted in this final rule reference various sections of IES LM– 54–12 that address seasoning of CFLs prior to testing. IES LM–54–12 is readily available on IES’s Web site at www.ies.org/store. DOE also incorporates by reference the test standard published by IES, titled ‘‘IES Approved Method for Life Testing of Single-Based Fluorescent Lamps,’’ IES LM–65–14. IES LM–65–14 is an industry accepted test standard that specifies a method for measuring the time to failure of CFLs and is applicable to products sold in North America. The test procedures adopted in this final rule reference various sections of IES LM–65–14 that address test conditions and procedures for measuring time to failure and rapid cycle stress testing of CFLs. IES LM–65– 14 is readily available on IES’s Web site at www.ies.org/store. DOE also incorporates by reference specific sections of the test standard published by IES, titled ‘‘IES Approved Method: Electrical and Photometric Measurements of Single-Based Fluorescent Lamps,’’ IES LM–66–14. IES LM–66–14 is an industry accepted test E:\FR\FM\29AUR4.SGM 29AUR4 mstockstill on DSK3G9T082PROD with RULES4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations standard that specifies a method for measuring electrical and photometric characteristics of CFLs and is applicable to products sold in North America. The test procedures adopted in this final rule reference various sections of IES LM–66–14 that address test conditions and procedures for taking electrical and photometric measurements of CFLs. IES LM–66–14 is readily available on IES’s Web site at www.ies.org/store. DOE also incorporates by reference the test standard published by IES, titled ‘‘IESNA Approved Method for Total Luminous Flux Measurement of Lamps Using an Integrating Sphere Photometer,’’ IESNA LM–78–07. IESNA LM–78–07 is an industry accepted test standard that specifies a method for measuring lumen output in an integrated sphere and is applicable to products sold in North America. The test procedures adopted in this final rule reference sections of IESNA LM– 78–07 that address measurements of lumen output. IESNA LM–78–07 is readily available on IES’s Web site at www.ies.org/store. DOE also incorporates by reference certain sections of the test standard published by IEC, titled ‘‘Household electrical appliances—Measurement of standby power,’’ IEC Standard 62301 (Edition 2.0). IEC Standard 62301 (Edition 2.0) is an industry accepted test standard that describes measurements of electrical power consumption in standby mode, off mode, and network mode. The test procedures adopted in this final rule reference sections of IEC Standard 62301 (Edition 2.0) for testing standby mode power consumption of CFLs. IEC Standard 62301 (Edition 2.0) is readily available on ANSI’s Web site at https://webstore.iec.ch/home. DOE also incorporates by reference the test standard published by CIE, titled ‘‘Technical Report: Method of Measuring and Specifying Colour Rendering Properties of Light Sources,’’ CIE 13.3–1995. CIE 13.3–1995 is an industry accepted test standard that specifies method of measuring and specifying color rendering properties of light sources based on resultant color shifts of test objects. The test procedures adopted in this final rule reference sections of CIE 13.3–1995 for testing CRI of CFLs. CIE 13.3–1995 is readily available on CIE’s Web site at https:// www.techstreet.com/cie/. DOE incorporates by reference the test standard published by CIE, titled ‘‘Technical Report: Colorimetry,’’ CIE 15:2004. CIE 15:2004 is an industry accepted test standard that summarizes colorimetric data. The test procedures adopted in this final rule reference sections of CIE 15:2004 for testing CCT VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 of CFLs. CIE 15:2004 is readily available on CIE’s Web site at https:// www.techstreet.com/cie/. DOE removes previously incorporated reference to ‘‘ENERGY STAR Program Requirements for [Compact Fluorescent Lamps] CFLs, approved August 9, 2001.’’ These provided specifications including test procedures for ENERGY STAR qualified CFLs. The test procedures adopted in this final rule no longer reference ‘‘ENERGY STAR Program Requirements for [Compact Fluorescent Lamps] CFLs, approved August 9, 2001.’’ N. Congressional Notification As required by 5 U.S.C. 801, DOE will report to Congress on the promulgation of this rule before its effective date. The report will state that it has been determined that the rule is not a ‘‘major rule’’ as defined by 5 U.S.C. 804(2). V. Approval of the Office of the Secretary The Secretary of Energy has approved publication of this final rule. List of Subjects 10 CFR Part 429 Administrative practice and procedure, Confidential business information, Energy conservation, Household appliances, Imports, Reporting and recordkeeping requirements. 10 CFR Part 430 Administrative practice and procedure, Confidential business information, Energy conservation, Household appliances, Imports, Incorporation by reference, Intergovernmental relations, Small businesses. Issued in Washington, DC, on August 11, 2016. Kathleen B. Hogan, Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and Renewable Energy. For the reasons stated in the preamble, DOE amends 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 429.12 is amended by revising paragraph (f) to read as follows: ■ PO 00000 Frm 00031 Fmt 4701 Sfmt 4700 59415 § 429.12 General requirements applicable to certification reports. * * * * * (f) Discontinued model filing. When production of a basic model has ceased and it is no longer being sold or offered for sale by the manufacturer or private labeler, the manufacturer must report this discontinued status to DOE as part of the next annual certification report following such cessation. For each basic model, the report must include the information specified in paragraphs (b)(1) through (7) of this section, except that for integrated light-emitting diode lamps and for compact fluorescent lamps, the manufacturer must submit a full certification report, including all of the information required by paragraph (b) of this section and the productspecific information required by § 429.56(b)(2) or § 429.35(b)(2), respectively. * * * * * ■ 3. Section 429.35 is revised to read as follows: § 429.35 Compact fluorescent lamps. (a) Determination of Represented Value. Manufacturers must determine represented values, which include the certified ratings, for each basic model of compact fluorescent lamp by testing, in conjunction with the following sampling provisions: (1) Units to be tested. (i) The requirements of § 429.11(a) are applicable except that the sample must be comprised of production units; and (ii)(A) For each basic model of integrated compact fluorescent lamp, the minimum number of units tested shall be no less than 10 units when testing for the initial lumen output, input power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode power. If more than 10 units are tested as part of the sample, the total number of units must be a multiple of 2. The same sample of units must be used as the basis for representations for initial lumen output, input power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode power. No less than three units from the same sample of units must be used when testing for the start time. Exactly six unique units (i.e., units that have not previously been tested under this paragraph (a)(1)(ii) but are representative of the same basic model tested under this paragraph (a)(1)(ii)) must be used for rapid cycle stress testing. E:\FR\FM\29AUR4.SGM 29AUR4 Where: x is the sample mean of the characteristic value; s is the sample standard deviation; n is the number of units in the sample, and t0.975 is the t statistic for a 97.5% one-tailed Ò confidence interval with n-1 degrees of freedom (from appendix A of this subpart). mstockstill on DSK3G9T082PROD with RULES4 (B) Represented values of input power, standby mode power, start time or other measure of energy consumption of a basic model for which consumers would favor lower values must be greater than or equal to the higher of: (1) The mean of the sample, Where: ¯ x is the sample mean, n is the number of units in the sample, and Ò VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 Where: ¯ x is the sample mean of the characteristic value; s is the sample standard deviation; Ò n is the number of units in the sample, and Ò t0.975 is the t statistic for a 97.5% one-tailed Ò confidence interval with n-1 degrees of freedom (from appendix A of this subpart). (C) The represented value of CCT must be equal to the mean of the sample, Where: ¯ x is the sample mean, n is the number of units in the sample, and Ò xi is the ith unit. Ò (D) The represented value of lifetime must be equal to or less than the median time to failure of the sample (calculated as the arithmetic mean of the time to failure of the two middle sample units when the numbers are sorted in value order). (E) The represented value of the results of rapid cycle stress testing must be (1) Expressed in the number of surviving units and (2) Based on a lifetime value that is equal to or greater than the represented value of lifetime. (2) The represented value of life (in years) of a compact fluorescent lamp must be calculated by dividing the represented lifetime of a compact fluorescent lamp as determined in (a)(1) of this section by the estimated annual operating hours as specified in 16 CFR 305.15(b)(3)(iii). (3) The represented value of the estimated annual energy cost for a compact fluorescent lamp, expressed in dollars per year, must be the product of the input power in kilowatts, an electricity cost rate as specified in 16 CFR 305.15(b)(1)(ii), and an estimated average annual use as specified in 16 CFR 305.15(b)(1)(ii). (4) For compliance with standards specified in § 430.32(u) as it appeared in 10 CFR parts 200–499 edition revised as of January 1, 2016, initial lamp efficacy may include a 3 percent tolerance added to the value determined in accordance with paragraph (a)(1)(iii)(A) of this section. PO 00000 Frm 00032 Fmt 4701 Sfmt 4700 (5) The represented value of lumen maintenance at 40 percent of lifetime must be based on a lifetime value that is equal to or greater than the represented value of lifetime. (6) Estimated values may be used for representations when initially testing a new basic model or when new/ additional testing is required. (b) Certification reports. (1) The requirements of § 429.12 are applicable to compact fluorescent lamps; and (2) Values reported in certification reports are represented values. Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: (i) For each basic model of medium base CFL when certifying compliance to the standards in § 430.32(u) as it appeared in 10 CFR parts 200–499 edition revised as of January 1, 2016, the testing laboratory’s ILAC accreditation body’s identification number or other approved identification assigned by the ILAC accreditation body, the date of first manufacture, the seasoning time in hours (h), the initial lumen output in lumens (lm), the input power in watts (W), the initial lamp efficacy in lumens per watt (lm/W), the number of sample units replaced during the seasoning period within each unique sample set used in determining the represented value, the lumen maintenance at 40 percent of lifetime in percent (%) (and whether value is estimated), the lifetime in hours (h) (and whether value is estimated), life in years (and whether value is estimated), the lumen maintenance at 1,000 hours in percent (%), and the results of rapid cycle stress testing in number of units passed. or the initial certification of new basic models or any subsequent certification based on new testing, estimates of lifetime, life, lumen maintenance at 40 percent of lifetime, and rapid cycle stress test surviving units may be reported (if indicated in the certification report) until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix W. Manufacturers are required to maintain records in accordance with § 429.71 of the development of all estimated values and any associated initial test data. (ii) For each basic model of integrated CFL when certifying compliance with general service lamp energy conservation standards, the testing laboratory’s ILAC accreditation body’s identification number or other identification assigned by the ILAC accreditation body, the date of first manufacture, a statement that the E:\FR\FM\29AUR4.SGM 29AUR4 ER29AU16.017</GPH> Or, (2) The lower 97.5-percent confidence limit (LCL) of the true mean divided by 0.95, Or, (2) The upper 97.5-percent confidence limit (UCL) of the true mean divided by 1.05, ER29AU16.016</GPH> Where: x is the sample mean, n is the number of units in the sample, and xi is the ith unit; xi is the ith unit; Ò ER29AU16.015</GPH> (B) For each basic model of nonintegrated compact fluorescent lamp, the minimum number of units tested shall be no less than 10 units when testing for the initial lumen output, input power, initial lamp efficacy, lumen maintenance at 40 percent of lifetime, lifetime, CCT, and CRI. If more than 10 units are tested as part of the sample, the total number of units must be a multiple of 2. The same sample of units must be used as the basis for representations for initial lumen output, input power, initial lamp efficacy, lumen maintenance at 40 percent of lifetime, lifetime, CCT, and CRI. (iii) For each basic model, a sample of sufficient size shall be randomly selected and tested to ensure that: (A) Represented values of initial lumen output, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, CRI, power factor, or other measure of energy consumption of a basic model for which consumers would favor higher values must be less than or equal to the lower of: (1) The mean of the sample, ER29AU16.018</GPH> Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations ER29AU16.014</GPH> 59416 mstockstill on DSK3G9T082PROD with RULES4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations compact fluorescent lamp is integrated, the seasoning time in hours (h), the initial lumen output in lumens (lm), the input power in watts (W), the initial lamp efficacy in lumens per watt (lm/ W), the CCT in kelvin (K), CRI, the lumen maintenance at 1,000 hours in percent (%), the lumen maintenance at 40 percent of lifetime in percent (%) (and whether value is estimated), start time in milliseconds, power factor, standby mode energy consumption in watts (W), the results of rapid cycle stress testing in number of units passed, the lifetime in hours (h) (and whether value is estimated), life in years (and whether value is estimated), and the number of sample units replaced during the seasoning period within the sample set used in determining the represented value. Estimates of lifetime, life, lumen maintenance at 40 percent of lifetime, and rapid cycle stress test surviving units may be reported (if indicated in the certification report) until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix W. Manufacturers are required to maintain records in accordance with § 429.71 of the development of all estimated values and any associated initial test data. (iii) For each basic model of nonintegrated CFL when certifying compliance with general service lamp energy conservation standards, the testing laboratory’s ILAC accreditation body’s identification number or other identification assigned by the ILAC accreditation body, the date of first manufacture, a statement that the compact fluorescent lamp is nonintegrated, the initial lumen output in lumens (lm), the input power in watts (W), the initial lamp efficacy in lumens per watt (lm/W), the CCT in kelvin (K), CRI, the lumen maintenance at 40 percent of lifetime in percent (%) (and whether value is estimated), the lifetime in hours (h) (and whether value is estimated), and the number of sample units replaced during the seasoning period within each unique sample set used in determining the represented value. Estimates of lifetime and lumen maintenance at 40 percent of lifetime may be reported (if indicated in the certification report) until testing is complete. When reporting estimated values, the certification report must specifically describe the prediction method, which must be generally representative of the methods specified in appendix W. Manufacturers are required to maintain records in VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 accordance with § 429.71 of the development of all estimated values and any associated initial test data. (c) Rounding requirements. For represented values, (1) Round input power to the nearest tenth of a watt. (2) Round lumen output to three significant digits. (3) Round initial lamp efficacy to the nearest tenth of a lumen per watt. (4) Round lumen maintenance at 1,000 hours to the nearest tenth of a percent. (5) Round lumen maintenance at 40 percent of lifetime to the nearest tenth of a percent. (6) Round CRI to the nearest whole number. (7) Round power factor to the nearest hundredths place. (8) Round lifetime to the nearest whole hour. (9) Round CCT to the nearest 100 kelvin (K). (10) Round standby mode power to the nearest tenth of a watt; and (11) Round start time to the nearest whole millisecond. PART 430—ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS 4. The authority citation for part 430 continues to read as follows: ■ Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 2461 note. 5. Section 430.2 is amended by: a. Adding in alphabetical order a definition for ‘‘compact fluorescent lamp’’; ■ b. Revising the definition of ‘‘correlated color temperature’’; and ■ c. Adding in alphabetical order adefinition for ‘‘lifetime of a compact fluorescent lamp’’. The additions and revision read as follows: ■ ■ § 430.2 Definitions. * * * * * Compact fluorescent lamp (CFL) means an integrated or non-integrated single-base, low-pressure mercury, electric-discharge source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light; the term does not include circline or U-shaped lamps. * * * * * Correlated color temperature (CCT) means the absolute temperature of a blackbody whose chromaticity most nearly resembles that of the light source. * * * * * Lifetime of a compact fluorescent lamp means the length of operating time PO 00000 Frm 00033 Fmt 4701 Sfmt 4700 59417 between first use and failure of 50 percent of the sample units (as specified in § 429.35(a)(1) of this chapter), determined in accordance with the test procedures described in section 3.3 of appendix W to subpart B of this part. * * * * * ■ 6. Section 430.3 is amended by: ■ a. Redesignating paragraphs (e)(8) through (19) as paragraphs (e)(9) through (20), respectively, and adding new paragraph (e)(8); ■ b. Removing ‘‘appendix R’’ in paragraphs (l)(1) and (2) and adding in its place ‘‘appendices R and W’’; ■ c. Redesignating paragraph (o)(9) as (o)(13), paragraph (o)(10) as (o)(14), paragraph (o)(11) as (o)(15), and paragraph (o)(12) as (o)(16), paragraph (o)(8) as (o)(10), and paragraph (o)(7) as (o)(8),; ■ d. Adding new paragraphs (o)(7), (9), (11), and (12); ■ e. Adding paragraph (p)(7); and ■ f. Removing paragraph (v). The additions read as follows: § 430.3 Materials incorporated by reference. * * * * * (e) * * * (8) ANSI C78.901–2014, American National Standard for Electric Lamps— Single-Based Fluorescent Lamps— Dimensional and Electrical Characteristics, ANSI approved July 2, 2014; IBR approved for appendix W to subpart B. * * * * * (o) * * * (7) IES LM–54–12, IES Guide to Lamp Seasoning, approved October 22, 2012; IBR approved for appendix W to subpart B, as follows: (i) Section 4—Physical/Environmental Test Conditions; (ii) Section 5—Electrical Test Conditions; (iii) Section 6—Test Procedure Requirements: Section 6.1—Test Preparation; and (iv) Section 6—Test Procedure Requirements, Section 6.2—Seasoning Test Procedures: Section 6.2.2.1— Discharge Lamps: Discharge Lamps except T5 fluorescent. * * * * * (9) IES LM–65–14, IES Approved Method for Life Testing of Single-Based Fluorescent Lamps, approved December 30, 2014; IBR approved for appendix W to subpart B, as follows: (i) Section 4.0—Ambient and Physical Conditions; (ii) Section 5.0—Electrical Conditions; and (iii) Section 6.0—Lamp Test Procedures * * * * * E:\FR\FM\29AUR4.SGM 29AUR4 59418 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations (11) IES LM–66–14, (‘‘IES LM–66’’), IES Approved Method for the Electrical and Photometric Measurements of Single-Based Fluorescent Lamps, approved December 30, 2014; IBR approved for appendix W to subpart B, as follows: (i) Section 4.0—Ambient and Physical Conditions; (ii) Section 5.0—Power Source Characteristics; and (iii) Section 6.0—Testing Procedures Requirements. (12) IESNA LM–78–07, IESNA Approved Method for Total Luminous Flux Measurement of Lamps Using an Integrating Sphere Photometer, approved January 28, 2007; IBR approved for appendix W to subpart B. * * * * * (p) * * * (7) IEC 62301, (‘‘IEC 62301–W’’), Household electrical appliances— Measurement of standby power, (Edition 2.0, 2011–01), Section 5— Measurements, IBR approved for appendix W to subpart B. * * * * * ■ 7. Section 430.23 is amended by revising paragraph (y) to read as follows: § 430.23 Test procedures for the measurement of energy and water consumption. * * * * * (y) Compact fluorescent lamps. (1) Measure initial lumen output, input power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime of a compact fluorescent lamp (as defined in 10 CFR 430.2), color rendering index (CRI), correlated color temperature (CCT), power factor, start time, standby mode energy consumption, and time to failure in accordance with appendix W of this subpart. Express time to failure in hours. (2) Conduct the rapid cycle stress test in accordance with section 3.3 of appendix W of this subpart. * * * * * ■ 8. Section 430.25 is revised to read as follows: mstockstill on DSK3G9T082PROD with RULES4 § 430.25 Laboratory Accreditation Program. The testing for general service fluorescent lamps, general service incandescent lamps (with the exception of lifetime testing), incandescent reflector lamps, compact fluorescent lamps, fluorescent lamp ballasts, and integrated light-emitting diode lamps must be conducted by test laboratories accredited by an Accreditation Body that is a signatory member to the International Laboratory Accreditation VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 Cooperation (ILAC) Mutual Recognition Arrangement (MRA). A manufacturer’s or importer’s own laboratory, if accredited, may conduct the applicable testing. ■ 9. Appendix W to subpart B of part 430 is revised to read as follows: Appendix W to Subpart B of Part 430— Uniform Test Method for Measuring the Energy Consumption of Compact Fluorescent Lamps Note: Before February 27, 2017, any representations, including certifications of compliance, made with respect to the energy use or efficiency of medium base compact fluorescent lamps must be made in accordance with the results of testing pursuant either to this appendix, or to the applicable test requirements set forth in 10 CFR parts 429 and 430 as they appeared in the 10 CFR parts 200 to 499 annual edition revised as of January 1, 2016. On or after February 27, 2017, any representations, including certifications of compliance (if required), made with respect to the energy use or efficiency of CFLs must be made in accordance with the results of testing pursuant to this appendix. 1. Scope: 1.1. Integrated compact fluorescent lamps. 1.1.1. This appendix specifies the test methods required to measure the initial lamp efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of lifetime, time to failure, power factor, correlated color temperature (CCT), color rendering index (CRI), and start time of an integrated compact fluorescent lamp. 1.1.2. This appendix describes how to conduct rapid cycle stress testing for integrated compact fluorescent lamps. 1.1.3. This appendix specifies test methods required to measure standby mode energy consumption applicable to integrated CFLs capable of operation in standby mode (as defined in § 430.2), such as those that can be controlled wirelessly. 1.2. Non-integrated compact fluorescent lamps. 1.2.1. This appendix specifies the test methods required to measure the initial lamp efficacy, lumen maintenance at 40 percent of lifetime, time to failure, CCT, and CRI for non-integrated compact fluorescent lamps. 2. Definitions: 2.1. Ballasted adapter means a ballast that is not permanently attached to a compact fluorescent lamp, has no consumerreplaceable components, and serves as an adapter by incorporating both a lamp socket and a lamp base. 2.2. Hybrid compact fluorescent lamp means a compact fluorescent lamp that incorporates one or more supplemental light sources of different technology. 2.3. Initial lamp efficacy means the lamp efficacy (as defined in § 430.2) at the end of the seasoning period, as calculated pursuant to section 3.2.2.9 of this appendix. 2.4. Integrated compact fluorescent lamp means an integrally ballasted compact fluorescent lamp that contains all components necessary for the starting and stable operation of the lamp, contains an PO 00000 Frm 00034 Fmt 4701 Sfmt 4700 ANSI standard base, does not include any replaceable or interchangeable parts, and is capable of being connected directly to a branch circuit through a corresponding ANSI standard lamp-holder (socket). 2.5. Labeled wattage means the highest wattage marked on the lamp and/or lamp packaging. 2.6. Lumen maintenance means the lumen output measured at a given time in the life of the lamp and expressed as a percentage of the measured initial lumen output. 2.7. Measured initial input power means the input power to the lamp, measured at the end of the lamp seasoning period, and expressed in watts (W). 2.8. Measured initial lumen output means the lumen output of the lamp measured at the end of the lamp seasoning period, expressed in lumens (lm). 2.9. Non-integrated compact fluorescent lamp means a compact fluorescent lamp that is not an integrated compact fluorescent lamp. 2.10. Percent variability means the result of dividing the difference between the maximum and minimum values by the average value for a contiguous set of separate time-averaged light output values spanning the specified time period. For a waveform of measured light output values, the timeaveraged light output is computed over one full cycle of sinusoidal input voltage, as a moving average where the measurement interval is incremented by one sample for each successive measurement value. 2.11. Power factor means the measured input power (watts) divided by the product of the measured RMS input voltage (volts) and the measured RMS input current (amps). 2.12. Rated input voltage means the voltage(s) marked on the lamp as the intended operating voltage or, if not marked on the lamp, 120 V. 2.13. Start plateau means the first 100 millisecond period of operation during which the percent variability does not exceed 5 percent. 2.14. Start time means the time, measured in milliseconds, between the application of power to the compact fluorescent lamp and the beginning of the start plateau. 2.15. Time to failure means the time elapsed between first use and the point at which the compact fluorescent lamp (for a hybrid CFL, the primary light source) ceases to produce measureable lumen output. 3. Active Mode Test Procedures 3.1. General Instructions. 3.1.1. In cases where there is a conflict, the language of the test procedure in this appendix takes precedence over any materials incorporated by reference. 3.1.2. Maintain lamp operating orientation throughout seasoning and testing, including storage and handling between tests. 3.1.3. Season CFLs prior to photometric and electrical testing in accordance with sections 4, 5, 6.1, and 6.2.2.1 of IES LM–54– 12 (incorporated by reference, see § 430.3). Season the CFL for a minimum of 100 hours in accordance with section 6.2.2.1 of IES LM–54–12. During the 100 hour seasoning period, cycle the CFL (operate the lamps for 180 minutes, 20 minutes off) as specified in section 6.4 of IES LM–65–14 (incorporated by reference; see § 430.3). E:\FR\FM\29AUR4.SGM 29AUR4 mstockstill on DSK3G9T082PROD with RULES4 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations 3.1.3.1. Unit operating time during seasoning may be counted toward time to failure, lumen maintenance at 40 percent of lifetime of a compact fluorescent lamp (as defined in § 430.2), and lumen maintenance at 1,000 hours if the required operating cycle and test conditions for time to failure testing per section 3.3.1 of this appendix are satisfied. 3.1.3.2. If a lamp breaks, becomes defective, fails to stabilize, exhibits abnormal behavior (such as swirling), or stops producing light prior to the end of the seasoning period, the lamp must be replaced with a new unit. If a lamp exhibits one of the conditions listed in the previous sentence after the seasoning period, the lamp’s measurements must be included in the sample. Record number of lamps replaced, if any. 3.1.4. Conduct all testing with the lamp operating at labeled wattage. This requirement applies to all CFLs, including those that are dimmable or multi-level. 3.1.5. Operate the CFL at the rated input voltage throughout testing. For a CFL with multiple rated input voltages including 120 volts, operate the CFL at 120 volts. If a CFL with multiple rated input voltages is not rated for 120 volts, operate the CFL at the highest rated input voltage. 3.1.6. Test CFLs packaged with ballasted adapters or designed exclusively for use with ballasted adapters as non-integrated CFLs, with no ballasted adapter in the circuit. 3.1.7. Conduct all testing of hybrid CFLs with all supplemental light sources in the lamp turned off, if possible. Before taking measurements, verify that the lamp has stabilized in the operating mode that corresponds to its primary light source. 3.2. Test Procedures for Determining Initial Lamp Efficacy, Lumen Maintenance, CCT, CRI, and Power Factor. Determine initial lamp efficacy, lumen maintenance at 40 percent of lifetime of a compact fluorescent lamp (as defined in in § 430.2), CCT, and CRI for integrated and non-integrated CFLs. Determine lumen maintenance at 1,000 hours and power factor for integrated CFLs only. 3.2.1. Test Conditions and Setup 3.2.1.1. Test half of the units in the sample in the base up position, and half of the units in the base down position; if the position is restricted by the manufacturer, test the units in the manufacturer-specified position. 3.2.1.2. Establish ambient conditions, power supply, auxiliary equipment, circuit setup, lamp connections, and instrumentation in accordance with the specifications in sections (and corresponding subsections) 4.0, 5.0 and 6.0 of IES LM–66– 14 (incorporated by reference; see § 430.3), except maintain ambient temperature at 25 ± 1 °C (77 ± 1.8 °F). 3.2.1.3. Non-integrated CFLs must adhere to the reference ballast requirements in section 5.2 of IES LM–66 (incorporated by reference; see § 430.3). 3.2.1.3.1. Test non-integrated lamps rated for operation on and having reference ballast characteristics for either low frequency or high frequency circuits (e.g., many preheat start lamps) at low frequency. 3.2.1.3.2. For low frequency operation, test non-integrated lamps rated for operation on VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 either preheat start (starter) or rapid start (no starter) circuits on preheat. 3.2.1.3.3. Operate non-integrated CFLs not listed in ANSI C78.901–2014 (incorporated by reference; see § 430.3) using the following reference ballast settings: 3.2.1.3.3.1. Operate 25–28 W, T5 twin 2G11-based lamps that are lower wattage replacements of 40 W, T5 twin 2G11-based lamps using the following reference ballast settings: 60 Hz, 400 volts, 0.270 amps, and 1240 ohms. 3.2.1.3.3.2. Operate 14–15 W, T4 quad G24q-2-based lamps that are lower wattage replacements of 18 W, T4 quad G24q-2-based lamps using the following reference ballast settings: 60 Hz, 220 volts, 0.220 amps, and 815 ohms. 3.2.1.3.3.3. Operate 21 W, T4 quad G24q3-based lamps that are lower wattage replacements of 26 W, T4 quad G24q-3-based lamps using the following reference ballast settings: 60 Hz, 220 volts, 0.315 amps, and 546 ohms. 3.2.1.3.3.4. Operate 21 W, T4 quad G24d3-based lamps that are lower wattage replacements of 26 W, T4 quad G24d-3-based lamps using the following reference ballast settings: 60 Hz, 220 volts, 0.315 amps, and 546 ohms. 3.2.1.3.3.5. Operate 21 W, T4 multi (6) GX24q-3-based lamps that are lower wattage replacements of 26 W, T4 multi (6) GX24q3-based lamps using the following reference ballast settings: 60 Hz, 220 volts, 0.315 amps, and 546 ohms. 3.2.1.3.3.6. Operate 27–28 W, T4 multi (6) GX24q-3-based lamps that are lower wattage replacements of 32 W, T4 multi (6) GX24q3-based lamps using the following reference ballast settings: 20–26 kHz, 200 volts, 0.320 amps, and 315 ohms. 3.2.1.3.3.7. Operate 33–38 W, T4 multi (6) GX24q-4-based lamps that are lower wattage replacements of 42 W, T4 multi (6) GX24q4-based lamps using the following reference ballast settings: 20–26 kHz, 270 volts, 0.320 amps, and 420 ohms. 3.2.1.3.3.8. Operate 10 W, T4 square GR10q-4-based lamps using the following reference ballast settings: 60 Hz, 236 volts, 0.165 amps, and 1,200 ohms. 3.2.1.3.3.9. Operate 16 W, T4 square GR10q-4-based lamps using the following reference ballast settings: 60 Hz, 220 volts, 0.195 amps, and 878 ohms. 3.2.1.3.3.10. Operate 21 W, T4 square GR10q-4-based lamps using the following reference ballast settings: 60 Hz, 220 volts, 0.260 amps, and 684 ohms. 3.2.1.3.3.11. Operate 28 W, T6 square GR10q-4-based lamps using the following reference ballast settings: 60 Hz, 236 volts, 0.320 amps, and 578 ohms. 3.2.1.3.3.12. Operate 38 W, T6 square GR10q-4-based lamps using the following reference ballast settings: 60 Hz, 236 volts, 0.430 amps, and 439 ohms. 3.2.1.3.3.13. Operate 55 W, T6 square GRY10q-3-based lamps using the following reference ballast settings: 60 Hz, 236 volts, 0.430 amps, and 439 ohms. 3.2.1.3.3.14. For all other lamp designs not listed in ANSI C78.901–2014 (incorporated by reference; see § 430.3) or section 3.2.1.3.3 of this appendix: PO 00000 Frm 00035 Fmt 4701 Sfmt 4700 59419 3.2.1.3.3.14.1. If the lamp is a lower wattage replacement of a lamp with specifications in ANSI C78.901–2014, use the reference ballast characteristics of the corresponding higher wattage lamp replacement in ANSI C78.901–2014. 3.2.1.3.3.14.2. For all other lamps, use the reference ballast characteristics in ANSI C78.901–2014 for a lamp with the most similar shape, diameter, and base specifications, and next closest wattage. 3.2.2. Test Methods, Measurements, and Calculations 3.2.2.1. Season CFLs. (See section 3.1.3 of this appendix.) 3.2.2.2. Stabilize CFLs as specified in section 6.2.1 of IES LM–66 (incorporated by reference; see § 430.3). 3.2.2.3. Measure the input power (in watts), the input voltage (in volts), and the input current (in amps) as specified in section 5.0 of IES LM–66 (incorporated by reference; see § 430.3). 3.2.2.4. Measure initial lumen output as specified in section 6.3.1 of IES LM–66 (incorporated by reference; see § 430.3) and in accordance with IESNA LM–78–07 (incorporated by reference; see § 430.3). 3.2.2.5. Measure lumen output at 1,000 hours as specified in section 6.3.1 of IES LM– 66 (incorporated by reference; see § 430.3) and in accordance with IESNA LM–78–07 (incorporated by reference; see § 430.3). 3.2.2.6. Measure lumen output at 40 percent of lifetime of a compact fluorescent lamp (as defined in 10 CFR 430.2) as specified in section 6.3.1 of IES LM–66 (incorporated by reference; see § 430.3) and in accordance with IESNA LM–78–07 (incorporated by reference; see § 430.3). 3.2.2.7. Determine CCT as specified in section 6.4 of IES LM–66 (incorporated by reference; see § 430.3) and in accordance with CIE 15 (incorporated by reference; see § 430.3). 3.2.2.8. Determine CRI as specified in section 6.4 of IES LM–66 (incorporated by reference; see § 430.3) and in accordance with CIE 13.3 (incorporated by reference; see § 430.3). 3.2.2.9. Determine initial lamp efficacy by dividing measured initial lumen output by the measured initial input power. 3.2.2.10. Determine lumen maintenance at 1,000 hours by dividing measured lumen output at 1,000 hours by the measured initial lumen output. 3.2.2.11. Determine lumen maintenance at 40 percent of lifetime of a compact fluorescent lamp (as defined in § 430.2) by dividing measured lumen output at 40 percent of lifetime of a compact fluorescent lamp (as defined in § 430.2) by the measured initial lumen output. 3.2.2.12. Determine power factor by dividing the measured input power (watts) by the product of measured RMS input voltage (volts) and measured RMS input current (amps). 3.3. Test Method for Time to Failure and Rapid Cycle Stress Test. Determine time to failure for integrated and non-integrated CFLs. Conduct rapid cycle stress testing for integrated CFLs only. Disregard section 3.0 of IES LM–65–14. 3.3.1. Test Conditions and Setup E:\FR\FM\29AUR4.SGM 29AUR4 59420 Federal Register / Vol. 81, No. 167 / Monday, August 29, 2016 / Rules and Regulations 3.3.1.1. Test half of the units in the base up position and half of the units in the base down position; if the position is restricted by the manufacturer, test in the manufacturerspecified position. 3.3.1.2. Establish the ambient and physical conditions and electrical conditions in accordance with the specifications in sections 4.0 and 5.0 of IES LM–65–14 (incorporated by reference; see § 430.3). Do not, however, test lamps in fixtures or luminaires. 3.3.1.3. Non-integrated CFLs must adhere to ballast requirements as specified in section 3.2.1.3 of this appendix. 3.3.2. Test Methods and Measurements 3.3.2.1. Season CFLs. (See section 3.1.3 of this appendix.) 3.3.2.2. Measure time to failure of CFLs as specified in section 6.0 of IES LM–65–14 (incorporated by reference; see § 430.3). 3.3.2.3. Conduct rapid cycle stress testing of integrated CFLs as specified in section 6.0 of IES LM–65–14 (incorporated by reference; see § 430.3), except cycle the lamp continuously with each cycle consisting of one 5-minute ON period followed by one 5minute OFF period. 3.4. Test Method for Start Time. Determine start time for integrated CFLs only. 3.4.1. Test Conditions and Setup 3.4.1.1. Test all units in the base up position; if the position is restricted by the manufacturer, test units in the manufacturerspecified position. 3.4.1.2. Establish the ambient conditions, power supply, auxiliary equipment, circuit setup, lamp connections, and instrumentation in accordance with the specifications in sections 4.0 and 5.0 of IES LM–66 (incorporated by reference; see § 430.3), except maintain ambient temperature at 25 ± 1 °C (77 ± 1.8 °F). 3.4.2. Test Methods and Measurement 3.4.2.1. Season CFLs. (See section 3.1.3 of this appendix.) 3.4.2.2. After seasoning, store units at 25 ± 5 °C ambient temperature for a minimum of 16 hours prior to the test, after which the ambient temperature must be 25 ± 1 °C for a minimum of 2 hours immediately prior to the test. Any units that have been off for more than 24 hours must be operated for a minimum of 3.0 hours and then be turned off for 16 to 24 hours prior to testing. 3.4.2.3. Connect multichannel oscilloscope with data storage capability to record input voltage to CFL and light output. Set oscilloscope to trigger at 10 V lamp input voltage. Set oscilloscope vertical scale such that vertical resolution is 1 percent of measured initial light output or finer. Set oscilloscope to sample the light output waveform at a minimum rate of 2 kHz. 3.4.2.4. Operate the CFL at the rated voltage and frequency. 3.4.2.5. Upon the commencement of start time testing, record sampled light output until start plateau has been determined. 3.4.2.6. Calculate the time-averaged light output value at least once every millisecond where the time-averaged light output is computed over one full cycle of sinusoidal input voltage, as a moving average where the measurement interval is incremented by one sample for each successive measurement value. 3.4.2.7. Determine start time. 4. Standby Mode Test Procedure Measure standby mode energy consumption for only integrated CFLs that are capable of operating in standby mode. The standby mode test method in this section may be completed before or after the active test method for determining lumen output, input power, CCT, CRI, and power factor in section 3 of this appendix. The standby mode test method in this section must be completed before the active mode test method for determining time to failure in section 3.3 of this appendix. The standby mode test method must be completed in accordance with applicable provisions in section 3.1. 4.1. Test Conditions and Setup 4.1.1. Position half of the units in the sample in the base up position and half of the Factor 10. Section 430.32 is amended by revising paragraph (u) to read as follows: ■ § 430.32 Energy and water conservation standards and their compliance dates. * * * * * (u) Compact fluorescent lamps. (1) Medium Base Compact Fluorescent Lamps. A bare or covered (no reflector) medium base compact fluorescent lamp manufactured on or after January 1, 2006, must meet the following requirements: Requirements Labeled Wattage (Watts) & Configuration * .............................................. Bare Lamp: Labeled Wattage < 15 ....................................................................... Labeled Wattage ≥ 15 ....................................................................... Covered Lamp (no reflector): Labeled Wattage < 15 ....................................................................... 15 ≤ Labeled Wattage < 19 .............................................................. 19 ≤ Labeled Wattage < 25 .............................................................. Labeled Wattage ≥ 25 ....................................................................... Lumen Maintenance at 1,000 Hours ........................................................ Lumen Maintenance at 40 Percent of Lifetime ** ..................................... Rapid Cycle Stress Test ........................................................................... Lifetime ** .................................................................................................. mstockstill on DSK3G9T082PROD with RULES4 units in the base down position; if the position is restricted by the manufacturer, test units in the manufacturer-specified position. 4.1.2. Establish the ambient conditions (including air flow), power supply, electrical settings, and instrumentation in accordance with the specifications in sections 4.0, 5.0 and 6.0 of IES LM–66 (incorporated by reference; see § 430.3), except maintain ambient temperature at 25 ± 1 °C (77 ± 1.8 °F). 4.2. Test Methods, Measurements, and Calculations 4.2.1. Season CFLs. (See section 3.1.3 of this appendix.) 4.2.2. Connect the integrated CFL to the manufacturer-specified wireless control network (if applicable) and configure the integrated CFL in standby mode by sending a signal to the integrated CFL instructing it to have zero light output. The integrated CFL must remain connected to the network throughout the entire duration of the test. 4.2.3. Stabilize the integrated CFL prior to measurement as specified in section 5 of IEC 62301–W (incorporated by reference; see § 430.3). 4.2.4. Measure the standby mode energy consumption in watts as specified in section 5 of IEC 62301–W (incorporated by reference; see § 430.3). Measured initial lamp efficacy (lumens per watt) must be at least: 45.0. 60.0. 40.0. 48.0. 50.0. 55.0. ≥90.0%. ≥80.0%. Each lamp must be cycled once for every 2 hours of lifetime.** At least 5 lamps must meet or exceed the minimum number of cycles. ≥6,000 hours. * Use labeled wattage to determine the appropriate efficacy requirements in this table; do not use measured wattage for this purpose. ** Lifetime refers to lifetime of a compact fluorescent lamp as defined in 10 CFR 430.2. * (2) [Reserved]. * * * * [FR Doc. 2016–19967 Filed 8–26–16; 8:45 am] BILLING CODE 6450–01–P VerDate Sep<11>2014 18:00 Aug 26, 2016 Jkt 238001 PO 00000 Frm 00036 Fmt 4701 Sfmt 9990 E:\FR\FM\29AUR4.SGM 29AUR4

Agencies

DEPARTMENT OF ENERGY

[Federal Register Volume 81, Number 167 (Monday, August 29, 2016)]
[Rules and Regulations]
[Pages 59385-59420]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-19967]

[[Page 59385]]

Vol. 81

Monday,

No. 167

August 29, 2016

Part IV

Department of Energy

-----------------------------------------------------------------------

10 CFR Parts 429 and 430

Energy Conservation Program: Test Procedure for Compact Fluorescent
Lamps; Final Rule

Federal Register / Vol. 81 , No. 167 / Monday, August 29, 2016 /
Rules and Regulations

[[Page 59386]]

-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

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

Energy Conservation Program: Test Procedure for Compact
Fluorescent Lamps

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

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: This final rule amends the U.S. Department of Energy's (DOE)
test procedures for medium base compact fluorescent lamps (MBCFLs) and
adopts test procedures for new metrics for all CFLs including hybrid
CFLs and CFLs with bases other than medium screw base. In this final
rule, DOE replaces references to ENERGY STAR[supreg] testing
requirements with references to the latest versions of the relevant
industry standard test methods referenced by the ENERGY STAR testing
requirements, with certain modifications. In addition, DOE adopts new
test procedures to support the ongoing energy conservation standards
rulemaking for general service lamps (GSLs), the recently revised final
test procedure and energy conservation standards for ceiling fan light
kits (CFLKs), and the labeling requirements specified by the Federal
Trade Commission (FTC). The test procedures will also support the
ENERGY STAR program requirements for lamps and luminaires.
Specifically, this final rule adopts test methods for new metrics
including color rendering index (CRI), correlated color temperature
(CCT), power factor, and start time. DOE also adopts test procedures
for additional CFL categories, including non-integrated CFLs and
integrated CFLs that are not MBCFLs. This final rule also revises the
sampling plan for performance metrics and incorporates methods to
measure standby mode power.

DATES: The effective date of this rule is September 28, 2016.
Representations must be based on testing in accordance with the final
rule starting February 27, 2017. The incorporation by reference of
certain publications listed in this rule was approved by the Director
of the Federal Register on September 28, 2016.

ADDRESSES: 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://www1.eere.energy.gov/buildings/appliance_standards/product.aspx/productid/28. This Web page will contain a link to the docket for this
notice on the www.regulations.gov site. The www.regulations.gov Web
page will contain simple instructions on how to access all documents,
including public comments, in the docket.
For further information on how to review the docket, contact Ms.
Emily Marchetti at (202) 586-6636 or by email:
medium_base_compact_fluorescent_lamps@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:
medium_base_compact_fluorescent_lamps@ee.doe.gov.
Mr. Peter Cochran, U.S. Department of Energy, Office of the General
Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 586-9496. Email: peter.cochran@hq.doe.gov.

SUPPLEMENTARY INFORMATION: This final rule incorporates by reference
into part 430 specific sections of the following industry standards:

(1) American National Standards Institute and International
Electrotechnical Commission (ANSI) C78.901-2014, American National
Standard for Electric Lamps--Single-Based Fluorescent Lamps--
Dimensional and Electrical Characteristics. Copies of ANSI C78.901-
2014 can be obtained from ANSI Attn: Customer Service Department, 25
W 43rd Street, 4th Floor, New York, NY, 10036, or by going to https://webstore.ansi.org/.
(2) CIE 13.3-1995 (``CIE 13.3''), Technical Report: Method of
Measuring and Specifying Colour Rendering Properties of Light
Sources, 1995, ISBN 3 900 734 57 7.
(3) CIE 15:2004 (``CIE 15''), Technical Report: Colorimetry, 3rd
edition, 2004, ISBN 978 3 901906 33 6.
Copies of CIE 13.3 and CIE 15 can be obtained from Commission
Internationale de l'Eclairage, Central Bureau, Kegelgasse 27, A-
1030, Vienna, Austria, 011 + 43 1 714 31 87 0, or by going to https://www.cie.co.at.
(4) IEC 62301 (``IEC 62301-W''), Household electrical
appliances--Measurement of standby power (Edition 2.0, 2011-01).
A copy of IEC 62301 can be obtained from the American National
Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY
10036, (212) 642-4900, or by going to https://webstore.ansi.org.
(5) Illuminating Engineering Society of North America (IES) LM-
54-12, IES Guide to Lamp Seasoning.
(6) IES LM-65-14, IES Approved Method for Life Testing of
Single-Based Fluorescent Lamps.
(7) IES LM-66-14, (``IES LM-66''), IES Approved Method for the
Electrical and Photometric Measurements of Single-Based Fluorescent
Lamps.
(8) IESNA LM-78-07, IESNA Approved Method for Total Luminous
Flux Measurement of Lamps Using an Integrating Sphere Photometer.
Copies of IES LM-54-12, IES LM-65-14, IES LM-66 and IES LM-78-07 can
be obtained from IES, 120 Wall Street, Floor 17, New York, NY 10005-
4001, or by going to www.ies.org/store.
For a further discussion of these standards, see section IV.M.

Table of Contents

I. Authority and Background
A. Authority
B. Background
II. Synopsis of the Final Rule
III. Discussion
A. Amendments to Appendix W to Subpart B of 10 CFR part 430
1. Updates to Industry Test Methods
2. Clarifications to General Test Conditions and Setup
3. Clarifications to Definitions
4. Test Procedures for Existing and New Metrics
5. Test Procedures for New CFL Categories
6. Test Procedure for Standby Mode Energy Consumption
7. Rounding Values
B. Amendments to Definitions at 10 CFR 430.2
1. Compact Fluorescent Lamp
2. Correlated Color Temperature
3. Lifetime of a Compact Fluorescent Lamp
C. Amendments to Materials Incorporated by Reference at 10 CFR
430.3
D. Amendments to 10 CFR 430.23(y)
E. Amendments to Laboratory Accreditation Requirements at 10 CFR
430.25
F. Clarifications to Energy Conservation Standard Text at 10 CFR
430.32(u)
1. Initial Lamp Efficacy
2. Lumen Maintenance at 1,000 Hours
3. Lumen Maintenance at 40 Percent of Lifetime
4. Rapid Cycle Stress Test
5. Lifetime
G. Amendments to Certification Report Requirements
H. Amendments to 10 CFR 429.35
1. Initial Lamp Efficacy and Lumen Maintenance
2. Rapid Cycle Stress Testing
3. Lifetime of a Compact Fluorescent Lamp
4. New Metrics
5. Reuse of Samples
6. Lamp Failures
I. Federal Trade Commission (FTC) Labeling Requirements
J. Effective Date
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act

[[Page 59387]]

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
N. Congressional Notification
V. Approval of the Office of the Secretary

I. Authority and Background

A. Authority

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),
established the ``Energy Conservation Program for Consumer Products
Other Than Automobiles.'' CFLs are among the consumer products affected
by these provisions.
---------------------------------------------------------------------------

\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 the products (42 U.S.C. 6293(c)).
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 new or amended test procedure
shall be reasonably designed to produce test results that measure
energy efficiency, energy use, or estimated annual operating cost of a
covered product during a representative average use cycle or period of
use, and shall not be unduly burdensome to conduct. (42 U.S.C.
6293(b)(3))
In addition, if DOE determines that a test procedure amendment is
warranted, it must publish a proposed test procedure and offer the
public an opportunity to present oral and written comments. (42 U.S.C.
6293(b)(2)) Finally, in any rulemaking to amend a test procedure, DOE
must determine to what extent, if any, the proposed test procedure
would alter the measured energy efficiency of the covered product as
determined under the existing test procedure. (42 U.S.C. 6293(e)(1))
EPCA also requires that, at least once every 7 years, DOE evaluate
test procedures for each type of covered equipment, including MBCFLs,
to determine whether amended test procedures would more accurately or
fully comply with the requirements for the test procedures to not be
unduly burdensome to conduct and be reasonably designed to produce test
results that reflect energy efficiency, energy use, and estimated
operating costs during a representative average use cycle. (42 U.S.C.
6293(b)(1)(A))
Finally, EPCA directs DOE to amend its test procedures for all
covered products to integrate measures of standby mode and off mode
energy consumption, if technically feasible. (42 U.S.C. 6295(gg)(2)(A))
DOE has determined that, while no CFLs are capable of operating under
off mode, some CFLs are capable of operating under standby mode.
Consequently, DOE adopts a test procedure for measuring standby mode
power in appendix W, as detailed in section III.A.6 of this final rule.

B. Background

The Energy Policy Act of 2005 (Public Law 109-58) amended EPCA to
require that MBCFL test procedures be based on the August 2001 version
of the ENERGY STAR[supreg] Program Requirements for CFLs. (42 U.S.C.
6293(b)(12)) Consistent with this requirement, DOE published a final
rule on December 8, 2006 (December 2006 final rule) that established
DOE's current test procedures for MBCFLs under 10 CFR part 430, subpart
B, appendix W. 71 FR 71340. The December 2006 final rule established
test procedures for initial lamp efficacy, lumen maintenance at 1,000
hours, lumen maintenance at 40 percent of lifetime, rapid cycle stress
test, and lifetime for MBCFLs. Id.
EPCA, however, also requires that at least once every 7 years, DOE
must conduct an evaluation of all covered products and either amend the
test procedures (if the Secretary determines that amended test
procedures would more accurately or fully comply with the requirements
of 42 U.S.C. 6293(b)(3)) or publish a determination in the Federal
Register not to amend them. (42 U.S.C. 6293(b)(1)(A)) The ENERGY STAR
Program Requirements for CFLs have been updated several times since
2001 to reflect current best practices and technological developments.
This final rule amends the CFL test procedure to directly reference the
latest industry standards in accordance with this EPCA requirement.
On July 31, 2015, DOE issued a NOPR (July 2015 NOPR) to amend and
expand its test procedures for CFLs. 80 FR 45723. DOE then held a
public meeting to discuss these proposed amendments on August 31, 2015,
and allowed for written comments to be submitted through October 14,
2015. This rule addresses comments that were received on the proposal
and finalizes many of the proposed changes to appendix W to subpart B
of 10 CFR part 430 and to 10 CFR part 429.

II. Synopsis of the Final Rule

In this final rule, DOE replaces the existing references to ENERGY
STAR program requirements with direct references to the latest versions
of the appropriate industry test methods from the Illuminating
Engineering Society of North America (IES) (see section III.A.1 for
further details). Directly referencing the latest industry standards
will allow DOE to adopt current best practices and technological
developments in its test procedures.
DOE also adopts, in this rule, test procedures for additional CFL
categories and metrics to support energy conservation standard
rulemakings for GSLs and CFLKs. DOE's existing test procedures apply
only to integrated CFLs with medium screw bases (i.e., MBCFLs).
Integrated CFLs (also referred to as self-ballasted or integrally
ballasted) contain all components necessary for the starting and stable
operation of the lamp, do not include any replaceable or
interchangeable parts, and are connected directly to a branch circuit
through an American National Standards Institute (ANSI) base and
corresponding ANSI standard lamp-holder (socket). Non-integrated CFLs
(also referred to as pin-base) require an external ballast to function,
and mainly have pin bases, (e.g., 2-pin or 4-pin). On March 17, 2016,
DOE issued a NOPR (March 2016 NOPR) that proposes a new definition for
general service lamp that includes both non-integrated CFLs and
integrated CFLs. 81 FR 14527. The March 2016 NOPR also proposes minimum
efficacy and power factor standards for certain types of general
service lamps and additional metrics for

[[Page 59388]]

MBCFLs. On January 6, 2016, DOE issued a final rule (January 2016 final
rule) establishing amended energy conservation standards for CFLs, both
integrated and non-integrated, packaged with a CFLK. 81 FR 579.
DOE is also adopting these new test procedures to support: (1) The
Federal Trade Commission (FTC) labeling requirements for lighting
products as specified in 16 CFR 305.15; and (2) the U.S. Environmental
Protection Agency's ENERGY STAR program for lamps and luminaires. Under
the FTC Lighting Facts labeling requirement, manufacturers are required
to include basic and consistent information about certain types of
light bulbs (lamps) including information about the lumen output, input
power, life, and correlated color temperature (CCT) on the lamp
packaging. Regarding ENERGY STAR, DOE's adopted CFL test procedure
provides test methods for certain metrics included in the ENERGY STAR
specification for lamps \2\ and luminaires.\3\ The ENERGY STAR lamps
specification includes, among others, metrics for initial lamp
efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40
percent of lifetime, rapid cycle stress test, lifetime, CCT, color
rendering index (CRI), power factor, and start time. The ENERGY STAR
luminaires specification includes, among others, metrics for efficacy,
lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power
factor, and start time.
---------------------------------------------------------------------------

\2\ ENERGY STAR[supreg] Program Requirements Product
Specification for Lamps (Light Bulbs), Eligibility Criteria, Version
2.0. December 31, 2015. Washington, DC. https://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Lamps%20V2_0%20Program%20Requirements.pdf.
\3\ ENERGY STAR[supreg] Program Requirements Product
Specification for Luminaires (Light Fixtures), Eligibility Criteria,
Version 2.0. May 29, 2015. Washington, DC. https://www.energystar.gov/sites/default/files/asset/document/Luminaires%20V2%200%20Final.pdf.
---------------------------------------------------------------------------

Table II.1 summarizes the metrics adopted in this final rule and
which agency requires them.

Table II.1--CFL Metrics in DOE Regulations, FTC Labeling Requirements, and the ENERGY STAR Program
--------------------------------------------------------------------------------------------------------------------------------------------------------
DOE proposed or established regulations EPA ENERGY STAR
--------------------------------------------------- FTC labeling program for
Metric requirements lamps or
MBCFL GSL CFLK luminaires
--------------------------------------------------------------------------------------------------------------------------------------------------------
Integrated CFLs
--------------------------------------------------------------------------------------------------------------------------------------------------------
Efficacy........................................................... X X X X X
CCT................................................................ ............... -- -- X X
CRI................................................................ ............... X -- -- X
Lumen maintenance at 1,000 hours................................... X X X -- X
Lumen maintenance at 40% of lifetime............................... X X X -- X
Lifetime........................................................... X X X X X
Rapid Cycle Stress Test............................................ X X X -- X
Power Factor....................................................... ............... X -- -- X
Start Time......................................................... ............... X -- -- X
Standby Mode Energy Consumption.................................... ............... X -- -- X
--------------------------------------------------------------------------------------------------------------------------------------------------------
Non-Integrated CFLs
--------------------------------------------------------------------------------------------------------------------------------------------------------
Efficacy........................................................... -- * X -- X
CCT................................................................ -- -- -- -- X
CRI................................................................ -- -- -- -- X
Lumen maintenance at 40% of lifetime............................... -- -- -- -- X
Lifetime........................................................... -- -- -- -- X
--------------------------------------------------------------------------------------------------------------------------------------------------------
* In the March 2016 NOPR, DOE notes that the backstop provision in 6296(i)(6)(A)(v) is automatically triggered. The backstop provision requires all
lamps that meet the definition of a general service lamp (which includes many non-integrated compact fluorescent lamps) comply with a minimum efficacy
standard of 45 lumens per watt. 81 FR 14528, 14540 (March 17, 2016).

Additionally, DOE establishes a test procedure for CFL standby mode
power measurement, as directed by EPCA. However, this test procedure
will only apply to integrated CFLs because non-integrated CFLs are not
capable of standby mode operation (see section III.A.6).
Finally, DOE also revises the current sampling plan in 10 CFR
429.35. This revised sampling plan is consistent with ENERGY STAR Lamps
Specification V2.0, as detailed in section III.H.

III. Discussion

A. Amendments to Appendix W to Subpart B of 10 CFR part 430

1. Updates to Industry Test Methods
DOE's existing MBCFL test procedures contained in appendix W to
subpart B of 10 CFR part 430 are based on the August 2001 version of
the ENERGY STAR program requirements for CFLs,\4\ which has since been
updated several times. In the July 2015 NOPR, DOE proposed replacing
the existing references to ENERGY STAR program requirements with direct
references to the latest versions of the appropriate industry test
methods from the IES. DOE explained that directly referencing the
latest industry standards would allow DOE to adopt current best
practices and technological developments in its test procedures. As a
result, DOE proposed to directly incorporate by reference in appendix W
the latest versions of the following industry test procedures: IES LM-
66-14,\5\ IES LM-65-14,\6\ and IES LM-54-12.\7\ DOE also proposed to no
longer incorporate by reference the August 2001 version of the ENERGY
STAR Program Requirements for CFLs, previously approved for appendix W.
---------------------------------------------------------------------------

\4\ ENERGY STAR[supreg] Program Requirements for CFLs Partner
Commitments, Version 2.0, Washington, DC (Aug. 9, 2001).
www.energystar.gov/ia/partners/product_specs/program_reqs/archive/CFLs_Program_RequirementsV2.0.pdf.
\5\ IES Approved Method for the Electrical and Photometric
Measurements of Single-Based Fluorescent Lamps (approved December
30, 2014).
\6\ IES Approved Method for Life Testing of Single-Based
Fluorescent Lamps (approved December 30, 2014).
\7\ IES Guide to Lamp Seasoning (approved October 22, 2012).

---------------------------------------------------------------------------

[[Page 59389]]

DOE compared the currently referenced versions and the new updated
versions of the relevant industry standards to determine, as directed
by EPCA, whether adopting the latest industry standards would alter
measured energy efficiency for MBCFLs as determined under the current
DOE test procedure. DOE determined that these changes would have a de
minimis effect on measured values.
Both the National Electrical Manufacturers Association (NEMA) and
OSRAM SYLVANIA, Inc. (OSI) supported the incorporation by reference of
IES LM-66-14 and IES LM-65-14 stating that it would not significantly
affect the testing or measured values. (NEMA, No. 9 at pp. 3,8; OSI,
No. 5 at pp. 2-3) \8\
---------------------------------------------------------------------------

\8\ DOE identifies comments received in response to the July
2015 CFL TP NOPR on Docket No. EERE-2015-BT-TP-0014 by the
commenter, the document number as listed in the docket maintained at
www.regulations.gov, and the page number of that document where the
comment appears (for example: OSI, No. 5 at p. 7). If a comment was
made verbally during the August 2015 NOPR public meeting, DOE
---------------------------------------------------------------------------

DOE received comments regarding the provisions on cycling lamps
during seasoning in IES LM-54-12. Under the current test procedure, in
accordance with IES LM-54-1991, all lamps are seasoned at a 3 hour on,
20 minute off cycle for 100 operating hours. The latest version of the
standard, IES LM-54-12, also specifies that lamps that are to be
lifetime tested shall be cycled during seasoning. However, IES LM-54-12
does not specify a specific operating cycle during seasoning for
lifetime testing. IES LM-54-12 also states that lamps to be tested for
other performance metrics can be continuously burned (not cycled)
during seasoning to shorten the time required for seasoning. In the
July 2015 NOPR, DOE tentatively determined that not providing a
specific operating cycle during seasoning for lifetime testing and not
requiring cycling during seasoning for other performance metrics would
have a de minimis impact on measured values.
The California Investor Owned Utilities (CA IOUs) \9\ and the
Energy Efficiency Advocates (EEAs),\10\ however, disagreed and
recommended that DOE require lamps to be cycled (operated 3 hours and
then turned off for 20 minutes) during seasoning as was specified in
IES LM-54-1991. (CA IOUs, No. 7 at p. 3; EEAs, No. 8 at p. 4)
---------------------------------------------------------------------------

\9\ The CA IOUs are Pacific Gas and Electric Company (PG&E),
Southern California Gas Company (SCG), San Diego Gas and Electric
Company (SDG&E), and Southern California Edison (SCE).
\10\ The EEAs are the Appliance Standards Awareness Project
(ASAP), American Council for an Energy Efficient Economy (ACEEE),
Alliance to Save Energy (ASE), Natural Resources Defense Council
(NRDC), Northeast Energy Efficiency Partnerships (NEEP), and
Northwest Energy Efficiency Alliance (NEEA).
---------------------------------------------------------------------------

DOE continues to find that cycling during seasoning would have a de
minimis impact on measured values. However, in this final rule, in
order to establish a more consistent test procedure, DOE specifies
cycling during seasoning for all metrics. As discussed in section
III.H.5, in this final rule, DOE requires that the same set of lamps be
used for measurement of initial lamp efficacy, lumen maintenance,
lifetime, color measurements, start time, and power factor. Because of
this requirement to use the same set of lamps and the specification in
IES LM-54-12 that lamps should be cycled during seasoning for lifetime
measurements, lamps used in DOE's test procedure must be cycled during
seasoning for all other measurements as well. Rapid cycle stress
testing is conducted on a unique set of lamps--a separate set of lamps
than used for all other metrics. However, DOE requires in this final
rule that lamps used for rapid cycle stress testing also be cycled
while seasoned and thereby provides a consistent methodology for
seasoning across all metrics.
To provide further consistency and specificity in test method, in
this final rule, DOE specifies in this test procedure how to cycle
lamps. Although section 6.2.2.1 of LM-54-12 states that for lifetime
testing, lamps should be cycled during seasoning, IES LM-54-12 does not
define the cycling time. IES LM-54-1991 required that all lamps be
seasoned at a 3 hour (180 minutes) on, 20 minute off cycle for 100
operating hours. Additionally, section 6.4 of IES LM-65-14 states that
the standard life operating cycle shall be 180 minutes on, 20 minutes
off. Therefore, in this final rule, DOE specifies in section 3.1.3 of
appendix W that lamps must be cycled during seasoning, and the
operating cycle must be 180 minutes on, 20 minutes off in accordance
with section 6.4 of IES LM-65-14. In this final rule, DOE incorporates
by reference IES LM-54-12, and supplements its seasoning requirements
with the additional requirements noted in this section.
DOE also received several comments regarding how industry standards
incorporated by reference should be cited within the DOE test
procedure. Both NEMA and OSI commented that in the NOPR, DOE proposed
text copied directly from the referenced industry standards for
incorporation into the CFR. NEMA recommended that instead, DOE should
incorporate these publications by reference, ensuring that interested
parties understand the context. (NEMA, No. 9 at p. 2; OSI, No. 5 at p.
2) Philips Lighting (Philips) expressed concern that when the DOE test
procedure deviates from a document incorporated by reference it adds
another level of complexity and possibly leads to confusion. (Philips,
Public Meeting Transcript, No. 4 at pp. 83-84) As a solution, Philips
suggested that DOE provide specific instructions to the testing
laboratory like ENERGY STAR and other programs. (Philips, Public
Meeting Transcript, No. 4 at p. 68) Westinghouse stated that, although
they preferred DOE incorporate by reference the entire document, it was
acceptable if only portions can be referenced. Westinghouse stated that
it can cause confusion when DOE makes modifications such that something
not in the referenced standard is included in the DOE test procedure.
In particular, when auditing a test lab, Westinghouse noted that the
lab may meet requirements based on the referenced standard but not
based on DOE's test procedure. (Westinghouse, Public Meeting
Transcript, No. 4 at p. 85)
DOE appreciates the feedback related to incorporation by reference
of industry standards as well as ways to improve the clarity of DOE's
test procedure. In the NOPR and in this final rule, DOE did not include
text in the regulatory language copied directly from an industry
standard and instead incorporated by reference relevant industry
standards in 10 CFR 430.3 and referenced sections of the incorporated
industry standards as relevant in DOE's test procedures. DOE lays out
instructions regarding the test setup conditions, test methods, and
measurements for each CFL metric in appendix W. In these instructions,
DOE references relevant sections of industry standards, and provides
further clarification as needed. To generate reliable and consistent
results, DOE, in some instances, provides further clarification and/or
exceptions to the industry standards referenced. For example, appendix
W states that lamps should be seasoned according to sections 4, 5, 6.1,
and 6.2.2.1 of IES LM-54-12. To reduce test burden, DOE provides
further clarification in appendix W that time during seasoning can be
counted toward time to failure and lumen maintenance at 40 percent of
lifetime (see section III.A.2.e for further details). IES LM-54-12
states that, for lifetime testing, lamps shall be cycled during
seasoning, and for all other performance metrics, lamps can be
continuously burned during seasoning.

[[Page 59390]]

To ensure consistent seasoning requirements across all metrics, DOE
requires in this final rule that, for all metrics, including lifetime,
lamps must be cycled during seasoning (as noted in this section).
Therefore, DOE's test procedure in appendix W is streamlined to
provide, at each step, only the relevant sections of industry
standards, and any related additional instructions and/or
clarifications specific to the DOE test procedure. In summary, DOE
finds that the test procedures for CFLs as prescribed in this final
rule address the concerns of interested parties to provide clear,
unambiguous instruction regarding the appropriate procedures for
testing CFLs.
2. Clarifications to General Test Conditions and Setup
a. Instrumentation
In the July 2015 NOPR, DOE proposed that photometric measurements
including lumen output, CCT, and CRI be carried out in an integrating
sphere. DOE made this proposal because of potential differences in
measured values when conducting testing with an integrating sphere
versus a goniophotometer and certain issues with the use of
goniophotometers. DOE received comments related to its proposal to only
allow the use of integrating spheres for photometric measurements. P.R.
China noted that although the integrating sphere method is simpler, the
goniophotometer measures luminous flux using an absolute method and is
therefore more accurate. Specifically, P.R. China argued that the
goniophotometer method should be allowed because integrating spheres
might lead to errors with large-sized lamps or lamps with special
shapes. P.R. China added that additional testing cost and/or burden
could be introduced by only allowing the use of integrating spheres.
(P.R. China, No. 10 at p. 3) However, NEMA and OSI were supportive of
using only an integrating sphere for testing. (NEMA, No. 9 at p. 3;
OSI, No. 5 at p. 3)
Both the integrating sphere and goniophotometer methods are allowed
in IES LM-66-14. DOE understands that both these methods are valid ways
to take photometric measurements. However, DOE is concerned about the
potential difference in measured values generated from the two
different measurement approaches. Because DOE test procedures must
yield repeatable and reproducible results and comparable measured
values, DOE determined that it must specify one method of measurement.
DOE believes that the integrating sphere method is preferable to the
goniophotometer method because of certain issues that make
goniophotometer testing more variable and potentially less accurate.
The goniophotometer is potentially problematic for lamps that emit
light in all directions as the setup may result in a dead angle where
some part of the light output is blocked by the equipment (e.g., the
arm in which the lamp is held). The goniophotometer method also
requires a precise scanning resolution that may differ by lamp and is
not subject to a specific industry requirement that could provide
consistency across measurements. Integrating spheres can come in a
range of sizes and can accordingly be used to test a variety of sizes
and shapes of lamps, including linear fluorescent lamps, which are much
larger than CFLs. Therefore, DOE is not aware of any constraints or
limitations regarding testing CFLs using integrating spheres.
DOE also proposed to incorporate by reference IESNA LM-78-07 in the
July 2015 NOPR, which provides more specific guidance on measuring
lumen output in an integrated sphere. DOE did not receive any comments
related to IESNA LM-78-07.
For these reasons, DOE requires that all photometric measurements,
including lumen output, CCT, and CRI, must be carried out using the
integrating sphere method. Additionally, to provide a method for
measuring lumen output in an integrating sphere, DOE incorporates by
reference IESNA LM-78-07.
b. Ambient Temperature
In the July 2015 NOPR, DOE proposed that photometric and electrical
testing of CFLs must be conducted at an ambient temperature of 25
1 [deg]C. 80 FR 45731. Section 4.3 of IES LM-66-14 states
that the ambient temperature during photometric and electrical testing
must be maintained at 25 1 [deg]C unless the CFL is
designed to perform optimally under non-standard conditions. Similar
requirements and allowance were given in IES LM-66-1991. DOE's review
of manufacturer-published product literature suggests that photometric
and electrical testing of CFLs is typically conducted at the standard
25 1 [deg]C temperature conditions and possible
inconsistencies could arise between represented values if testing
occurred at other temperatures.
OSI commented that the ambient temperature requirement of 25 1 [deg]C is acceptable for most lamps, but not for non-
integrated lamps specifically designed for high ambient temperature
operation. (OSI, No. 5 at p. 3) General Electric (GE) was also
supportive of the temperature range for testing for most products, but
requested an exclusion for products that are specifically designed for
high ambient temperatures. (GE, Public Meeting Transcript, No. 4 at pp.
32-33) NEMA commented that non-integrated lamps specifically designed
for high ambient temperature operation should not be tested at 25
[deg]C. (NEMA, No. 9 at p. 3)
DOE understands the concerns of interested parties, but believes
that it is important to establish test procedures that provide a
consistent set of measurements. That is, DOE believes that adopting a
consistent rating condition across all CFL models will make the results
more comparable among CFL models.
c. Input Voltage
In the July 2015 NOPR, DOE proposed that if rated input voltage is
a range that includes 120 volts (V), the CFL must be operated at 120 V
when conducting the DOE test procedures. If the CFL can be operated
with multiple rated input voltages and is not rated for 120 V, the CFL
must be operated at the highest rated input voltage. DOE determined
that requiring testing at a single input voltage would limit testing
variation and ensure more accurate and consistent measurements of time
to failure (see sections III.A.3.a and III.A.4.b). In addition, section
5.1.1 of IES LM-65-14 specifies that when the rated input voltage of a
lamp or ballast is a range, a nominal value should be selected for
lifetime testing and reported as a test condition. 80 FR 45732. NEMA
supported DOE's proposal regarding testing input voltage. (NEMA, No. 9
at p. 3) DOE received no other comments regarding input voltage. In
this final rule, DOE adopts a testing voltage requirement that if a
rated input voltage is a range that includes 120 V, the CFL must be
operated at 120 V. If the CFL with multiple rated input voltages is not
rated for 120 V, the CFL must be operated at the highest rated input
voltage.
d. Lamp Orientation
In the July 2015 NOPR, DOE proposed a clarification that lamp
orientation must be maintained throughout all testing, including
preparation (e.g., seasoning and preburning), storage, and handling
between tests. The intent of DOE's proposal was to minimize changes in
lamp operating characteristics between various stages of testing and
allow for more accurate and repeatable measurements. 80 FR 45732. NEMA
supported DOE's proposal of maintaining lamp orientation. (NEMA, No. 9
at p. 3) DOE received no other comments regarding lamp orientation.

[[Page 59391]]

In this final rule, DOE adopts a requirement that lamp orientation must
be maintained throughout all testing, including preparation (e.g.,
seasoning and preburning), storage, and handling between tests.
e. Lamp Seasoning
In the July 2015 NOPR, DOE proposed that the seasoning requirements
in IES LM-54-12 must be followed prior to the testing of all CFLs. DOE
also proposed two additional provisions related to lamp seasoning.
First, DOE proposed that unit operating time during seasoning may be
counted toward lumen maintenance at 1,000 hours, lumen maintenance at
40 percent of lifetime, and time to failure if the required operating
cycle and test conditions are satisfied as stated in the test method
for time to failure. This would reduce testing burden by minimizing the
overall testing time required for measuring time to failure and lumen
maintenance values. Second, DOE proposed to require that, if a lamp
breaks, becomes defective, fails to stabilize, exhibits abnormal
behavior such as swirling prior to the end of the seasoning period, or
stops producing light, the lamp must be replaced with a new unit. 80 FR
45732.
NEMA was supportive of the proposed seasoning requirements. (NEMA,
No. 9 at p. 3) DOE received several comments regarding its proposal
that a lamp that fails during seasoning should not be included in the
sample set to determine the represented value of metrics. DOE addresses
these comments in section III.H.6.
In this final rule, DOE adopts the clarifications regarding
seasoning as noted in this section. As previously stated in section
III.A.1, to provide consistency in test methodology, DOE also requires
in this final rule that lamps must be cycled during seasoning for all
measurements and specifies an operating cycle of 180 minutes on and 20
minutes off in accordance with section 6.4 of IES LM-65-14.
f. Lamp Stabilization
In the July 2015 NOPR, DOE proposed to disallow the ``peak'' method
provided in Annex B of IES LM-66-14, which can serve as a time saving
alternative to the stabilization method specified in section 6.2.1 of
IES LM-66-14. IES LM-66-14 states that the information in the Annex is
not intended to be a recommended procedure, but is presented as
reference information; it also notes that the stabilization method
specified in section 6.2.1 is preferred because considerable testing
and experience with a given lamp design may be required due to the
number of lamp designs and process variations that exist when
conducting the peak according to Annex B. Because of the variabilities
that could arise from testing using the peak method, DOE concluded that
the peak method could cause inconsistent and potentially inaccurate
results. 80 FR 45732.
NEMA supported DOE's proposal. (NEMA, No. 9 at p. 3) DOE received
no other comments regarding the ``peak'' method for stabilization. In
this final rule, DOE disallows the ``peak'' method provided for
reference in Annex B of IES LM-66-14.
g. Simulated Fixtures During Time to Failure Testing
In the July 2015 NOPR, DOE proposed not to allow the use of
simulated fixtures during time to failure testing of CFLs. This
proposal would remove potential variation in the testing of CFLs and
ensure that all CFLs are tested in a consistent manner. 80 FR 45732.
NEMA supported this proposal. (NEMA, No. 9 at p. 3) DOE received no
other comments regarding testing of lamps in fixtures. In this final
rule, DOE disallows the use of simulated fixtures during time to
failure testing of CFLs.
h. Ballasted Adapters
In the July 2015 NOPR, DOE proposed that CFLs packaged with or
designed exclusively for use with ballasted adapters must be tested as
non-integrated CFLs, without the inclusion of the ballasted adapter.
DOE proposed to define a ``ballasted adapter'' as a ballast that is not
permanently attached to a CFL, has no consumer-replaceable components,
and serves as an adapter by incorporating both a lamp socket and a lamp
base. 80 FR 45732.
NEMA agreed with the proposed term ``ballasted adapter.'' (NEMA,
No. 9 at p. 3) DOE received no other comments regarding the definition
for ``ballast adapter.'' In this final rule, DOE adopts the proposed
definition for the term ``ballasted adapter.''
DOE also received comments related to the inclusion of screw-base
ballasted adapters for non-integrated CFLs. NEMA, OSI, and Philips
stated that screw-base ballasted adapters for non-integrated CFLs
should not be part of the CFL test procedure, but rather addressed in
the fluorescent lamp ballast (FLB) rulemaking.\11\ (NEMA, No. 9 at p.
2; OSI, No. 5 at p. 2; Philips, No. 6 at p. 3) DOE notes that it is not
proposing a test procedure for ballasted adapters in this rulemaking,
only a test procedure for compact fluorescent lamps.
---------------------------------------------------------------------------

\11\ Information regarding the Fluorescent Lamps Ballast
Rulemaking can be found at https://www.regulations.gov/docket?D=EERE-2015-BT-STD-0006.
---------------------------------------------------------------------------

Philips disagreed with DOE's proposal that CFLs, packaged with or
designed exclusively for use with ballasted adapters, must be tested as
non-integrated CFLs, without the inclusion of the ballasted adapter.
Instead, Philips recommended that a ballasted adapter sold with a lamp
should be tested as a system and the system should be subject to the
same energy conservation standards as integrated lamps. (Philips, No. 6
at p. 3)
DOE requires that non-integrated CFLs be tested on reference
ballasts as specified in IES LM-66-14. This ensures consistent test
conditions for measuring the performance characteristics of non-
integrated CFLs that are externally ballasted. As noted in this
preamble, DOE defines ballasted adapter as a component that is not
permanently attached to the CFL, and therefore is similar to the
external ballasts used with non-integrated CFLs. DOE reviewed CFLs that
are compatible with ballasted adapters and determined that there was no
technical reason they could not be tested on a reference ballast.
Further, although the CFL may be packaged with a certain ballasted
adapter, a consumer could choose to replace it with a different
ballasted adapter or a manufacturer could pair the same lamp with
different ballasted adapters. Thus, use of a reference ballast allows
for a consistent and comparable assessment of the lamp's performance.
Therefore, DOE continues to require that CFLs packaged with or designed
exclusively for use with ballasted adapters be tested as non-integrated
CFLs.
i. Multi-Level CFLs and Dimmable CFLs
Footnote 2 to the energy conservation standards for MBCFLs codified
at 10 CFR 430.32(u) includes the statement that for multi-level or
dimmable systems, measurements shall be at the highest setting. In the
July 2015 NOPR, DOE proposed to remove the footnote in order to
consolidate testing requirements in the test procedure and add language
to the test procedure addressing dimmable CFLs in the general
instruction section of appendix W. The lumen output level and input
power can be adjusted for some CFLs (i.e., dimmable), and thus not
clarifying the input power for testing these lamps can introduce
testing variation. Therefore, to ensure consistent results, DOE
proposed that a dimmer not be used in the circuit and that all CFLs be
tested at the labeled wattage, which DOE defines as the highest wattage

[[Page 59392]]

marked on the lamp and/or lamp packaging (see section III.A.3.f for
further details on the labeled wattage). 80 FR 45732-4573.
NEMA and OSI agreed that testing should be conducted with no dimmer
in the circuit, but the CA IOUs proposed testing dimmable CFLs at
dimmed states in addition to full power. (NEMA, No. 9 at p. 4; OSI, No.
5 at p. 3; CA IOUs, No. 7 at p. 4) However, neither the current energy
conservation standards nor those proposed in the March 2016 NOPR
require measurements of performance of CFLs at dimmed levels.
Therefore, DOE is not establishing test procedures for CFLs to be
tested at such levels.
Both NEMA and OSI commented that CFL testing should be conducted at
labeled voltage (which is an independent variable), rather than at
labeled wattage (which is a dependent variable). (NEMA, No. 9 at pp. 3-
4; OSI, No. 5 at p. 3) DOE agrees that wattage is dependent on voltage
and understands that, during testing, the electrical characteristics of
the incoming power to the lamp would be adjusted to achieve a given
wattage. Because voltage and wattage are related quantities, DOE notes
that specifying either the voltage or wattage will achieve the same
result when testing a given lamp. DOE's specification that the lamp be
tested at the labeled wattage is intended to indicate that CFLs
specified for a range of wattages should be measured at the highest
wattage marked on the lamp. This is consistent with the existing test
specifications for CFL testing and DOE's proposed definition of
``labeled wattage,'' as discussed in section III.A.3.f.
In this final rule, DOE removes the text regarding multi-level or
dimmable systems from Sec. 430.32(u) and, instead, specifies in
appendix W that dimmable CFLs must be tested at their highest labeled
wattage. DOE believes specifying that a dimmer cannot be used in the
circuit is an unnecessary addition as DOE also specifies that dimmable
CFLs must be tested at their highest labeled wattage. DOE therefore
removes this direction in the final rule.
3. Clarifications to Definitions
a. Average Rated Life
In the July 2015 NOPR, DOE proposed to remove the term ``average
rated life'' and adopt the terms ``lifetime of a compact fluorescent
lamp'' and ``time to failure.'' The existing definition of ``average
rated life'' makes only general reference to the sample size for time
to failure testing. DOE believes the use of the word ``average'' in the
term ``average rated life'' may be confusing, and although defined in
appendix W, the term is not otherwise used in appendix W or in
specifications of existing MBCFL energy conservation standards.
Further, the term ``rated life'' is used as a descriptor in appendix W,
but is not defined. Therefore, DOE proposed to remove the term
``average rated life'' from appendix W and to add the definition
``lifetime of a compact fluorescent lamp'' at 10 CFR 430.2. 80 FR
45733. See section III.B.3 for more detail.
In the July 2015 NOPR, DOE also proposed to define ``time to
failure'' in appendix W to support the new definition of ``lifetime of
a compact fluorescent lamp'' specified in 10 CFR 430.2. ``Time to
failure'' in the context of CFLs is the time elapsed between first use
and the point at which the lamp fully extinguishes and no longer
creates light. 80 FR 45733.This definition aligns with the definition
of lamp failure in section 8.2 of ANSI/IES RP-16-14.\12\
---------------------------------------------------------------------------

\12\ Nomenclature and Definitions for Illuminating Engineering
(approved 2010).
---------------------------------------------------------------------------

The EEAs were supportive of DOE's proposed changes related to
lifetime, but recommended that the definition of ``time to failure'' be
the point at which the lumen output falls below 70 percent of initial
lumen output. The EEAs stated that 70 percent is a common threshold
within the lighting industry and addresses a situation where the CFL
starts, but does not provide sufficient light. (EEAs, No. 8 at p. 1)
DOE is only aware of 70 percent initial lumen output to
characterize lifetime of light-emitting diode (LED) lamps. This
determination is based on the understanding that the LED lamp has
reached the end of its useful life when it achieves a lumen maintenance
of 70 percent. In the June 3, 2014 supplemental notice of proposed
rulemaking (SNOPR), DOE concluded that there is no industry consensus
for how to characterize lifetime of LED lamps in terms of performance
metrics other than lumen maintenance. However, for other lighting
technologies, such as CFLs, industry standards define lamp lifetime as
the time at which 50 percent of tested samples stop producing light. 79
FR 32020, 32028. Therefore, in this final rule, DOE defines ``time to
failure'' as the time elapsed between first use and the point at which
the CFL ceases to produce measureable lumen output.
As noted in section III.A.1, DOE references IES LM-65-14 for
lifetime testing of CFLs. Section 3.0 of IES LM-65-14 specifies the
terms ``lamp failure,'' ``lamp life,'' and ``rated lamp life.''
However, DOE is specifically defining the terms, ``time to failure''
and ``lifetime of a compact fluorescent lamp'' (see section III.B.3) to
support its lifetime testing of CFLs and align with terminology used in
other DOE lamp test procedures. Although the definitions in section 3.0
of IES LM-65-14 are often analogous to DOE's adopted definitions for
time to failure and lifetime of a compact fluorescent lamp, to avoid
confusion regarding terminology when executing the lifetime test
procedure for CFLs, DOE proposed that section 3.0 of IES LM-65-14
should be disregarded and replaced with the DOE definitions used for
lifetime testing of CFLs. DOE did not receive any comments regarding
this proposal and adopts it in this final rule.
b. Initial Performance Values
DOE proposed in the July 2015 NOPR to (1) delete the term ``initial
performance values;'' (2) add a definition for the term ``initial lamp
efficacy;'' (3) add a definition for the term ``measured initial input
power;'' (4) delete the term ``rated luminous flux or rated lumen
output;'' and (5) add a definition for the term ``measured initial
lumen output.'' 80 FR 45733-45734. The new terms clarify the
measurement of CFL initial performance values, and eliminate the need
for the terms ``initial performance values'' and ``rated luminous flux
or rated lumen output.'' DOE did not receive any comments related to
deletion or addition of these terms. Therefore, in this final rule, DOE
removes the terms ``initial performance values'' and ``rated luminous
flux or rated lumen output,'' and adopts definitions for ``initial lamp
efficacy,'' ``measured initial input power,'' and ``measured initial
lumen output.''
c. Lumen Maintenance
In the July 2015NOPR, DOE proposed to amend the definition of
``lumen maintenance'' to clarify that calculated lumen maintenance
values are based on measured lumen output as the existing definition of
``lumen maintenance'' does not clearly distinguish between rated and
measured values. The DOE proposed to adopt the term ``lumen
maintenance'' in appendix W as the lumen output measured at a given
time in the life of the lamp and expressed as a percentage of the
measured initial lumen output. 80 FR 45734.
NEMA agreed with this clarification. (NEMA, No. 9 at p. 5) DOE did
not receive any other comments on the term ``lumen maintenance.'' In
this final rule, DOE adopts the term ``lumen maintenance'' and
definition as proposed in the July 2015 NOPR.

[[Page 59393]]

d. Rated Voltage
In appendix W, the term ``rated voltage'' is defined as meaning the
voltage marked on the lamp. As previously noted, in this final rule,
DOE requires measurement at the highest rated input voltage for lamps
rated at multiple input voltages not including 120 V (see section
III.A.2.c). In order to support this test condition, in this final
rule, DOE adds clarifying text to the definition of ``rated voltage.''
Specifically, in this final rule, DOE replaces the term ``rated
voltage'' with ``rated input voltage,'' defined as the voltage(s)
marked on the lamp as the intended operating voltage, or if not marked
on the lamp, 120 V.
e. Rated Supply Frequency
In the July 2015 NOPR, DOE proposed to remove from appendix W the
term ``rated supply frequency'' because appendix W does not use this
term. 80 FR 45734.
NEMA agreed with removing this term. (NEMA, No. 9 at p. 4) DOE did
not receive any other comments on removing ``rated supply frequency.''
In this final rule, DOE removes the term ``rated supply frequency''
from appendix W.
f. Rated Wattage
In the July 2015 NOPR, DOE proposed to change the term ``rated
wattage'' to ``labeled wattage'' and amend the definition to clarify
its applicability to multi-level (i.e., multi-power) and dimmable CFLs.
80 FR 45734. Currently, in appendix W ``rated wattage'' is defined as
the wattage marked on the lamp. The term is intended to denote the
wattage marked on the lamp that should be used to determine the
applicable minimum efficacy requirement for existing MBCFL energy
conservation standards as specified in 10 CFR 430.32(u). However, in
ANSI standards, the rated wattage is a targeted rather than actual
value and can sometimes differ from the value displayed on the lamp
packaging.
NEMA and OSI recommended DOE not remove the term ``rated wattage,''
which they stated is widely used and understood by the lighting
industry, and instead suggested adding the term ``ANSI rated wattage''
to differentiate the ANSI-based wattages. (NEMA, No. 9 at p. 5; OSI,
No. 5 at p. 4)
Although DOE understands that ``rated wattage'' is a commonly used
term in the lighting industry, DOE also notes that its meaning may
differ depending on the context in which it is used (i.e., referring to
wattages referenced in ANSI standards as opposed to the wattage listed
on the CFL). Using the term ``labeled wattage'' will avoid any
potential confusion when applying DOE's test procedures and align with
the definition of the term, which specifies it as the wattage marked on
the lamp. Therefore, in this final rule, DOE removes ``rated wattage''
and defines ``labeled wattage'' as the highest wattage marked on the
lamp and/or lamp packaging.
g. Self-Ballasted Compact Fluorescent Lamp
The term ``self-ballasted compact fluorescent lamp,'' as defined in
appendix W, means a CFL unit that incorporates, permanently enclosed,
all elements that are necessary for the starting and stable operation
of the lamp, and does not include any replaceable or interchangeable
parts. The terms self-ballasted CFL, integrally ballasted CFL, and
integrated CFL are used interchangeably in industry to identify a CFL
that contains all components necessary for the starting and stable
operation of the lamp, does not include any replaceable or
interchangeable parts, and is connected directly to a branch circuit
through an ANSI base and corresponding ANSI standard lamp-holder
(socket). Because DOE proposed to include test procedures for
additional categories of CFLs, including integrated and non-integrated
CFLs, in the July 2015 NOPR, DOE also proposed to define the mutually
exclusive terms ``integrated CFL'' and ``non-integrated CFL'' to
clearly differentiate the applicability of the relevant CFL test
procedures and energy conservation standards. Specifically, DOE
proposed to remove the definition of ``self-ballasted compact
fluorescent lamp'' and add a new definition for the term ``integrated
compact fluorescent lamp'' as an integrally ballasted CFL that contains
all components necessary for the starting and stable operation of the
lamp, does not include any replaceable or interchangeable parts, and is
connected directly to a branch circuit through an ANSI base and
corresponding ANSI standard lamp-holder (socket). DOE also proposed to
add a definition of ``non-integrated compact fluorescent lamp'' as ``a
compact fluorescent lamp that is not integrated.'' 80 FR 45734.
OSI and NEMA stated that the proposed definition for ``non-
integrated'' was unnecessarily broad and encompassed all CFLs that are
not integrated CFLs. OSI and NEMA instead suggested DOE incorporate the
following ANSI C78.901-2014 definition for non-integrated CFLs: a CFL
that has an ANSI pin base, does not incorporate a ballast, and appears
in ANSI C78.901-2014. (OSI, No. 5 at p. 5; NEMA, No. 9 at p. 5)
Additionally, during the public meeting held to discuss the July 2015
NOPR, OSI asked why the term ``integrated'' was chosen as opposed to
``self-ballasted.'' OSI also inquired about the use of the term ``pin
based'' in the context of ``non-integrated.'' (OSI, Public Meeting
Transcript, No. 4 at pp. 53-54) Philips responded that UL 1993 \13\
uses the term ``self-ballasted lamp'' and acknowledged that the IES
struggled with the terms when developing IES LM-65-14 and IES LM-66-14,
but ultimately both documents use the terms integrated and non-
integrated when appropriate. (Philips, Public Meeting Transcript, No. 4
at pp. 53-55)
---------------------------------------------------------------------------

\13\ UL. UL1993, ``Self-Ballasted Lamps and Lamp Adapters,''
https://ulstandards.ul.com/standard/?id=1993_4
---------------------------------------------------------------------------

The term ``integrated'' can be used across lamp technologies to
describe lamps that contain all the necessary components for operation,
and thereby provides consistency across DOE test procedures for lamps.
The term supports the March 2016 NOPR and the amended standards for
CFLKs, both of which apply to lamps that use ballasts as well as
drivers. Further, because this test procedure applies to all CFLs, it
is DOE's intent to set forth terminology that includes all CFL types.
Based on its review of products, DOE determined that a CFL is either
``integrated'' or ``non-integrated'' and intentionally defined the
terms to be mutually exclusive (i.e., a CFL can be either integrated or
non-integrated, but not both) and inclusive of all CFLs. Therefore, DOE
defines ``non-integrated compact fluorescent lamp'' to include any CFL
that does not meet the definition ``integrated compact fluorescent
lamp'' and does not limit this definition by base type or inclusion in
industry standard. Hence, in this final rule, DOE removes the
definition of ``self-ballasted compact fluorescent lamp'' and adds new
definitions for ``integrated compact fluorescent lamp'' and ``non-
integrated compact fluorescent lamp.''
4. Test Procedures for Existing and New Metrics
a. Test Procedures for Initial Lamp Efficacy, Lumen Maintenance, CCT,
CRI, and Power Factor
In the July 2015 NOPR, DOE proposed to continue to include test
procedures for measuring initial lamp efficacy and lumen maintenance
and add test procedures for measuring CCT, CRI, and power factor in
appendix W. DOE

[[Page 59394]]

proposed that the test procedures for initial lamp efficacy, lumen
maintenance at 1,000 hours, lumen maintenance at 40 percent of
lifetime, CCT, and CRI would apply to both integrated and non-
integrated lamps, although the test procedure for power factor would
only apply to integrated lamps. 80 FR 45735. The following sections
discuss these metrics and the related comments received.
Initial Lamp Efficacy and Lumen Maintenance
Although appendix W currently specifies a test procedure for
initial lamp efficacy and lumen maintenance, it does not explicitly
state how to measure and calculate initial lamp efficacy and lumen
maintenance values. In order to standardize the CFL test procedure and
the calculation of these values, DOE proposed that initial lamp
efficacy be determined as the measured initial lumen output divided by
the measured initial input power. DOE further proposed to reference IES
LM-66-14 for test conditions and setup to measure initial lamp
efficacy, lumen maintenance at 1,000 hours, and lumen maintenance at 40
percent of lifetime. 80 FR 45735. DOE did not receive any comments
regarding its proposals for initial lamp efficacy and therefore, in
this final rule, adopts them as described in the July 2015 NOPR.
Similarly, in the July 2015 NOPR, DOE proposed to calculate lumen
maintenance at 1,000 hours as measured lumen output at 1,000 hours
divided by the measured initial lumen output and to calculate lumen
maintenance at 40 percent of lifetime as the measured lumen output at
40 percent of lifetime of a compact fluorescent lamp divided by the
measured initial lumen output. 80 FR 45735.
DOE evaluated its existing energy conservation standards and
ongoing standards rulemakings for CFLs as well as FTC Lighting Facts
labeling and determined that a lumen maintenance at 1,000 hours metric
is not required for non-integrated CFLs. Therefore, in this final rule,
DOE is only adopting a test procedure for lumen maintenance at 1,000
hours for integrated CFLs.
GE and Philips commented during the public meeting for the July
2015 NOPR that logistical testing issues arise if the definition of
lifetime is changed to a measured quantity. GE and Philips postulated
that they could not measure lumen maintenance at 40 percent of measured
lifetime because the point at which lifetime is determined would be
later than the 40 percent of the lifetime measurement point. (GE,
Public Meeting Transcript, No, 4 at pp. 44-47; Philips, Public Meeting
Transcript, No. 4 at pp. 21-22) Both NEMA and OSI proposed measuring
lumen maintenance at 40 percent of a rated lifetime rather than the
lifetime measured as proposed by DOE. (NEMA, No 9 at pp. 4-5; OSI, No 5
at p. 4)
DOE acknowledges the logistical concerns about measuring lumen
maintenance at 40 percent of the lifetime of a CFL. In this final rule,
DOE is adopting that lumen maintenance at 40 percent of lifetime can be
an estimated value for initial certification of new basic models or
existing basic models when retesting is required until lifetime testing
is complete. As described in section 10 CFR 429.35(b), certification
reports must be submitted for CFLs and represented values of lifetime,
lumen maintenance at 40 percent of lifetime, life, and rapid cycle
stress test surviving units are estimated values until testing is
complete. Upon completion of lifetime testing, the next annual
certification report must include final values for these metrics based
on the actual represented value for lifetime. In this way, the time
required to test for lifetime, lumen maintenance at 40 percent of
lifetime, life, and rapid cycle stress will not delay the distribution
in commerce of a lamp. (See section III.G for further details on
certification reports.)
Although DOE is adopting test methods for lumen maintenance at 40
percent of lifetime for both integrated and non-integrated CFLs, DOE
notes that standards for lumen maintenance at 40 percent of lifetime
are only applicable for integrated CFLs, specifically MBCFLs. Lumen
maintenance at 40 percent of lifetime for non-integrated CFLs is only
required to the extent that manufacturers wish to make representations
regarding the lumen maintenance of their products or participate in the
voluntary ENERGY STAR program.
Correlated Color Temperature (CCT)
In the July 2015 NOPR, DOE proposed to establish a test procedure
for measuring CCT in appendix W. The term ``correlated color
temperature'' is defined in 10 CFR 430.2 as the absolute temperature of
a blackbody whose chromaticity most nearly resembles that of the light
source. DOE proposed adding the abbreviation ``CCT'' to this definition
as explained in section III.B.2. DOE further proposed that CCT be
measured and calculated in accordance with IES LM-66-14, which
references Commission Internationale de l'Eclariage (CIE) 15:2004 (3rd
edition), ``Colorimetry.'' 80 FR 45735. CIE 15:2004 was previously
incorporated by reference in a test procedure final rule published on
July 6, 2009 for general service fluorescent lamps, incandescent
reflector lamps (IRLs), and general service incandescent lamps (GSIL)
for appendix R (hereafter ``2009 GSFL, IRL, and GSIL Test Procedure'').
74 FR 31829, 31834.
Both the CA IOUs and the EEAs supported the proposed methodology to
measure CCT. (CA IOUs, No. 7. at pp. 3-4; EEAs, No. 8 at p. 4)
Likewise, NEMA had no issues with the proposed test procedure, but
noted that the proposed methodology would add measurements to the
existing requirements. (NEMA, No. 9 at p. 6) OSI added that the
additional measurements would have no regulatory benefit. (OSI, No. 5
at p. 5) Although DOE agrees with commenters that DOE has not set
standards or requirements regarding the CCT of CFLs, as noted
previously, this test procedure supports the FTC Lighting Facts
labeling requirements for lighting products, the ENERGY STAR Lamps
Specification V2.0 and the ENERGY STAR Luminaires Specification V2.0,
all of which require the CCT metric. Therefore, in this final rule, DOE
adopts the test procedure for CCT and incorporates CIE 15:2004 by
reference for appendix W as proposed in the July 2015 NOPR.
Color Rendering Index (CRI)
In the July 2015 NOPR, DOE proposed establishing a test procedure
for measuring CRI in appendix W. DOE proposed that CRI must be measured
and calculated in accordance with IES LM-66-14, which references CIE
13.3-1995, ``Method of Measuring and Specifying Colour Rendering
Properties of Light Sources.'' DOE also proposed to incorporate CIE
13.3-1995 by reference for appendix W. 80 FR 45735. CIE 13.3-1995 was
previously incorporated by reference for appendix R in the 2009 GSFL,
IRL, and GSIL Test Procedure.
The CA IOUs and EEAs supported the proposed test procedure for CRI.
(CA IOUs, No. 7 at pp. 3-4; EEAs, No. 8 at p. 4) NEMA and OSI expressed
the view that a CRI test method would have no regulatory benefit and
should not be included in the test method but agreed the proposed
methodology was appropriate for measuring CRI. (NEMA, No. 9 at p. 6;
OSI, No. 5 at p. 5) Philips commented that CRI should be excluded from
the test procedure, as the metric would not yield substantial energy
savings. (Philips, No. 6 at p. 3)
The EEAs proposed testing color under the new IES metric outlined
in IES TM-30-2015, IES Method for Evaluating Light Source Color
Rendition. (EEAs, No. 8 at p. 4) IES TM-

[[Page 59395]]

30-2015 is a new methodology for evaluating different color properties
than CRI.\14\ CRI is determined by comparing a specific set of eight
color samples and calculating the average term known as Ra.
In contrast, IES TM-30-2015 provides calculations and directions for
quantifying fidelity (Rf, which is the closeness to a
reference) and gamut (Rg, which is the increase or decrease
in chroma).
---------------------------------------------------------------------------

\14\ IES Method for Evaluating Light Source Color Rendition.
https://www.ies.org/store/product/ies-method-for-evaluating-light-source-color-rendition-3368.cfm.
---------------------------------------------------------------------------

DOE must specify test procedures in order to determine whether the
products comply with any relevant standards promulgated under EPCA. (42
U.S.C. 6295(s)) In the March 2016 NOPR, DOE proposed that MBCFLs have a
CRI of at least 80. 81 FR 14554. Additionally, ENERGY STAR Lamps
Specification V2.0 and Luminaire Specification V2.0 include a CRI
requirement. Therefore, in this final rule, DOE establishes a test
procedure for CRI and incorporates CIE 13.3-1995 by reference for
appendix W. As there are no existing standards for IES TM-30-2015 color
metrics for CFLs, nor were any proposed in the March 2016 NOPR, DOE is
not adopting test procedures to evaluate color metrics specified in IES
TM-30-2015 in this final rule.
In this final rule, DOE is adopting test methods for determining
CRI for both integrated and non-integrated CFLs. While DOE is only
adopting certification requirements for integrated CFLs when complying
with general service lamps standards, if adopted, DOE's test procedure
for CRI is applicable to all CFLs and must be used when making
representations. (As proposed in the March 2016 NOPR, 81 FR 14554) More
specifically, if a manufacturer of a non-integrated CFL decides to make
representations of CRI in its product literature, manufacturer
catalogues, labeling, or for voluntary energy-efficiency programs, the
manufacturer must use the DOE test procedure, including sampling plan.
Power Factor
In the July 2015 NOPR, DOE proposed a test procedure for measuring
power factor for integrated CFLs based on electrical measurements
conducted in accordance with section 5.0 of IES LM-66-14. DOE also
proposed to define power factor in appendix W as the measured root
square mean (RMS) input power (watts) divided by the product of the
measured RMS input voltage (volts) and the measured RMS input current
(amps). 80 FR 45735. DOE did not receive comments on the proposed
definition. In this final rule, DOE has modified the definition
slightly to align with the definition in ENERGY STAR. Therefore, DOE
adopts the following definition of power factor: power factor means the
measured input power (watts) divided by the product of the measured RMS
input voltage (volts) and the measured RMS input current (amps).
The CA IOUs and EEAs commented that they were supportive of the
requirement of testing power factor as well as the proposed approach.
(CA IOUs, No. 7 at pp. 4; EEAs, No. 8 at pp. 3-4) GE, Philips, NEMA,
and OSI commented that power factor should be excluded from the test
procedure, with Philips stating that the metric would not yield
substantial energy savings, and NEMA and OSI stating that it would have
no regulatory benefit. (GE, Public Meeting Transcript, No. 4 at pp.
140-142; OSI, No. 5 at p. 5; Philips, No. 6 at p. 3)
In the March 2016 NOPR, DOE proposed setting a minimum power factor
standard for MBCFLs. 81 FR 14528, 14554-14555 (March 17, 2016). DOE
notes that ENERGY STAR Lamps Specification V2.0 also includes a power
factor requirement. As power factor is required to demonstrate
compliance with the proposed GSL energy conservation standards and to
support the ENERGY STAR requirements, in this final rule, DOE is
establishing a test procedure for power factor.
GE, NEMA, OSI, and Philips commented that power factor is not
relevant to non-integrated CFLs because it is a metric specific to the
ballast. (GE, Public Meeting Transcript, No. 4 at pp. 140-142; NEMA,
No. 9 at p. 6; OSI, No. 5 at p. 5; Philips, No. 6 at p. 3) In response,
DOE clarifies that the power factor test procedure is only applicable
to integrated CFLs.
DOE also received a comment from the CA IOUs recommending that DOE
consider requiring the measurement and reporting of total harmonic
distortion of current (abbreviated as THD in the comment). (CA IOUs,
No. 5 at p. 4) In the March 2016 NOPR, DOE stated that THD is directly
related to power factor and a power factor requirement will effectively
establish a standard for THD. 81 FR 14555-14556. Therefore, DOE is not
adopting a test procedure for total harmonic distortion of current in
this final rule.
b. Test Procedures for Time to Failure
In the July 2015 NOPR, DOE proposed test procedures for measuring
time to failure in appendix W for integrated and non-integrated CFLs.
80 FR 45735. DOE determined that test conditions, setup, and
measurement of time to failure should be as specified in IES LM-65-14.
DOE also proposed that use of simulated fixtures during time to failure
testing of CFLs not be allowed. This proposed provision was to prevent
potential variation in testing of CFLs and to ensure that all CFLs are
tested in a consistent manner. 80 FR 45732. NEMA agreed with DOE's
proposal to disallow the use of simulated fixtures during time to
failure testing. (NEMA, No. 9 at p. 3)
OSI requested that DOE not include lifetime testing for pin base
CFLs in the test procedure, noting that initial lamp efficacy is
sufficient for reporting metrics of these lamp types. (OSI, No. 5 at p.
2) NEMA agreed with OSI that DOE should not include lifetime testing
for pin base CFLs. NEMA also stated that lifetime testing would depend
on the ballast operating the non-integrated CFL. (NEMA, No. 9 at pp. 2,
6)
DOE agrees with NEMA that the specific ballast used affects the
lifetime of non-integrated CFLs; however, the characteristics of the
lamp also affect this metric. Further, manufacturer catalogs specify
the lifetime of non-integrated CFL products and lifetime is also
required by ENERGY STAR Luminaires Specification V2.0. Therefore, DOE
finds that lifetime is an important characteristic of the performance
of the non-integrated CFL. Additionally, by using reference ballasts
when testing non-integrated CFLs, DOE is able to assess the performance
of the non-integrated CFL in a comparable and standardized way across
all non-integrated lamps. In this final rule, DOE adopts the proposed
test procedures for time to failure for integrated and non-integrated
CFLs to be used to determine lifetime.
c. Test Procedure for Rapid Cycle Stress Test
In the July 2015 NOPR, DOE proposed test procedures for conducting
rapid cycle stress testing for integrated and non-integrated CFLs. DOE
proposed that test conditions, setup, and rapid cycle stress testing be
as specified in IES LM-65-14, but retained the existing operating cycle
for rapid cycle stress testing (i.e., CFLs must be cycled continuously
with each cycle consisting of one 5-minute on period followed by one 5-
minute off period). 80 FR 45735. DOE did not propose any modifications
to the rapid cycle stress test itself, but did propose modifications to
rounding requirements (see section III.A.7), removal of test procedure
language from the energy conservation standard

[[Page 59396]]

requirements (see section III.F.4), and modifications to sample size
(see section III.H.2) for this test.
DOE received comments that rapid cycle stress testing should not be
applied to non-integrated CFLs. GE commented that rapid cycle stress
testing should not apply to non-integrated CFLs because it is dependent
on the ballast paired with the lamp. (GE, Public Meeting Transcript,
No. 4 at pp. 140-142) OSI added that rapid cycle stress testing was
designed to stress the ballast and not applicable to non-integrated
CFLs. (OSI, No. 5 at pp. 2, 5) NEMA supported the test procedure for
rapid cycle stress testing with the clarification that the test
procedure should not apply to non-integrated CFLs. (NEMA, No. 9 at p.
6) Philips also stated that non-integrated CFLs be excluded from rapid
cycle stress test and questioned the energy savings aspects related to
measuring rapid cycle stress test. (Philips, No. 6 at p. 3)
In light of the comments received from interested parties, DOE
evaluated its existing energy conservation standards and ongoing
standards rulemakings as well as FTC Lighting Facts labeling and ENERGY
STAR specifications and determined that rapid cycle stress testing of
non-integrated CFLs is not required by any of these regulatory and non-
regulatory programs. Therefore, DOE is not adopting a test procedure
for rapid cycle stress testing of non-integrated CFLs. DOE notes,
however, that the existing standards for MBCFLs, the proposed standards
in the March 2016 NOPR, and the ENERGY STAR Lamps Specification V2.0
all contain a requirement for rapid cycle stress testing for MBCFLs.
Therefore, DOE retains the test procedure for rapid cycle stress
testing for integrated CFLs.
d. Test Procedure for Start Time
In the July 2015 NOPR, DOE proposed a test procedure for measuring
start time for integrated CFLs. In support of the proposed start time
test method, DOE defined the terms ``start time,'' ``start plateau,''
and ``percent variability.'' DOE also proposed that the lamp be
seasoned, stored at a certain temperature, and tested according to a
certain operating procedure following the seasoning. 80 FR 45735-45736.
DOE received comments regarding the applicability of the start time
metric. NEMA, OSI, and Philips stated that start time is not related to
energy efficiency and should not be part of the test procedure. (NEMA,
No. 9 at pp. 6,8; OSI, No. 5 at p. 5; Philips, No. 6 at p. 3) NEMA and
OSI stated that DOE should abandon the effort to create a test
procedure for start time. (NEMA, No. 9 at p. 6; OSI, No. 5 at p. 5) GE,
NEMA, Philips, and OSI stated that start time is not applicable to non-
integrated CFLs. (GE, Public Meeting Transcript, No. 4 at pp. 140-142;
NEMA, No. 9 at p. 8; OSI, No. 5 at pp. 2,7; Philips, No. 6 at p. 3)
In the March 2016 NOPR, DOE proposed a requirement for start time
for MBCFLs that the lamp must remain continuously illuminated within
one second of application of electrical power. 81 FR 14528, 14555
(March 17, 2016). ENERGY STAR Lamps Specification V2.0 includes a
requirement for start time. DOE notes that because the ongoing GSL
rulemaking considered a start time metric for only integrated CFLs, the
July 2015 NOPR proposed measuring start time for only integrated CFLs.
80 FR 45736. In this final rule, DOE continues to specify that only
integrated lamps must be tested for start time.
DOE received several comments regarding the proposed definitions
and test procedures for start time. The CA IOUs agreed with the
proposed methods for start time outlined in the July 2015 NOPR. (CA
IOUs, No. 7 at pp. 3-4) The EEAs stated that they supported DOE's test
procedures for start plateau, percent variability, and start time as
long as they are fully consistent with the ENERGY STAR test procedure
for start time. (EEAs, No. 8 at p. 4)
If DOE were to require measuring and reporting start time, OSI
suggested using the ENERGY STAR procedure, which it stated is well
understood. (OSI, No. 5 at p. 5) NEMA noted that although the ENERGY
STAR test procedure for start time is well understood, it should not be
required for lamps that are not ENERGY STAR certified. (NEMA, No. 9 at
p. 6) Both Philips and Westinghouse commented that DOE's proposed start
time procedure seemed overly complicated, and requested that DOE
harmonize with or simply adopt the ENERGY STAR test procedure.
(Philips, Public Meeting Transcript, No. 4 at p. 65; Westinghouse,
Public Meeting Transcript, No. 4 at pp. 66-67)
When developing the start time test procedure, DOE reviewed the
August 2013 ``ENERGY STAR Program Requirements Product Specification
for Lamps Version 1.0: Start Time Test Method.'' \15\ ENERGY STAR
released ``ENERGY STAR Program Requirements for Lamps and Luminaires
Start Time Test Method'' \16\ in September 2015 (hereafter ``ENERGY
STAR Start Time Test Method''). For this final rule, DOE reviewed the
latest version of the ENERGY STAR Start Time Test Methods and
determined that the only differences between the two methods are the
applicable products and referenced documents.\17\
---------------------------------------------------------------------------

\15\ ENERGY STAR[supreg] Program Requirements Product
Specification for Lamps Version 1.0: Start Time Test Method. August
2013. www.energystar.gov/sites/default/files/specs//ENERGY%20STAR%20Lamps%20V1%200%20Final%20Test%20Methods%20and%20Recommended%20Practices.pdf.
\16\ ENERGY STAR[supreg] Program Requirements for Lamps and
Luminaires Start Time Test Method. September 2015. https://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Start%20Time%20Test%20Method_1.pdf.
\17\ The August 2013 ENERGY STAR Start Time Test Method applied
to integrated CFLs and solid-state lighting (SSL) lamps. In
contrast, the September 2015 ENERGY STAR Start Time Test Method
applies to all integrated and externally ballasted CFLs, and SSL
lamps, light engines, and luminaires. Both versions referenced IES
LM-66, ``IES Approved Method for Electrical and Photometric
Measurements of Single-Based Compact Fluorescent Lamps.'' However,
the August 2013 ENERGY STAR Start Time Test Method referenced the
2011 version of IES LM-66 and the latest version references the 2014
version of IES LM-66.
---------------------------------------------------------------------------

DOE determined that its proposed start time test method continues
to align with the ENERGY STAR Start Time Test Method, while providing
greater specificity in order to ensure consistency and reproducibility
in measurements. (DOE also notes section 11.4 of ENERGY STAR Lamps
Specification V2.0 references the DOE test procedure for compact
fluorescent lamps (once final) for measuring start time of fluorescent
lamps.) The following sections describe how the proposed definitions
and test procedures for start time harmonize with the ENERGY STAR Start
Time Test Methods as well as amendments to these proposals that provide
further simplification and clarity.
Definitions
In the July 2015 NOPR, DOE proposed definitions for the terms
``start plateau,'' ``percent variability,'' and ``start time.'' 80 FR
45754. DOE proposed to define the term ``start plateau'' as the first
100 millisecond period of operation during which the percent
variability does not exceed 5 percent and the average measured lumen
output is at least 10 percent of the measured initial lumen output. 80
FR 45736. This definition aligns with ENERGY STAR's definition of
``initial plateau'' as ``the point at which the average increase in the
light output over time levels out (reduces in slope). This can be
determined mathematically or visually based on the lamp output trace.''
Both definitions are intended to describe a time interval in which
the light output is relatively steady. ENERGY STAR does not specify the

[[Page 59397]]

method by which such a time interval should be quantitatively and
objectively determined. In order to ensure consistent and reproducible
measurements, DOE's proposed definition specifies the time period over
which lumen output should be steady as 100 milliseconds and described
the criteria for light output that must be met during this time period.
DOE selected 100 milliseconds to evenly capture either 5 or 6 full
cycles of the sampled waveform (for 50 or 60 Hz input voltage,
respectively). 80 FR 45736. Section 5.4 of IES LM-28-12 states that by
choosing the integrating time to be a multiple of the period of the
line frequency (16.67 milliseconds for 60 Hz), for example, 100
milliseconds (6 line cycles for 60 Hz and 5 line cycles for 50 Hz), the
effect of flicker for either line frequency can be removed. Id.
Regarding the criteria for determining stability of light output
during the first 100 milliseconds, DOE proposed that the percent
variability not exceed 5 percent and that the average measured lumen
output over the time interval should be at least 10 percent of the
measured initial lumen output. The first criterion is intended to
quantify when the light output can be deemed ``stable.'' DOE determined
that the criterion that the percent variability cannot exceed 5 percent
is sufficient to capture a 100 millisecond interval in which light
output is steady and subsequently determine an appropriate start time.
The second criterion is intended to capture the time at which light
output is first detected for a continuous period and ensure that light
is actually being created from the lamp (e.g., a stable output of zero
if the lamp fails to turn on is not acceptable).
In re-evaluating the latter criterion, DOE found that requiring a
specific threshold of light output is unnecessary for the start time
metric. According to the test procedures established in this final
rule, measured initial lumen output must be determined using the
integrating sphere method. Therefore, for comparison purposes, the
average lumen output in a 100 millisecond span that occurs during the
initial operation of the lamp must also be determined using the
integrating sphere method. However, DOE has determined that, due to the
precision of the measurement, the integrating sphere may require
reconfiguration and additional setup to measure the lumen output in the
initial milliseconds of lamp operation. DOE has determined that
including the latter criterion does not merit requiring a potentially
complex test setup. Removing this criterion would allow for start time
testing to be conducted using either an integrating sphere or non-
integrating sphere method such as a photodetector. Therefore, in this
final rule, DOE defines ``start plateau'' to mean ``the first 100
millisecond period of operation during which the percent variability
does not exceed 5 percent.''
To provide further clarity to the definition of ``start plateau,''
DOE proposed to define the term ``percent variability'' as the range
(calculated by subtracting the minimum from the maximum) expressed ``as
a percentage of the mean for the contiguous set of separate lumen
output measurements spanning the specified time period, where each
lumen output measurement is the average value of the sampled waveform
over an interval corresponding to one full cycle of sinusoidal input
voltage.'' 80 FR 45736.
Because DOE is no longer requiring lumen measurements to determine
start plateau, percent variability also does not have to be based on
lumen output. Therefore, DOE is replacing the specification of lumen
output measurements with light output values. Additionally, DOE is
providing a clearer description of calculating a time-average of
measured light output values. In summary, in this final rule, DOE is
specifying ``percent variability'' to be ``the result of dividing the
difference between the maximum and minimum values by the average value
for a contiguous set of separate time-averaged light output values
spanning the specified time period. For a waveform of measured light
output values, the time-averaged light output is computed over one full
cycle of sinusoidal input voltage, as a moving average where the
measurement interval is incremented by one sample for each successive
measurement value.''
In the July 2015 NOPR, DOE proposed to define the term ``start
time'' as the time, measured in milliseconds, between the application
of power to the CFL and the point when the measured full-cycle lumen
output (the average value of the sampled waveform over an interval
corresponding to one full cycle of sinusoidal input voltage) reaches 98
percent of the average measured lumen output of the start plateau. 80
FR 45754. ENERGY STAR defines start time as ``the time between the
application of power to the device and the point where light output
reaches 98% of the lamp's initial plateau.''
GE commented that from the consumer's perspective the simplest
definition for start time is the time between energizing the circuit
and the first light output. GE added that the specification of 97 or 96
percent of the plateau was not distinguishable. (GE, Public Meeting
Transcript, No. 4 at pp. 68-70)
ENERGY STAR Lamps Specification V2.0 describes start time as the
time for a lamp to remain continuously illuminated after applying
electrical power. DOE agrees that the start time metric is intended to
capture the time of detection of first continuous light output. Hence,
the 98 percent threshold is not necessary for representative
measurements of start time. Therefore, in this final rule, DOE removes
this element from the definition of start time. Additionally, DOE
provides a clearer description of the point at which start time should
be determined. In summary, DOE defines ``start time'' to mean ``the
time, measured in milliseconds, between the application of power to the
CFL and the beginning of the start plateau.''
Lamp Storage/Operating Cycle Post Seasoning
In the July 2015 NOPR, DOE proposed that, after seasoning, units
must be stored at 25 5 [deg]C ambient temperature for a
minimum of 16 hours prior to testing, after which the ambient
temperature must be 25 1 [deg]C for a minimum of 2 hours
prior to testing. DOE also determined that any units that have been off
for more than 24 hours must be operated for 3 hours and then be turned
off for 16 to 24 hours prior to testing. 80 FR 45736. ENERGY STAR Start
Time Test Method prescribes similar specifications with the time period
characterized as 20 4 hours.
During the public meeting for the July 2015 NOPR, OSI stated that
16 hours after the lamp is seasoned before testing was atypical for its
test laboratories and based on this schedule the time that testing
could begin would be outside the normal work schedule. OSI added that
the rationale for the 16 hours after seasoning was not well understood.
(OSI, Public Meeting Transcript, No. 4 at pp. 73-74) During the public
meeting, DOE noted that the proposed storage and operating cycle post
seasoning requirements were consistent with ENERGY STAR. (DOE, Public
Meeting Transcript, No. 4 at p. 75) OSI acknowledged the ENERGY STAR
specification of the 16 hour period, but, stated that ENERGY STAR
testing does not represent all of the testing that OSI conducts because
not all of their products are submitted to ENERGY STAR. OSI elaborated
they did not have a technical justification for or against the time
period, but that it could be a potential cost burden. (OSI, Public
Meeting Transcript, No. 4 at p. 74) Westinghouse Lighting
(Westinghouse) added that the scheduling and

[[Page 59398]]

subsequent cost issues described by OSI are even more pronounced for
them because they use an independent testing laboratory where not all
Westinghouse products may be tested at the same time. (Westinghouse,
Public Meeting Transcript, No. 4 at pp. 74-76)
The proposed operating cycle ensures that the lamp has been
seasoned and recently operated, but not so recently that elements in
the recent operation of the lamp could directly affect start time. DOE
does clarify in this final rule that the 3 hours that the unit must be
operated after being off for more than 24 hours is a minimum of 3
hours. This specification is mainly for clarification purposes; DOE
does not find that operating the lamp for a longer period would affect
the start time testing. Any units that have been off for more than 24
hours must be operated for a minimum of 3.0 hours and then be turned
off for 16 to 24 hours prior to testing. DOE notes that the range of 16
to 24 hours in the off state provides an 8 hour range during which
start time testing may begin, which should allow it to be conducted
during normal working hours. Therefore, DOE adopts the proposed
operating cycle and ambient temperature requirements described in this
final rule.
Testing Methodology
For test setup and conditions for measuring start time, DOE
proposed in the July 2015 NOPR to reference IES LM-66-14 and IES LM-54-
12. 80 FR 45735-45736. DOE proposed to adopt the measurement circuit
requirements as specified in section 5.2 of IES LM-66-14 and that lumen
output measurements be taken as specified in section 6.3.1 of IES LM-
66-14. DOE also proposed to adopt seasoning specifications as provided
in sections 4, 5, 6.1, 6.2.2.1of IES LM-54-12. 80 FR 45736. Further,
DOE proposed that a multichannel oscilloscope with data storage
capability be connected to record the input voltage to the CFL and its
lumen output. DOE specified that the oscilloscope must be set to
trigger at 10 V lamp input voltage, to have the vertical scale set at a
vertical resolution that is 1 percent of measured initial lumen output
or finer, and to be set to sample the lumen output waveform at a
minimum rate of 2 kHz. Id.
The proposed test setup and conditions generally align with those
specified by ENERGY STAR. Section 4(B) of the ENERGY STAR Start Time
Test Method references IES LM-66-14 and IES LM-54-12. Section 5.A(2) of
the ENERGY STAR Start Time Test Method requires a multichannel
oscilloscope with data storage capability and section 7.1(F) also
requires to set the trigger level at 10 V. DOE's proposal for a minimum
2 kHz sampling rate is also consistent with the ENERGY STAR requirement
for flicker testing,\18\ and DOE understands that this requirement
would also provide sufficient horizontal resolution for start time
testing. DOE did not receive any comments specific to the proposed test
setup and conditions for start time. In this final rule, DOE adopts the
test setup and conditions as proposed in the July 2015 NOPR.
---------------------------------------------------------------------------

\18\ ENERGY STAR[supreg] Program Requirements Product
Specification for Lamps Version 1.0--Light Source Flicker
Recommended Practice. August 2013. Washington, DC.
www.energystar.gov/sites/default/files/specs//ENERGY%20STAR%20
Lamps%20V1%200%20Final%20
Test%20Methods%20and%20Recommended%20Practices.pdf.
---------------------------------------------------------------------------

In the July 2015 NOPR, DOE also proposed that upon the trigger for
start time testing, the sampled lumen output waveform must be recorded
until the measured lumen output has reached the start plateau. 80 FR
45736. In addition, DOE proposed in the NOPR that the trace of full-
cycle lumen output must be calculated as a moving average, whereby
values are determined at least once every millisecond and each value
represents the full-cycle interval in which it is centered. Id. The
August 2013 ENERGY STAR Start Time Test Method provides an example of a
light output trace for compact fluorescent lamps. Aligning with ENERGY
STAR, DOE's proposed steps provide specifics on recording such a light
output trace and how time-averaged values from the light output trace
should be calculated. Specifically, in this final rule, DOE states
that, upon the trigger for start time testing, the sampled light output
must be recorded until the start plateau (as defined in this section)
has been determined. Additionally, in this final rule, to determine the
``percent variability'' of light output in accordance with the start
plateau definition, DOE requires calculation of a time-averaged light
output value at least once every millisecond where each value
represents the full-cycle interval in which it is centered. DOE further
specifies that, for a waveform of measured light output values, the
time-averaged light output is computed over one full cycle of
sinusoidal input voltage, as a moving average where the measurement
interval is incremented by one sample for each successive measurement
value.
Lamp Orientation
In the July 2015 NOPR, DOE proposed that all units be tested in the
base up position, but that if the position is restricted by the
manufacturer, units would be tested in the manufacturer specified
position. 80 FR 45755. Section 5(H) of the September 2015 ENERGY STAR
Start Time Test Method states the samples be tested in the
orientation(s) as specified by the ENERGY STAR specification or
manufacturer specified position if different. It should be noted that
ENERGY STAR Lamps Specification V2.0 does not state the testing
orientation in section 11.4, Start Time. However, for purposes of
consistency, DOE proposed that all units for start time be tested in
the base up position, but that if the position is restricted by the
manufacturer, units must be tested in the manufacturer specified
position. DOE did not receive any comments specific to lamp orientation
for start time; and in this final rule adopts the sample unit
orientation specification.
Hybrid Lamps
In the July 2015 NOPR, DOE proposed measuring only integrated CFLs
for start time, which would include hybrid lamps. 80 FR 45755. DOE also
proposed that hybrid CFLs must be tested with all supplemental light
sources turned off, if possible. 80 FR 45737.
The EEAs cautioned that having the supplemental light source off
during testing could yield inaccurate test results for start time
testing. (EEAs, No. 8 at p. 3) NEMA requested the start time test
procedure not apply to hybrid CFLs or to not require that the
supplementary light source not be operating. (NEMA, No. 9 at p .7) GE
also requested that hybrid CFLs be exempt from start time testing
because it could lead to inaccurate results because one of the primary
functions of hybrid CFLs is to allow for quicker start time through the
supplemental light source. (GE, Public Meeting Transcript, No. 4 at pp.
59-60)
DOE has determined that hybrid lamps should not be exempt from the
start time test procedure. The March 2016 NOPR proposes a start time
metric for medium base CFLs. If a hybrid CFL meets the definition of
medium base CFL, then the applicable standard applies to the hybrid
CFL. Similarly, ENERGY STAR Lamps Specification V2.0 does not specify
different start time requirements for hybrid CFLs. DOE determined that
requiring the supplemental light source be off, if possible, is the
most consistent manner in which the various combinations of primary and
supplementary light sources in hybrid CFLs can be tested. Therefore, in
this final rule, DOE retains the requirement that hybrid CFLs be tested
for start time with the

[[Page 59399]]

supplemental light source turned off, if possible.
5. Test Procedures for New CFL Categories
a. Test Procedures for Integrated CFLs
In the July 2015 NOPR, DOE proposed test procedures for integrated
CFLs without exclusion of any base type. NEMA, OSI, and Philips
requested that DOE exclude E12 \19\ and GU24-based integrated lamps
from the test procedure. All three entities stated that lamps with
these bases represented a small portion of the market. (NEMA, No. 9 at
pp. 2,8; OSI, No. 5 at p. 7; Philips, No. 6 at p. 3) NEMA and OSI
further stated that if a particular lamp has the same technical
specifications across lamps with medium, E12, and GU24 base types, then
DOE should only require testing on MBCFLs. NEMA and OSI argued that
base type does not have any effect on lamp performance. (NEMA, No. 9 at
pp. 2, 6; OSI, No. 5 at pp. 2, 5)
---------------------------------------------------------------------------

\19\ DOE defines a candelabra base incandescent lamp in 10 CFR
430.2 as a lamp that uses a candelabra screw base as described in
ANSI C81.61, Specifications for Electric Bases, common designations
E11 and E12 . The base is not specific to the light source,
therefore a candelabra base lamp can be either an E11 or E12 base.
---------------------------------------------------------------------------

Regarding the applicability of the test procedure to integrated
lamps with certain base types, DOE notes that the March 2016 NOPR
proposed standards for GU24 base integrated lamps. 81 FR 14551.
Further, CFLK standards with required compliance in 2019 are applicable
to CFLKs packaged with CFLs of all base types. As both of these
standards will be supported by this test procedure, DOE is obligated to
establish test procedures for CFLs of all base types for the applicable
metrics addressed in those rules. Therefore, in this final rule, DOE
does not exclude E12 and GU24-base lamps from the test procedures for
integrated CFLs.
Regarding lamps that have the same technical specifications,
manufacturers must submit represented values of required metrics for
each basic model before distribution in commerce. 10 CFR 429.12(a).
Represented values of measures of energy efficiency or energy
consumption must be the same for all individual models represented by a
given basic model. 10 CFR 429.11(a). However, DOE provides
manufacturers with the flexibility to group individual models into
basic models for the purposes of certification to DOE, provided that
all representations regarding the energy efficiency or energy
consumption of CFLs within that basic model are identical and based on
the most consumptive unit. See 76 FR 12422, 12423 (March 7, 2011).
Therefore, it may be possible to group lamps that have the same
technical specifications but different base types into the same basic
model. However, all representations within a basic model must have
essentially identical electrical, physical, and functional
characteristics that affect energy efficiency (see definition of basic
model per 10 CFR 430.2). Accordingly, CFLs that are in separate product
classes and thereby subject to separate standards (e.g., integrated and
non-integrated CFLs) cannot be grouped in the same basic model. Also,
DOE does not believe it is appropriate to group models of lamps that
have different testing methods as defined in Appendix W into the same
basic model as they will not have essentially identical electrical
characteristics.
b. Test Procedures for Non-Integrated CFLs
In the July 2015 NOPR, DOE proposed test procedures for non-
integrated CFLs. Specifically, DOE proposed adopting section 5.2 of IES
LM-66-14 for electrical and photometric testing of non-integrated CFLs,
which specifies procedures for determining initial lamp efficacy, lumen
maintenance at 40 percent of lifetime, CRI, and CCT. 80 FR 45737. To
ensure repeatable and consistent measurements, DOE proposed that non-
integrated CFLs must be tested using the appropriate reference ballasts
as provided in section 5.2 of IES LM-66-14, which specifies using
reference ballasts specifications listed in ANSI C78.901-2014,
``American National Standard for Electric Lamps--Single-Based
Fluorescent Lamps--Dimensional and Electrical Characteristics,''
(hereafter ``ANSI C78.901-2014''). Id.
NEMA and OSI agreed with referencing ANSI C78.901-2014 to identify
reference ballasts for non-integrated CFLs, but also stated that
industry only has experience using reference ballasts for photometry.
(NEMA, No. 9 at pp. 6-7; OSI, No. 5 at pp. 5-6) Reference ballast
characteristics provide the necessary functionality to operate a non-
integrated CFL and a standardized and consistent method of testing non-
integrated CFLs. DOE does not find any technical reason why reference
ballasts cannot be used for non-photometric measurements. Therefore, in
this final rule, DOE requires using reference ballast specifications in
ANSI C78.901-2014 to test non-integrated CFLs for all measurements.
In the July 2015 NOPR, DOE noted that certain non-integrated CFL
designs do not have reference ballast specifications listed in ANSI
C78.901-2014. For these lamp designs, DOE proposed reference ballast
specifications. In cases where there are no reference ballast
specifications for a lower wattage CFL, DOE proposed the reference
ballast specifications of the corresponding full wattage version, if
they existed. For all other cases, DOE developed reference ballast
specifications by matching the shape, diameter, and base of the CFL
without reference ballast specifications to the most similar CFL with
specifications that also had the closest wattage. 80 FR 45737. For any
non-integrated CFLs that do not have a reference ballast listed in ANSI
C78.901-2014 and for which DOE has not specified reference ballast
characteristics in appendix W, DOE also specified two principles that
must be employed to determine the appropriate reference ballast
specifications. For such a lamp, DOE specified that, manufacturers must
use the specifications in ANSI C78.901 2014 for the higher wattage lamp
for which it is a replacement; otherwise, use the specifications in
ANSI C78.901 2014 for a lamp with the most similar shape, diameter, and
base specifications, and next closest wattage. OSI agreed with DOE's
proposal to address lamps for which reference ballast characteristics
are not specified. (OSI, No. 5 at pp. 5-6) In this final rule, DOE is
also specifying the appropriate frequency along with the reference
ballast values of current, impedance, and voltage.
To specify a consistent set of testing procedures for non-
integrated CFLs, in the July 2015 NOPR, DOE proposed several
clarifications and specifications regarding the circuits on which the
lamps must be tested. 80 FR 45737. DOE proposed to test non-integrated
CFLs rated for operation on a choice of low frequency or high frequency
circuits at low frequency only. Id.
GE, NEMA, and OSI stated they were unaware of any dual-frequency
reference ballast specifications. (GE, Public Meeting Transcript, No. 4
at pp. 56-57; NEMA, No. 9 at pp. 6-7; OSI, No. 5 at p. 6) NEMA and OSI
suggested that DOE require testing at the manufacturer-specified
frequency. (NEMA, No. 9 at pp. 6-7; OSI, No. 5 at p. 6) GE stated that,
because these products are operating at high frequency in application,
testing them at low frequency reference conditions when high frequency
reference conditions are available would misrepresent their efficacy.
(GE, Public Meeting Transcript, No. 4 at pp. 56-57)
As noted previously, in order to establish a set of consistent

[[Page 59400]]

specifications and conditions and to follow industry standards for
testing non-integrated CFLs, in this final rule, DOE is requiring the
use of ANSI C78.901-2014 for reference ballast values per IES LM-66-14.
There are certain lamps for which ANSI C78.901-2014 provides details
for both low and high frequency operation. For example, a 36 W T5
single-based fluorescent lamp on datasheet 78901-ANSI-4019-1 provides
reference ballast characteristics for low frequency operation and also
information on high frequency ballast design. Manufacturers must use
the values designated as ``reference ballast characteristics'' when
testing lamps. If more than one set of values is designated as
``reference ballast characteristics,'' then manufacturers must use the
values designated for low frequency operation. DOE reviewed the
reference ballast specifications for non-integrated CFLs and found that
the majority are specified for low frequency operation. Therefore, in
this final rule, in order to maintain consistency and comparability
across testing, DOE continues to require operating on low frequency
where reference ballast characteristics for both low and high frequency
operation are provided.
DOE also proposed in the July 2015 NOPR that non-integrated CFLs
rated for multiple circuits including rapid start (i.e., rapid start
and either preheat start or instant start) be tested on rapid start
circuits when rapid circuits are an option to ensure consistent
measurements. 80 FR 45737.
NEMA and OSI disagreed with the requirement to use rapid start
circuits. Both NEMA and OSI stated that rapid start circuits have not
typically been used in testing of non-integrated CFLs and expressed
concerns regarding how the testing would relate to certification,
compliance, and enforcement. (NEMA, No. 9 at pp. 6-7; OSI, No. 5 at p.
6) GE indicated that a rapid start circuit would include cathode heat
while use of a programmed start circuit would exclude cathode heat. GE
explained that testing without cathode heat is the most representative
of the current applications. GE further added that including cathode
heat would decrease the apparent lamp efficacy, and not be reflective
of how the product is used. (GE, Public Meeting Transcript, No. 4 at
pp. 56-58)
In reviewing the reference circuits specified for lamps, DOE has
decided to modify its proposed specifications for reference circuits on
which non-integrated CFLs must be tested in this final rule. In the
July 2015 NOPR, DOE proposed to specify that a rapid start reference
circuit be used when a non-integrated CFL is rated for multiple
circuits in order to establish a consistent set of test specifications.
In preparation for this final rule, DOE reviewed the reference ballast
specifications for non-integrated CFLs and found that most lamps are
rated for preheat circuits. DOE found that if a lamp was rated for
multiple circuits, further specifications still may be needed to
indicate the circuit to use for testing. If a lamp is rated for
operation on both a preheat and high frequency circuit, the reference
ballast characteristics provided describe low frequency operation and
therefore the lamp must be tested on the low frequency preheat circuit.
If a lamp is rated for operation on both a preheat and rapid start
circuit, DOE is specifying in this final rule that the lamp be tested
on the preheat circuit in order to maintain consistency and
comparability across testing.
In this final rule, DOE is not adopting test procedures for lumen
maintenance at 1,000 hours or rapid cycle stress test for non-
integrated CFLs, as these metrics are not being evaluated for inclusion
in, nor are they currently required by, any DOE energy conservation
standards, FTC Lighting Facts labeling requirements, or ENERGY STAR
program requirements. Therefore, in this final rule, DOE adopts test
procedures for initial lamp efficacy, lumen maintenance at 40 percent
of estimated lifetime, lifetime, CRI, and CCT for non-integrated CFLs.
c. Test Procedures for Hybrid CFLs
In the July 2015 NOPR, DOE proposed establishing a test procedure
to measure the applicable metrics for hybrid CFLs in appendix W. That
is, DOE proposed that the same test procedures for integrated CFLs
would be applicable to hybrid CFLs, with a few minor clarifications
regarding the configuration and operation of hybrid CFLs during
testing. DOE considers hybrid CFLs to be CFLs with an additional light
source of a different technology that is not the primary source of
light. DOE proposed to define the term ``hybrid compact fluorescent
lamp'' in appendix W as a CFL that incorporates one or more
supplemental light sources of different technology. 80 FR 45737-45738.
NEMA and OSI proposed the definition of ``a compact fluorescent lamp
that incorporates one or more supplemental light sources of different
technology, such as halogen or LED, which are energized and operated
independently and may or may not operate simultaneously.'' (NEMA, No. 9
at p. 7; OSI, No. 5 at p. 6) OSI stated that there are different types
of hybrid lamps where either the main or the supplemental light source
operates or both the main and supplemental light sources operate. OSI
requested that both the definition and related test procedures address
these different possible configurations of hybrid lamps. (OSI, Public
Meeting Transcript, No. 4 at p. 59)
DOE reviewed the definition suggested by NEMA and OSI and notes
that there is significant overlap between DOE's proposed definition and
the alternate definition. Both definitions contain a reference to a CFL
as well as supplemental technologies. DOE finds that the example ``such
as halogen or LED'' is not necessary, as the DOE's proposed definition
specifies that the supplemental light sources would be of ``different
technology.'' Further providing such examples may be misinterpreted by
some users to limit the types of applicable supplementary sources. NEMA
and OSI's other suggestion of ``which are energized and operated
independently and may or may not operate simultaneously'' identifies
potential operating configurations of the supplementary light sources.
By not specifying any configurations for the operation of the
supplementary light source, DOE's proposed definition does not exclude
the configurations mentioned by NEMA and OSI or any others. DOE's
proposed definition is also consistent with industry definitions of
other hybrid technologies such as a hybrid LED luminaire as defined in
IES RP-16-10, which also does not identify the operating parameters of
the different light sources. For these reasons, DOE retains the
proposed definition from the July 2015 NOPR of the term ``hybrid
compact fluorescent lamp'' as meaning a CFL that incorporates one or
more supplemental light sources of different technology. DOE believes
that this is consistent with the definition suggested by interested
parties, but is more general and leaves less room for misinterpretation
of specific examples or operating parameters.
In the July 2015 NOPR, DOE proposed a test procedure for hybrid
CFLs where the supplemental light source is off (if possible) and the
lamp stabilized. Id. In response to the proposal, the EEAs encouraged
DOE to incorporate language defining a not-to-exceed time to
stabilization prior to taking measurements to prevent extended periods
of operation of secondary sources. (EEAs, No. 8 at p. 3)
DOE's test procedure for hybrid CFLs requires that the
supplementary source be turned off before initiating testing. In the
cases where supplementary source cannot be turned off, the lamp must
adhere to stabilization criteria as

[[Page 59401]]

specified in section 6.2.1 of IES LM-66-14. This stabilization criteria
involves a series of time-related measurements to determine stable
light output and electrical usage. Although the supplementary source
may have some effect on the stabilization time, it is more important
that the lamp achieve stabilization per an established criterion in
order to obtain accurate measurements. Further, the determination of a
stable light output will likely be predominantly influenced by the CFL,
which is the primary source of light. Therefore, in this final rule,
DOE is not adding a not-to-exceed time for stabilization for taking
measurements of hybrid CFLs.
NEMA was supportive of DOE's proposed test procedure for hybrid
lamps. However, NEMA requested that start time not apply to hybrid
CFLs. NEMA added that if start time testing was required for hybrid
CFLs, the supplementary light source should be turned on. NEMA agreed
with DOE's proposal to test hybrid CFLs as non-hybrid CFLs (that is
with only the CFL source active) for any measurements besides start
time. (NEMA, No. 9 at p. 7) The EEAs disagreed with DOE's proposal that
hybrid lamps be tested for efficacy with the supplemental light source
turned off. The EEAs argued that having the supplemental light source
off during testing could yield inaccurate test results for both start
time testing and energy efficiency. (EEAs, No. 8 at p. 3) DOE addressed
start time testing in section III.A.4.d. DOE disagrees with the EEAs
that testing hybrid CFLs with the supplemental light source off (when
possible) would yield inaccurate results for energy efficiency. Testing
the hybrid CFL with only the CFL light source operating (when possible)
would yield comparable efficacy measurements across basic models of
CFLs. Further, based on a review of available hybrid CFLs, DOE has
determined that many supplemental light sources turn off automatically
or will likely be turned off during normal operation (such as when the
supplemental light source is intended to be a night light). Thus, DOE's
test procedure is representative of lamp operation under normal
conditions.
In this final rule, DOE adopts a requirement that hybrid CFLs must
be tested with all supplemental light sources turned off, if possible,
and that the lamp be stabilized in the operating mode that corresponds
to its primary light source, according to test procedures for CFLs in
appendix W.
6. Test Procedure for Standby Mode Energy Consumption
In the July 2015 NOPR, DOE proposed a test procedure to measure
standby mode energy consumption for integrated CFLs, where applicable,
in appendix W. 80 FR 45738. EPCA directs DOE to amend its test
procedures for all covered products to incorporate a measure of standby
and off mode energy consumption in accordance with IEC 62301 and IEC
62087, if technically feasible. (42 U.S.C. 6295(gg)(2))
DOE research indicated that some integrated CFLs include controls,
and that these CFLs can operate in standby mode but not off mode. DOE
did not find any non-integrated CFLs capable of operation in standby
mode or off mode, and understands that any such circuitry would likely
be found in the ballast rather than the lamp. Therefore, in the July
2015 NOPR, DOE proposed that standby mode power be measured only for
integrated CFLs that are capable of standby mode operation. 80 FR
45738.
For integrated CFLs, DOE proposed that standby mode power be
measured in accordance with IEC 62301. DOE also proposed to approve IEC
62301, which is already incorporated by reference in 10 CFR 430.3, for
incorporation into appendix W. DOE proposed that, when measuring
standby power for integrated CFLs, the test conditions and setup must
be as prescribed in IEC 62301, except for ambient temperature and
ambient airflow. Instead, DOE proposed to prescribe the ambient
temperature and ambient airflow requirements in IES LM-66-14 to
minimize differences between test procedures for active mode and
standby mode. DOE proposed to season lamps in the same manner as test
procedures for the other applicable CFL metrics, as described in
section III.A.2.e, and to measure standby mode power as prescribed in
section 5 of IEC 62301. Finally, DOE proposed that standby mode be
initiated when the integrated CFL is connected to the power supply and
lumen output is set to zero via remote or other wireless/sensor
control. 80 FR 45738.
NEMA and OSI commented that, according to the definition proposed
in the July 2015 NOPR, CFLs operate in the off mode when switched off.
They also stated that off mode consumes no power nor produces any
function. (NEMA, No. 9 at p. 7; OSI, No. 5 at p. 6)
DOE determined that it is not possible for CFLs to meet the off
mode criteria because there is no condition in which a CFL is connected
to main power and is not already in a mode accounted for in either
active or standby mode. That is, DOE is not aware of any CFLs that,
when provided with power, are not operating in active mode (i.e.,
illuminated) or standby mode (i.e., facilitating the activation or
deactivation of active mode via remote switch, internal sensor, or
timer). In response to the specific example raised by NEMA and OSI, a
CFL that is switched off is not connected to a main power source
because the circuit is disrupted at the switch and thus power is not
being provided to the CFL. Therefore, in this final rule, DOE retains
the position that CFLs do not operate in off mode and has not
considered test procedures for such modes of operation.
NEMA, Philips, and OSI also requested that DOE explicitly exclude
CFLs that are not designed with standby operation from standby mode
power measurements. (NEMA, No. 9 at p. 7; OSI, No. 5 at p. 6; Philips,
No. 6 at p. 4) DOE agrees with NEMA, OSI, and Philips that only
integrated CFLs capable of operating in standby mode should be tested
for standby mode energy consumption. In the July 2015 NOPR, DOE
proposed regulatory language for measuring standby power in appendix W
that stated standby mode energy consumption should be measured only for
integrated CFLs that are capable of standby mode operation. 80 FR
45755. For further clarity, in the final rule DOE has moved this
instruction to the beginning of the regulatory text for the standby
mode test procedure in appendix W.
DOE received comments from CA IOUs to harmonize testing for standby
mode operation with the LED lamps test procedure.\20\ (CA IOUs, No. 7
at pp. 4-5) The CA IOUs wanted to ensure that lamps capable of
operation in network mode were tested in network mode. (CA IOUs, No. 7
at pp. 4-5) Specifically, CA IOUs requested that DOE define network
mode and suggested that if a product is designed to be connected to a
wireless network in order to fully operate, then the test procedure
should specify that the lamp is to be connected to the network before
testing begins. Connected lamps may require the use of an external
control system or hub to serve as a communication point between the
lamp and end user, and the CA IOUs asked DOE to specify a maximum
permissible distance the control system can be from the lamp during
testing. (CA IOUs, No. 7 at pp. 4-5) The EEAs were supportive of the

[[Page 59402]]

CA IOUs comments. (EEAs, No. 8 at pp. 5-6)
---------------------------------------------------------------------------

\20\ Information regarding the Light-Emitting Diode Lamps Test
Procedure Rulemaking can be found on regulations.gov, docket number
EERE-2011-BT-TP-0071 at www.regulations.gov/#!docketDetail;D=EERE-
2011-BT-TP-0071.
---------------------------------------------------------------------------

DOE agrees that the test procedure needs additional detail to
specify that lamps capable of operation in standby mode must remain
connected to the external wireless network through the entirety of the
test for standby mode energy consumption. If the lamp becomes
disconnected, the lamp may exit standby mode or otherwise have its
power draw affected, which would yield inaccurate test results.
Therefore, in this final rule DOE is adding detail to section 4 of
appendix W to specify that integrated CFLs capable of connecting to a
communication network must be connected to the network prior to testing
and must remain connected throughout the duration of the test. DOE did
not specify a maximum distance the integrated CFL can be from the
control system or hub during testing because DOE believes the
requirement for the integrated CFL to remain connected throughout the
entire duration of the test ensures that, if an integrated CFL is moved
to a distance such that it disconnects from the communication network,
the test results would be invalid.
CA IOUs also commented that connected lamps may experience cycles
or power fluctuations when lamps are communicating with the wireless
network, and requested the test procedure provide instructions to
account for this in an average power metric over a minimum 5-minute
test duration. (CA IOUs, No. 7 at pp. 4-5) The EEAs were supportive of
the CA IOUs comments. (EEAs, No. 8 at pp. 5-6)
DOE is requiring that standby mode measurements be taken as
specified in section 5 of IEC 62301. DOE notes that section 5 of IEC
62301 gives manufacturers the flexibility to choose the measurement
method that best applies to the nature of their products' power supply.
Further, each of the methods available for use in IEC 62301 specifies
that the product must have test durations of at least 10 minutes, which
is an adequate test duration to ensure wattage fluctuations have been
recorded. IEC 62301 also states that data collection at equal intervals
of 0.25 seconds or faster is recommended for loads that are unsteady or
where there are any regular or irregular power fluctuations. DOE finds
that the measurement instructions provided in section 5.0 of the IEC
62301 appropriately account for any potential power fluctuations, and
is not specifying additional instructions regarding measurement of
standby mode power.
In addition, DOE is clarifying in this final rule that standby mode
testing must be conducted prior to testing for time to failure. DOE is
also clarifying that ambient conditions, power supply, electrical
settings, and instrumentation must be the same as used for active mode
testing. These clarifications are intended to ensure that test
conditions will be as consistent as possible.
7. Rounding Values
In the July 2015 NOPR, DOE proposed amending certain rounding
requirements for existing metrics, as DOE found the existing rounding
requirements for individual units in a given test sample to be
inconsistent with the required standard level for some metrics. For
example, although final values for lumen maintenance at 1,000 hours and
lumen maintenance at 40 percent of lifetime must be rounded to whole
numbers, existing standards for lumen maintenance at 1,000 hours (90.0
percent) and lumen maintenance at 40 percent of lifetime (80.0 percent)
are specified to the tenth of a percent in 10 CFR 430.32(u). In the
July 2015 NOPR, DOE also proposed to move the rounding requirements
from appendix W to 10 CFR 429.35. 80 FR 45738.
DOE noted in the July 2015 NOPR that the rounding requirements for
lumen maintenance measurements are to the nearest tenth for integrated
CFLs, and proposed the same requirement for non-integrated CFLs. Id.
Both NEMA and OSI recommended that lumen maintenance be rounded to the
nearest whole number. (NEMA, No. 9 at p. 8; OSI, No. 5 at p. 7) NEMA
further stated that rounding lumen maintenance to the nearest tenth of
a percent is not practical or meaningful. (NEMA, No. 9 at p. 8) DOE
notes that the lumen maintenance value of the standard is to the tenth
of a percent and was established in the 2006 rule that adopted
standards for MBCFLs. 71 FR 71340, 71369 (Dec. 8, 2006). DOE
understands that at least 3 significant figures are required in both
the numerator (maintained lumens) and denominator (initial lumens) to
yield 3 significant figures for lumen maintenance values. DOE reviewed
product catalogs currently published by OSI and several other CFL
manufacturers and determined that lumen output values are often
reported to 3 or 4 significant figures. Therefore, DOE has concluded
that it is possible to determine lumen maintenance to the nearest tenth
of a percent. To align with existing standards, in this final rule, DOE
provides in 10 CFR 429.35 that lumen maintenance at 1,000 hours and
lumen maintenance at 40 percent of lifetime must be rounded to the
nearest tenth of a percent.
In the July 2015 NOPR, DOE proposed that lifetime of a CFL be
rounded to the nearest hour and that these requirements be located in
10 CFR 429.35. 80 FR 45738. Both NEMA and OSI argued that lifetime
should be rounded to two significant digits. (NEMA, No. 9 at p. 8; OSI,
No. 5 at p. 7) NEMA further stated that expressing lifetime to the
nearest hour is meaningless, as the uncertainty in an individual time-
to-failure measurement is much larger than 1 hour. (NEMA, No. 9)
However, rounding to the nearest whole hour is consistent with the unit
of time used for lifetime metrics for other lamp technologies, such as
LED,\21\ and is a level of accuracy a laboratory is capable of
measuring with a standard time-keeping device. In this final rule, DOE
adopts a rounding requirement to the nearest whole hour for lifetime.
DOE notes that manufacturers can make representations of lifetime to
the nearest two significant digits provided that the value is lower
than the actual measured lifetime when rounded to the nearest hour
(i.e., manufacturers are reporting a conservative value for lifetime).
---------------------------------------------------------------------------

\21\ See LED final rule test procedure. 81 FR 43404 (July 1,
2016).
---------------------------------------------------------------------------

DOE did not receive any comments on the proposal to round initial
lamp efficacy values to the nearest tenth of a lumen per watt, input
power to the nearest tenth of a watt, lumen output to three significant
digits, or rapid cycle stress values to whole numbers. Therefore, in
this final rule, DOE adopts these requirements.
Additionally, in the July 2015 NOPR, DOE proposed rounding
requirements for new proposed metrics of CRI, CCT, start time, standby
mode power, and power factor based on industry standard reporting
precision, as determined based on a review of manufacturer catalogs.
DOE also proposed locating those rounding requirements in 10 CFR
429.35. 80 FR 45738. DOE did not receive any comments related to this
proposal. Therefore, in this final rule, DOE adopts the rounding
requirements for these metrics as proposed in the July 2015 NOPR,
specifically: CRI be rounded to the nearest whole number; start time be
rounded to the nearest whole number in milliseconds; CCT be rounded to
the nearest 100 K; standby mode power rounded to the nearest tenth of a
watt; and power factor be rounded to the nearest hundredths place.

[[Page 59403]]

B. Amendments to Definitions at 10 CFR 430.2

1. Compact Fluorescent Lamp
In the July 2015 NOPR, DOE proposed to add a definition of
``compact fluorescent lamp'' in 10 CFR 430.2. 80 FR 45738-45739. DOE
reviewed its definitions for other lighting products and considered the
existing definition of the term ``fluorescent lamp'' at 10 CFR 430.2 as
a basis for its definition of ``compact fluorescent lamp.'' DOE also
consulted the current IES definition of ``compact fluorescent lamp''
contained in IES RP-16-10 and the description of compact fluorescent
lamps in IES LM-66-14, which includes elements of the lamp
characteristics and discusses elements of light output generation.
During the public meeting for the July 2015 NOPR, OSI inquired why DOE
did not adopt the IES RP-16-10 definition rather than developing a
novel definition for compact fluorescent lamp. (OSI, Public Meeting
Transcript, No. 4 at pp. 16-20) Lucidity Lights stated that IES labors
over the exact wording in definitions and also encouraged DOE to use
the exact wording in IES RP-16-10. (Lucidity Lights, Public Meeting
Transcript. No. 4 at p. 22) Both NEMA and OSI also recommended that DOE
use definitions from or reference IES RP-16-10. (NEMA, No. 9 at p. 5;
OSI, No. 5 at pp. 2-3) NEMA stated that the proposed definition for CFL
was technically correct, but raised concern that it expanded the scope
of the definition. (NEMA, No. 9 at p. 8)
DOE appreciates the work that members of the IES did in developing
the definitions in IES RP-16-10. DOE reviewed IES RP-16-10 and IES LM-
66-14 in developing this final rule. DOE considered: (1) Use of the
term fluorescent lamp; (2) tube diameter; (3) general features (i.e.,
amalgam, cold chamber); (4) lamp geometry; and (5) base specification
and lamp configuration in the definition. The following paragraphs
provide additional details on each of these elements.
The definition of CFL in section 6.5.6.1.4 of IES RP-16-10 includes
the phrase ``a fluorescent lamp with . . .'' DOE cannot use this
element in 10 CFR 430.2 to define a CFL because 10 CFR 430.2 already
defines the term fluorescent lamp, which establishes a fluorescent lamp
as a low pressure mercury electric-discharge source in which a
fluorescent coating transforms some of the ultraviolet energy generated
by the mercury discharge into light, and is limited to six specific
lamps, all of which are longer than 22 inches and are double ended. If
DOE adopted a definition of CFL that contained the term ``fluorescent
lamp,'' it would include these large lamp lengths and base
configurations that are not CFLs.
The definition of CFL in IES RP-16-10 also specifies that the
diameter of the lamp's tube must be less than or equal to that of a T5.
However, DOE's review of ANSI standards and manufacturer's lamp
marketing materials indicated that there are CFLs with tube diameters
greater than T5. Specifically, ANSI C78.901-2014 includes within their
list of data sheets a handful of ``square'' shaped CFLs that are listed
with a corresponding T6 tube diameter. DOE also found manufacturer data
sheets of lamps greater than T5 in diameter that were single-ended and
folded or bent fluorescent lamps and characterized as CFLs. Therefore,
DOE determined that diameter could be a limiting specification that may
exclude lamps that should be categorized as CFLs. Therefore, in this
final rule, DOE does not include specification of the tube diameter in
the definition of ``compact fluorescent lamp.''
The IES RP-16-10 definition also states that the lamp designs
generally include amalgam and a cold chamber, or a cold spot, to
control the mercury vapor pressure and light output. These features are
general and not distinctive for all CFLs. Therefore, in this final
rule, DOE does not include this description in the definition of
``compact fluorescent lamp.''
The IES RP-16-10 definition of ``compact fluorescent lamp''
specifies that tube construction must be glass and describes the
configuration of the glass tube as folded, bent, or bridged to create a
long discharge path. The IES LM-66-14 description of fluorescent lamps
notes that a fluorescent lamp can be made compact in two ways.
Fluorescent lamps with electrodes (typically long, tubular lamps) can
be made compact by folding the tube one or more times or spiraling it
in a helix in such a way that both electrodes are configured to have
one connection, leading to single base construction. IES LM-66 also
notes that induction-driven electrodeless fluorescent lamps are compact
because the discharge current is required to form a closed loop inside
the structure. Because fluorescent lamps with a compact size do not
necessarily include a glass tube with a specific geometry, DOE does not
add such a description to the definition of ``compact fluorescent
lamp.''
Both of the introductory sections of IES LM-65-14 and LM-66-14
discuss that there are two types of CFLs: Integrated and non-
integrated. Further, the titles of both IES LM-65-14 and LM-66-14
contain the phrase ``single-based.'' DOE agrees with these IES
documents in the importance of clarifying that CFLs are integrated or
non-integrated and single-based. Therefore, DOE retains those terms in
the definition of ``compact fluorescent lamp'' adopted in this final
rule. IES LM-66-14 also specifically excludes U-shaped and circline
fluorescent lamps from its CFL definition. DOE agrees with IES LM-66-14
that U-shaped and circline lamps are not CFLs. Therefore, to ensure
such lamps are not inadvertently misclassified, DOE also retains these
exclusions in the definition of ``compact fluorescent lamp'' adopted in
this final rule.
In summary, DOE has incorporated language from IES RP-16-10 and IES
LM-66-14 that helps clearly define CFLs without erroneously excluding
or including lamps. In this final rule, DOE defines a compact
fluorescent lamp (CFL) 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 lamps.
2. Correlated Color Temperature
In the July 2015 NOPR, DOE proposed modifying the definition of
``correlated color temperature'' in 10 CFR 430.2 by adding the
abbreviation ``CCT.'' DOE explained that a similar abbreviation exists
in 10 CFR 430.2 for the definition of color rendering index or CRI. The
abbreviation ``CCT'' is widely used in industry as well as by ENERGY
STAR and in 10 CFR part 430, subpart B, appendix R. 80 FR 45739.
Both NEMA and OSI submitted written comments in support of the
proposed change. (NEMA, No. 9 at p. 8; OSI, No. 5 at p. 7) OSI also
suggested that DOE harmonize the definition with IES RP-16-10. (OSI,
Public Meeting Transcript, No. 4 at pp. 16-19) Section 4.6.4.2 of IES
RP-16-10 defines ``correlated color temperature of a light source'' as
the absolute temperature whose chromaticity most nearly resembles that
of the light source. Other than the added abbreviation of ``or CCT''
and the phrase ``of a light source,'' DOE's definition (defined by
EPCA) is the same as IES RP-16-10. Therefore, in this final rule, DOE
adopts the abbreviation ``CCT'' into the term ``correlated color
temperature'' and makes no other changes to the definition.

[[Page 59404]]

3. Lifetime of a Compact Fluorescent Lamp
DOE proposed to define ``lifetime of a compact fluorescent lamp''
in 10 CFR 430.2 as the time to failure of 50 percent of the sample size
(as defined and calculated in 10 CFR 429.35(a)(1)) in accordance with
the test procedures described in section 3.3 of appendix W. 80 FR
45733.
NEMA and Philips raised concerns that replacing ``average rated
life'' with ``lifetime of a compact fluorescent lamp'' might result in
unintended consequences; specifically, lumen maintenance of a lamp
could not be determined until the lamp's lifetime is known. (NEMA, No.
9 at pp. 4-5; Philips, No. 6 at p. 4) DOE addresses lumen maintenance
measurements in section III.A.4.a.
NEMA proposed replacing ``average rated life'' with ``rated life,''
noting that the latter term appears in the CFR and is similar to the
term ``rated lamp life'' defined in ``Nomenclature and Definitions for
Illuminating Engineering'' from the IES (IES RP-16). NEMA stated the
determination of lifetime should be independent of a specific sample
size and allow for the use of more stable statistical estimators of the
population median value than failure of 50 percent of the sample.
Therefore, NEMA recommended that DOE define ``rated life'' as median
time to failure of the population of CFLs. For further support, NEMA
stated that EPCA defines ``life'' and ``lifetime'' as the length of
operating time of a statistically large group of lamps between first
use and failure of 50 percent of the group. NEMA also cited the IES
Lighting Handbook which states in section 13.3 that for incandescent,
fluorescent, and HID lamps, rated lamp life is the total operating time
at which, under normal operating conditions, 50% of any large group of
initially installed lamps is expected to have failed. This is a
statistically determined estimate of the median operational life. NEMA
stated that by adopting the definition in the IES Lighting Handbook,
DOE would indicate that the lifetime is the median value of a large
group of lamps and is statistically determined. NEMA also noted that
DOE should not restrict the sample size to a multiple of two if
statistical estimation of the population median value is accepted.
(NEMA, No. 9 at pp. 4-5, 10)
OSI also proposed the term ``rated life'' citing 10 CFR part 430
and IES RP-16-10. OSI agreed with NEMA that lifetime should be
determined independent of a specific sample size. OSI recommended a
definition similar to the one in the IES Lighting Handbook, defining
rated life as the total operating time at which, under normal operating
conditions, 50 percent of any large group of initially installed lamps
is expected to have failed, referencing the historic ENERGY STAR and
IES definition. (OSI, No. 5 at pp. 4-5)
In general, NEMA and OSI stated lifetime is poorly estimated by the
arithmetic mean of the time to failure of the two middle sample units
when sorted in order. (NEMA, No. 9, p. 10; OSI, No. 5 at p. 9) During
the public meeting for the July 2015 NOPR, both GE and Westinghouse
stated the middle value of a sample was a poor indicator of the median
and instead recommended using an entire population. (GE, Public Meeting
Transcript, No. 4 at pp. 14-15, 25-26; Westinghouse, Public Meeting
Transcript, No. 4 at pp. 15-16) GE added that the intent of the
statutory language was to indicate a median value for lifetime, that
DOE has the opportunity to clearly specify this and, further, that this
value should represent 50 percent failure of the population to align
with the industry standard for rated lifetime of lamps. (GE, Public
Meeting Transcript, No. 4 at pp. 25-26)
DOE understands that the IES Lighting Handbook and EPCA describe
``rated lamp life'' and ``lifetime''/``life'' to be based on a large
group of lamps rather than a specific number of lamps. Further, the IES
Lighting Handbook states that ``rated lamp life'' is when 50 percent of
any large group of lamps is expected to have failed and that it is a
statistically determined estimate of the median operational life.
However, DOE notes that it must prescribe test procedures that provide
consistent and reproducible results, and allow for comparison of
represented values across basic models. Therefore, rather than allow
any number of lamps to be used to determine the represented value of
lifetime, DOE must specify a minimum sample size.
Commenters did not suggest a specific minimum sample size, and as
proposed in the July 2015 NOPR, DOE is adopting a minimum sample size
of 10 for testing the initial lamp efficacy, lumen maintenance at 1,000
hours, lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI,
power factor, and standby mode power. DOE is requiring that the same
sample of 10 units be used for testing these metrics, and that a
minimum of three units from the same sample of units be tested for
start time. (Due to the nature of the test, a unique sample set is
required for rapid cycle stress testing.) Each of these metrics
contribute to the overall performance of a CFL, and because they are
fundamentally related, directly and/or indirectly impact each other.
Therefore, the same set of sample units and sample size should result
in more accurate measurements of all metrics, including lifetime.
Manufacturers may, at their discretion, use a larger sample size to
determine a representative value of lifetime if they believe it is
warranted. However, the same sample set and size must also be used for
testing initial lamp efficacy, lumen maintenance at 1,000 hours, lumen
maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power
factor, and standby mode power; the total number of units in the sample
set must be a multiple of two; and a minimum of three units from the
sample set must be used for start time. If the same sample of units is
not available for the testing of additional metrics for an existing
model, the basic model must be retested using the same sample set for
all metrics.
DOE notes that the statutory definition of lifetime does not
include any mention of a statistical method that can be used and DOE is
hesitant to allow for any statistical method to determine lifetime.
Commenters did not provide explicit suggestions regarding any
applicable statistical methods in their comments. In addition, neither
the IES Lighting Handbook nor any other industry standard provides a
specific statistical method that should be used to determine the
lifetime of compact fluorescent lamps. Further, DOE notes that the
median of a sample is a robust statistical descriptor of the central
tendency of the sample (and thereby the population) that deals well
with outlier values, which may be the case in lifetime testing of CFLs.
Although other statistical tools can be used to describe the variance
about the median or estimate adjusted median values if other attributes
about the population are known (e.g., the distribution is a Pareto
distribution or a weighted median if the precision of each data point
is known and is significantly variable), these more advanced
statistical tools are unnecessary, as they would not provide a better
description of the expected lifetime of the lamp, as defined by EPCA,
than the median value.
Therefore, DOE finalizes its proposal in the July 2015 NOPR, that
lifetime of a CFL be calculated as the operating time between first use
and failure of 50 percent of the sample units; the sample size must be
at least 10 units; and the represented value of lifetime must be the
median time to failure of the sample (calculated as the arithmetic mean
of the time to failure of the two middle sample

[[Page 59405]]

units when the numbers are sorted in value order). DOE believes that
this definition provides the appropriate specificity to produce
consistent and repeatable results while aligning with EPCA's definition
of ``lifetime'' and ``life'' as the ``length of operating time of a
statistically large group of lamps between first use and failure of 50
percent of the group.'' In order to provide a clear and consistent test
procedure, DOE specifies ``group'' as a minimum sample size of 10 units
for CFLs, but reiterates that manufacturers are not prevented from
testing significantly more than 10 CFLs provided the total number
tested is a multiple of two.

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

In the July 2015 NOPR, DOE proposed to incorporate by reference
ANSI C78.901-2014, IES LM-54-12, IES LM-65-14, and IES LM-78-07
industry standards and to extend the incorporation by reference of CIE
13.3-1995, CIE 15:2004, IES LM-66-14, and IEC 62301 into DOE's test
procedure for CFLs in appendix W.
As noted in section III.A.1, DOE proposed in the July 2015 NOPR to
incorporate by reference IES LM-54-12, IES LM-65-14, and IES LM-66-14
for appendix W for seasoning, time to failure measurements, and
electrical and photometric measurements respectively. 80 FR 45727. In
response to this proposal, both NEMA and OSI agreed with the
incorporation of IES LM-54-12, IES LM-65-14, and IES LM-66-14. (NEMA,
No. 9 at pp. 3, 8; OSI, No. 5 at pp. 2-3) The CA IOUs noted that the
IES LM-54-12 removes the requirement of cycling during seasoning for
metrics other than lifetime and did not agree with DOE's proposal to,
accordingly, also remove the cycling requirements in its test
procedure. (CA IOUs, No. 7 at p. 3) DOE is requiring cycling for all
metrics, see section III.A.1 for further details. In this final rule,
DOE incorporates by reference these test methods into 10 CFR 430.3 for
appendix W or extends the incorporation by reference of these test
procedures to appendix W.
As noted in section III.A.2.a, DOE also proposed in the July 2015
NOPR to incorporate by reference IESNA LM-78-07 for appendix W for
measurements using an integrating sphere photometer. 80 FR 45731. DOE
did not receive any comments related to incorporating IESNA LM-78-07.
Therefore, in this final rule, DOE incorporates by reference this test
method into 10 CFR 430.3 for appendix W.
As noted in section III.A.4.a, in the July 2015 NOPR DOE proposed
incorporating CIE 13.3-1995 and CIE 15:2004 (3rd edition) for appendix
W for measuring and calculating CRI and CCT respectively. 80 FR 45739.
The CA IOUs were supportive of incorporating by reference both CIE
13.3-1995 and CIE 15:2004 (3rd edition). (CA IOUs, No. 7 at pp. 3-4)
Therefore in this final rule, DOE extends the incorporation by
reference of these test procedures to appendix W.
As noted in section III.A.5.b, in the July 2015 NOPR DOE proposed
incorporating by reference ANSI C78.901-2014 for appendix W to include
reference ballast specifications for non-integrated CFLs. 80 FR 45739.
NEMA supported incorporating by reference ANSI C78.901-2014. (NEMA, No.
9 at pp. 6-7) Therefore in this final rule, DOE incorporates by
reference this industry standard into 10 CFR 430.3 for appendix W.
As noted in section III.A.6, in the July 2015 NOPR, DOE proposed
incorporating by reference IEC 62301 for appendix W for measuring
standby mode energy consumption. 80 FR 45739. DOE did not receive any
comments related to this proposal. DOE notes that 10 CFR 430.3
presently has two different versions of IEC 62301 incorporated. DOE is
extending the incorporation by reference of the edition 2.0, 2011-01
version of IEC 62301 to appendix W.

D. Amendments to 10 CFR 430.23(y)

In the July 2015 NOPR, DOE proposed to revise and add text at 10
CFR 430.23(y) to reflect other proposed changes to the scope and
applicability of DOE's CFL test procedures. 80 FR 45739. Specifically,
the existing text at 10 CFR 430.23(y) indicates that, for MBCFLs, the
initial lamp efficacy, lumen maintenance at 1,000 hours, lumen
maintenance at 40-percent of rated life, and lamp life must be
measured, and the rapid cycle stress test conducted, in accordance with
section 4 of appendix W of this subpart. DOE proposed to delete the
text ``medium base'' to reflect the inclusion of additional CFL
categories. Id. In addition, in the July 2015 NOPR, DOE also proposed
to specify in 10 CFR 430.23(y) the relevant sections of appendix W to
be used to measure the following metrics: Initial lamp efficacy, lumen
maintenance at 1,000 hours, lumen maintenance at 40 percent of
lifetime, CRI, CCT, power factor, time to failure, rapid cycle stress
test, start time, and standby mode energy consumption. 80 FR 45739-
45740.
Both NEMA and OSI submitted comments requesting that DOE retain the
term ``medium base'' in the title of the term because they did not
think non-integrated CFLs should be part of the test procedures. (NEMA,
No. 9 at p. 7; OSI, No. 5 at p. 6) DOE did not receive any other
comments related to this proposed modification. As DOE has stated
previously, the test procedures that are the subject of this final rule
address integrated and non-integrated CFLs in support of existing and
potential standards, as well as requirements of FTC's Lighting Facts
Label and ENERGY STAR Program Requirements for Lamps and Luminaires
(see section II for further details). Therefore, in this final rule,
DOE is removing the reference to ``medium base'' and specifying all
applicable metrics for CFLs.

E. Amendments to Laboratory Accreditation Requirements at 10 CFR 430.25

In the July 2015 NOPR, DOE proposed to amend 10 CFR 430.25 to
extend the laboratory accreditation requirements for MBCFL testing to
additional CFL categories and metrics covered under the proposed new
and amended test procedures. 80 FR 45740. Specifically, DOE proposed to
replace the text ``medium base compact fluorescent lamps'' with the
text ``compact fluorescent lamps'' and specify that if a manufacturer's
or importer's laboratory is accredited, it may conduct the applicable
testing. Id.
NEMA and OSI raised concerns that expanding testing in an
accredited lab from MBCFLs to all CFLs would increase the testing
burden, adding that non-integrated CFLs typically are not tested in
accredited laboratories. Additionally, NEMA and OSI asked that this
potential requirement be addressed in both the manufacturing impact
analysis, as well as testing burden analyzed in the regulatory
flexibility analysis. (NEMA, No. 9 at p. 9; OSI, No. 5 at p. 7)
Testing in accredited laboratories helps ensure that measurements
are consistent and reproducible. Therefore, in this final rule, DOE
removes the phrase ``medium base'' and specifies that if a
manufacturer's or importer's laboratory is accredited, it may conduct
the applicable testing in 10 CFR 430.25. See section IV.B for a
discussion of test burden.

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

MBCFL energy conservation standards are codified in a table at 10
CFR 430.32(u). Certain language in the

[[Page 59406]]

MBCFL energy conservation standards table provides clarification
relevant to test procedures (e.g., sampling, test methods, and test
calculations). Although this clarifying language is not in conflict
with the specifications in the test procedures for MBCFLs contained in
appendix W and in 10 CFR 429.35, for simplicity DOE proposed to modify
the text in the MBCFL energy conservation standards table to remove
specific test procedure language and instead reference the relevant
parts of the MBCFL test procedures. In addition, in the introductory
paragraph of 10 CFR 430.32(u), DOE proposed to replace the text ``bare
lamp and covered lamp'' with the text ``bare or covered.'' DOE
considered these revisions to be clarifications that do not modify the
energy conservation standards. 80 FR 45740-45741.
NEMA and OSI in general agreed with separating the test procedure
specifications from section (u) with certain exceptions discussed in
the next sections. (NEMA, No. 9 at p. 9; OSI, No. 5 at p. 8) In this
final rule, DOE retains the change to the first sentence in 10 CFR
430.32(u) to read as ``A bare or covered (no reflector) medium base
compact fluorescent lamp manufactured on or after January 1, 2006 . .
.'' Revisions to specific metrics in the table at 10 CFR 430.32(u) and
related comments received are described in the subsequent sections.
1. Initial Lamp Efficacy
In the July 2015 NOPR, DOE proposed amending the first column of
the table in 10 CFR 430.32(u) by replacing the seven instances of the
text ``lamp power'' with the text ``labeled wattage.'' 80 FR 45740. DOE
proposed to use labeled wattage as that is the term DOE is using to
define the wattage marked on the lamp that should be used to determine
the applicable minimum efficacy requirement (see section III.A.3.f).
DOE also proposed deleting the current text in footnote 1. Id.
NEMA and OSI recommended using the term ``rated wattage'' rather
than ``labeled wattage.'' (NEMA, No. 9 at p. 9; OSI, No. 5 at pp. 8-9)
As discussed in section III.A.3.f, DOE disagrees with NEMA and OSI
about using the term ``rated wattage'' because DOE believes it may
cause confusion or be easily misinterpreted. Instead, DOE retains in
this final rule the term ``labeled wattage.''
In the July CFL TP NOPR, DOE also proposed to remove the text from
footnote 2 indicating that for multi-level or dimmable systems,
measurements shall be at the highest setting, and acceptable
measurement error is 3 percent. NEMA and OSI suggested
keeping the 3 percent measurement error for efficacy and extend it to
all other parameters. (NEMA, No. 9 at p. 9; OSI, No. 5 at pp. 8-9) DOE
has determined that a 3 percent tolerance is not necessary. DOE
addresses measurement error in sample size, confidence limit, and de-
rating values as provided in 10 CFR 429.35. Because this allowance for
determining compliance with existing standards already exists in 10 CFR
430.32(u), the 3 percent tolerance for efficacy has been maintained but
moved to 10 CFR 429.35.
2. Lumen Maintenance at 1,000 Hours
In the July 2015 NOPR, DOE proposed amending the text for 1,000-
hour lumen maintenance in the second column of the table in 10 CFR
430.32(u), which indicates that the average of at least 5 lamps must
have a minimum 90.0 percent of initial (100-hour) lumen output at 1,000
hours of rated life. DOE proposed to delete this text and only state
the standard as >=90.0 percent. DOE also provided specific other
changes to the table to correspond with terminology in the amended test
procedure. 80 FR 45740. DOE did not receive any comments regarding
these specific changes. Therefore, in this final rule, DOE modifies 10
CFR 430.32(u) to remove test procedure text and to align the
terminology with the amended test procedure.
3. Lumen Maintenance at 40 Percent of Lifetime
In the July 2015 NOPR, DOE proposed amending the text for lumen
maintenance in the second column of the table in 10 CFR 430.32(u),
which indicates 80.0 percent of initial (100-hour) rating at 40 percent
of rated life (per ANSI C78.5 Clause 4.10). 80 FR 45740-45741. DOE
proposed to delete this text and state only the standard as >=80.0
percent and other modifications to the table to read lumen maintenance
at 40 percent of lifetime. Id. DOE did not receive any comments
regarding these specific changes. Therefore, in this final rule, DOE
modifies 10 CFR 430.32(u) to remove test procedure text and to align
the terminology with the amended test procedure. In addition, for
clarity DOE includes a footnote on the term ``lifetime'' that states
``Lifetime refers to lifetime of a compact fluorescent lamp as defined
in 10 CFR 430.2.''
4. Rapid Cycle Stress Test
In the July 2015 NOPR, DOE proposed amending the text in the second
column of the table for rapid cycle stress test in 10 CFR 430.32(u). 80
FR 45741. DOE proposed to delete the first two sentences of this text
and to state that each lamp must be cycled once for every 2 hours of
lifetime and at least 5 lamps must meet or exceed the minimum number of
cycles. Id.
NEMA and OSI responded that the row in the table that codifies
MBCFL energy conservation standards at 10 CFR 430.32(u) specifically
retains the term ``rated lifetime.'' (NEMA, No. 9 at p. 9; OSI, No. 5
at p. 8) In this final rule, DOE defines the term ``lifetime of a
compact fluorescent lamp'' to be used in the new and amended test
procedures (see section III.A.3.a for further details). Therefore, to
align with the test procedures, DOE amends table 10 CFR 430.32(u) in
this final rule to state that each lamp must be cycled once for every 2
hours of lifetime and at least 5 lamps must meet or exceed the minimum
number of cycles. In addition, for clarity DOE includes a footnote on
the term ``lifetime'' that states ``Lifetime refers to lifetime of a
compact fluorescent lamp as defined in 10 CFR 430.2.''
5. Lifetime
In the July 2015 NOPR, DOE proposed amending 10 CFR 430.32(u) by
deleting the term ``average rated lamp life'' and replacing it with the
term ``lifetime.'' 80 FR 45741. DOE also proposed to amend the text in
the second column pertaining to lifetime to only state the standard as
>=6,000 hours and that DOE will no longer allow the use of statistical
methods at 80 percent of rated life to determine the represented value
of lifetime. Id. NEMA and OSI stated that the row should retain the
text ``>=6,000 hours as declared by the manufacturer on packaging.''
(NEMA, No. 9 at p. 9; OSI, No. 5 at p. 8) In this final rule, DOE
defines the term ``lifetime of a compact fluorescent lamp'' and
provides test procedures for the measurement and reporting of this
value. To avoid potential confusion regarding how lifetime should be
measured, DOE removes the language ``as declared by the manufacturer on
packaging'' in this final rule. In addition, for clarity DOE includes a
footnote on the term ``lifetime'' that states ``Lifetime refers to
lifetime of a compact fluorescent lamp as defined in 10 CFR 430.2.''

G. Amendments to Certification Report Requirements

In the July 2015 NOPR, DOE recognized that testing of CFL lifetime
and lumen maintenance at 40 percent of lifetime require considerably
more time than testing of other required CFL metrics. DOE proposed to
allow new basic models of CFLs to be distributed prior to completion of
the full testing for

[[Page 59407]]

lifetime and lumen maintenance at 40 percent of lifetime, as well as
prior to completion for the rapid cycle stress test because it is also
dependent on lifetime. DOE's proposal was similar to other lighting
technologies in that prior to distribution of the new basic model of
CFL, manufacturers may submit an initial certification report based on
estimated values of lifetime, 40 percent lumen maintenance, and rapid
cycle stress test if the testing for lifetime is not complete. In such
a case, the certification report would be required to specifically
describe a prediction method that would be generally representative of
the methods specified in appendix W. Manufacturers would be required to
maintain relevant records, in accordance with 10 CFR 429.71, of the
development of all estimated values and any associated initial test
data. DOE also proposed amendments to the certification report to
address the new and additional metrics that are being adopted in this
final rule and are required for compliance with DOE's energy
conservation standards. 80 FR 45741.
Philips commented that there currently are no restrictions with
respect to the prediction models that may be used, so selection of the
prediction model should be at the discretion of the manufacturer, and
should only be disclosed to defend it to the DOE if challenged.
(Philips, No. 6 at p. 4) NEMA and OSI similarly objected to the
proposed requirements that manufacturers must disclose the prediction
method and that it must represent one of the methods in appendix W.
(NEMA, No. 9 at p. 9; OSI, No. 5 at p. 8; Philips p. 4)
The EEAs opposed DOE's proposal to allow manufacturers to estimate
values for lifetime and rapid cycle stress prior to the completion of
testing for time to failure, and particularly opposed the proposal that
manufacturers be permitted to develop their own prediction methods for
these estimates. (EEAs, No. 8 at p. 5) The EEAs stated that, by the
time DOE received a full certification report showing that a given
model did not meet the standard, manufacturers may be retiring the
model and it will have been in commerce for a significant portion of
its intended market life. The EEAs also suggested it may be
theoretically possible to extrapolate lumen depreciation provided a
common approach based on industry standard methods is used. (EEAs, No.
8 at p. 5)
Based on a review of the market, DOE found that most CFLs have a
lifetime of 10,000 hours or longer and therefore, it may take more than
a year to complete the necessary lifetime measurements. Therefore, to
accommodate such long testing time, DOE believes that the use of
estimated values for lifetime, lumen maintenance at 40 percent of
lifetime, and rapid cycle stress testing are required. In response to
the concerns of CA IOUs and the EEAs regarding the accuracy of such
methods, DOE notes that DOE is not aware of any industry-wide accepted
method for extrapolation of lumen depreciation for CFLs. Therefore, DOE
is not requiring a specific prediction method for estimated values.
However, DOE is requiring manufacturers to specify the method of
prediction and that this method must be generally representative of
DOE's test procedures for CFLs in appendix W. In addition, DOE is
adding a requirement to the certification report that manufacturers
must state whether values of lifetime, lumen maintenance at 40 percent
of lifetime, and rapid cycle stress testing are based on estimated or
measured values. DOE believes that, as noted by CA IOUs and EEAs, such
information regarding the prediction methods used by manufacturers is
necessary in order to verify that such predictions are valid and based
on sound engineering judgement and calculations. Therefore, DOE
believes that these requirements regarding the prediction method are
adequate and necessary to ensure estimated values are reliable,
representative, and consistent with test conditions, setup, and methods
specified in DOE's test procedures for CFLs.
In addition, DOE notes that there is precedent for allowing
products to be distributed in commerce based on estimated values. DOE
allows initial certification reports for GSFLs and incandescent
reflector lamps and also requires that manufacturers include a
description of any testing or analysis the manufacturer performed. 10
CFR 429.12(e)(2) Under EPCA, MBCFLs may be marketed before completion
of testing for lifetime and lumen maintenance at 40 percent of lifetime
with supporting engineering predictions and analysis. 42 U.S.C.
6293(b)(12)(C).
Therefore, by allowing new basic models of CFLs to be distributed
in commerce based on estimated values determined by prediction methods
representative of DOE's test procedures for CFLs, DOE is ensuring
products are available to consumers in a reasonable time while still
requiring a rigorous process to ensure that all representative values
are as accurate and precise as possible. In this final rule, DOE also
clarifies that for existing basic models that require retesting,
manufacturers may submit an initial certification report based on
estimated values of lifetime, 40 percent lumen maintenance, and rapid
cycle stress if the testing for lifetime is not complete.
The EEAs also recommended that DOE take action to enhance industry
adherence with the CFL test procedure. They noted that under two CFL
verification testing programs, ENERGY STAR and the Program for the
Evaluation and Assessment of Residential Lighting (PEARL), a
significant number of ENERGY STAR-qualified CFLs were found to be
noncompliant with ENERGY STAR program requirements. The EEAs noted that
these results varied between brands, but the overall consumer
dissatisfaction and perception of poor CFL quality applied throughout
the industry, regardless of a particular brand's performance. The EEAs
suggested DOE collect and analyze performance data for CFLs sold in the
retail distribution chain and adopt an enhanced enforcement strategy
focused on brands, rather than only basic models. The EEAs recommended
that DOE require manufacturers to submit data that support the enhanced
enforcement strategy and to tighten data submission requirements to
prevent manufacturers from submitting incomplete or incorrect test data
that may misrepresent the quality of products being verified. (EEAs,
No. 8 at pp. 6-7)
DOE currently has enforcement procedures in place for, among many
other products, CFLs that are subject to energy conservation standards.
For more information please refer to DOE's ``Implementation,
Certification, and Enforcement'' Web site at https://energy.gov/eere/buildings/implementation-certification-and-enforcement.
Additionally in the July 2015 NOPR, DOE proposed that if, prior to
completion of testing, a manufacturer ceases to distribute in commerce
a basic model, the manufacturer must submit a full certification report
and provide all of the information listed in 10 CFR 429.12(b),
including the product-specific information required by 10 CFR
429.35(b)(2), as part of its notification to DOE that the model has
been discontinued. 80 FR 45741. DOE did not receive any comments
regarding this proposal and adopts it in this final rule. This
provision will help alleviate potential issues envisioned by the EEAs
that models will be retired without any accountability for compliance
with the standards.
Further, for this final rule, DOE separated the certification
report requirements for medium base CFLs that

[[Page 59408]]

are showing compliance with the current energy conservation standards,
integrated CFLs that would need to show compliance with potential GSL
energy conservation standards, and non-integrated CFLs which may need
to show compliance with potential GSL energy conservations standards.
DOE separated these requirements in order to clarify that different
values must be reported when certifying compliance to existing
standards in 430.32(u) (as it appears in 10 CFR parts 200-499 edition
revised as of January 1, 2016) for medium base CFLs; general service
lamp energy conservation standards (if adopted) for integrated CFLs;
and general service lamp energy conservations standards (if adopted)
for non-integrated CFLs.

H. Amendments to 10 CFR 429.35

The text of the 10 CFR 429.35 title currently addresses bare or
covered (no reflector) MBCFLs. DOE proposed in the July 2015 NOPR to
remove this text and identical text found in Sec. 429.35(a)(1) and
(a)(2), and replace it with the text ``compact fluorescent lamps'' to
reflect the inclusion of additional CFL categories. 80 FR 45741. DOE
did not receive any comments on this proposal and therefore adopts this
change in the final rule.
In addition, DOE also proposed to clarify and amend the sampling
requirements for existing and new metrics, provide clarification on
reuse of samples, and address failures of sample units. 80 FR 45741.
DOE concluded that these clarifications and amendments would not have a
significant effect on measured values or test burden. Id. In general,
the EEAs were supportive of DOE's proposed changes to sampling
requirements. (EEAs, No. 8 at pp. 2-4) DOE received comments related to
the specific proposals to 10 CFR 429.35 and discusses these in detail
in the following sections.
1. Initial Lamp Efficacy and Lumen Maintenance
Currently, in 10 CFR 429.35, sampling requirements are specified
for efficacy, 1,000-hour lumen maintenance, and lumen maintenance at 40
percent of rated life. In the July 2015 NOPR, DOE proposed to replace
the terms efficacy, 1,000-hour lumen maintenance, and lumen
maintenance, respectively, with the terms initial lamp efficacy, lumen
maintenance at 1,000 hours, and lumen maintenance at 40 percent of
lifetime. 80 FR 45741-45742.
DOE also proposed to create a separate sampling requirement section
for initial lamp efficacy in order to include an allowance of 3 percent
tolerance on the represented value of this metric (see section
III.F.1). Specifically, DOE proposed that, to account for measurement
error, the represented value for initial lamp efficacy of MBCFLs may
include 3 percent added to the lower of (a) the mean of the sample and
(b) the lower 97.5 percent LCL of the true mean divided by 0.95. For
example, if the lower value is the mean of the sample at 60.0 lumens
per watt, then the 1.03 multiplier could be applied to yield a
represented value for initial lamp efficacy of up to 61.8 lumens per
watt. DOE concluded that this clarification does not result in a
significant impact to measured values. DOE received comments on this
proposal and addresses them in section III.F.1. In this final rule, DOE
adopts the proposal regarding the 3 percent tolerance for initial lamp
efficacy as described in this preamble.
Additionally, DOE proposed to expand the sample size from a minimum
of 5 units to a minimum of 10 units for initial lamp efficacy, 1,000
hour lumen maintenance, and lumen maintenance at 40 percent of
lifetime. 80 FR 45742. Further DOE proposed that if more than 10 units
are tested as part of the sample for these three metrics, the total
number of units must be a multiple of two so that an equal number of
units can be tested base up and base down. DOE also notes that, because
the sample set must be the same for all metrics, if the sample size is
greater than 10, the same larger sample set must be used for the other
metrics required to utilize the sample set (see III.H.5).
In the July 2015 CFL TP NOR, DOE also proposed that half of the
units be tested base up and half of the units be tested base down,
rather than testing all units base up as currently required. Testing in
both the base up and base down positions provides an accurate
representation of performance under both orientations since the end-use
orientation is unknown. 80 FR 45742.
OSI raised concerns that adding another orientation besides base up
will effectively double testing costs by increasing the number of units
under test as well as increasing the infrastructure required. OSI also
stated that in many cases, manufacturers have evaluated products only
in the base up position. (OSI, No. 5 at p. 8) NEMA stated that
modifying the orientation specification would change measured values
and add test burden. (NEMA, No. 9 at pp. 3, 8)
Test burden is discussed in section IV.B. DOE notes that ENERGY
STAR has required both a sample size of 10 and that half be tested in
the base up position and the other half in the base down position
orientations since version 3.0 of the ``ENERGY STAR[supreg] Program
Requirements for CFLs'', which was finalized in 2003.\22\ CA IOUs
commented (and DOE verified) that according to ENERGY STAR 64 percent
of integrated CFLs shipped in 2014 were ENERGY STAR certified. (CA
IOUs, No. 7 at p. 4) Therefore, a majority of integrated CFLs have
already been evaluated in both orientations.
---------------------------------------------------------------------------

\22\ Version 3.0 of the CFL lamps specification was superseded
by other versions of the CFL lamp specification and then ultimately
the CFL specification was replaced by the overall lamp
specification. However, the original specification can be found at
https://www.energystar.gov/products/spec by searching lighting, light
bulbs (CFLs) and historic in status.
---------------------------------------------------------------------------

NEMA and OSI stated that if testing of non-integrated CFLs is
necessary, that these lamps should only be tested in the base up
position as base down testing is not representative of actual usage.
Further, both NEMA and OSI raised concerns about the burden related to
testing non-integrated CFLs in both base up and base down orientations.
(NEMA, No. 9 at p. 10; OSI, No. 5 at p. 8)
Test burden is discussed in section IV.B. Contrary to the assertion
of NEMA and OSI that base down orientation would not be representative
of actual use for non-integrated CFLs, DOE has identified fixtures for
non-integrated CFLs classified as ``chandelier,'' ``decorative
pendant,'' and ``sconce/marker light'' all with base down lamp
orientations.\23\ DOE retains in this final rule that, for both
integrated and non-integrated CFLs, half the sample size be tested in
the base up and the other half in base down orientation.
---------------------------------------------------------------------------

\23\ DOE conducted a search using eLumit, an independently
owned, industry-neutral company that is a lighting search and
specification tool for design professionals. www.eLumit.com.
---------------------------------------------------------------------------

In the July 2015 NOPR, DOE also proposed to specify in 10 CFR
429.35 that any represented value of lumen maintenance at 40 percent of
lifetime must be based on a lifetime value that is equal to or greater
than the represented value of lifetime. DOE did not receive any
comments regarding this proposal; therefore, DOE adopts it in this
final rule.
2. Rapid Cycle Stress Testing
In the July 2015 NOPR, DOE proposed to restrict the sample size for
rapid cycle stress testing to an exact number of units. 80 FR 45742.
Currently, the sampling size for rapid cycle stress testing is
specified at 10 CFR 429.35(a)(2)(ii) as no less than 6 unique units.
DOE proposed specifying that exactly 6 unique units must be tested

[[Page 59409]]

per basic model for rapid cycle stress testing with the rationale that
this new specification will minimize confusion and improve consistency
in the number of samples used for testing. 80 FR 45742. This new
sampling requirement is consistent with the sample size requirement for
rapid cycle stress testing in the ENERGY STAR Lamps Specification V2.0.
DOE did not receive any comments related to the sample size for rapid-
cycle stress testing and therefore adopts the requirement in this final
rule that the sample size for rapid-cycle stress testing be 6 unique
units.
NEMA and OSI stated that lamp orientation has little effect on the
rapid cycle stress testing and suggested that testing half of the lamps
base up and half base down would be an additional burden that would not
affect the results of the rapid-cycle stress test. (NEMA, No. 9 at p.
10; OSI, No. 5 at p. 8)
Rapid cycle stress testing is intended to stress the lamp's
electrical components to evaluate the performance of a lamp undergoing
repeated cycling. Lamp orientation affects the thermal conditions of
the lamp. Because temperature has some impact on the performance of a
lamp's electrical components, testing in both base up and base down
orientations will provide a more comprehensive set of results for
assessing rapid cycle stress. Therefore, in this final rule, DOE
specifies in appendix W that for rapid cycle stress testing half of the
units must be tested in the base up position, and half of the units
must be tested in the base down position, but that if the position is
restricted by the manufacturer, units must be tested in the
manufacturer-specified position.
In the July 2015 CFL NOPR, DOE also proposed a new paragraph in 10
CFR 429.35 that any represented value of rapid cycle stress test
surviving units must be based on a lifetime value that is equal to or
greater than the represented value of lifetime. 80 FR 45742. DOE did
not receive any comments on this proposal and therefore, adopts it in
this final rule.
3. Lifetime of a Compact Fluorescent Lamp
In the July 2015 NOPR, DOE proposed clarifying the sampling
requirements for the lifetime of a CFL, including the position in which
lamps are tested. Specifically DOE proposed to align the sampling
requirements for lifetime with the sampling requirements for initial
lamp efficacy and lumen maintenance. DOE clarified that if more than 10
units are tested as part of the sample, the total number of units must
be a multiple of two and the time to failure value as determined per
section 3.3 of appendix W must be used to determine the represented
value of lifetime. 80 FR 45742. DOE did not receive any comments
regarding this proposal and therefore, in this final rule, adopts it as
proposed.
4. New Metrics
As discussed in section III.A.4 in this document, DOE establishes
test procedures for measuring new metrics including CRI, power factor,
CCT, start time, and standby mode energy consumption. For CRI, power
factor, CCT, and standby mode power, in the July 2015 NOPR, DOE
proposed requiring a sample size of at least 10 (half base up and half
base down). Testing in both the base up and base down positions
provides an accurate representation of performance under both
orientations since the end-use orientation is unknown. DOE also
proposed specifying within the sampling requirements for CRI, power
factor, CCT, and standby mode power, that, if more than 10 units are
tested as part of the sample, the total number of units must be a
multiple of two.
DOE proposed to specify the same sampling requirements for CRI and
power factor as those specified for initial lamp efficacy, lumen
maintenance at 1,000 hours, and lumen maintenance at 40 percent of
lifetime in 10 CFR 429.35. Thus, for CRI and power factor, DOE
determined that representations of these metrics be equal to the lesser
of the mean of the sample and the 97.5 percent LCL divided by 0.95.
Since higher values are desirable for CRI and power factor, use of the
lesser of the mean and LCL ensures that a representative value is
reported.
Because there are no targeted upper or lower bound values for CCT,
DOE proposed to specify in 10 CFR 429.35 that representations of CCT be
the mean of the sample.
For the start time, DOE proposed a sample size of three units in 10
CFR 429.35. DOE believes this is an appropriate sample size to
determine an accurate value for the lamp start time. Further, DOE
proposed that for start time, representations be equal to the greater
of the mean of the sample and the 97.5 percent upper confidence limit
(UCL) divided by 1.05, since lower values are desirable.
For standby mode power, DOE proposed to specify in 10 CFR 429.35 a
sample size of at least 10 units, consistent with that used for the
active mode power metric and initial lamp efficacy. DOE determined that
representations should be equal to the greater of the mean of the
sample and the 97.5 percent UCL divided by 1.05, as lower values are
desirable.
DOE notes that the current sampling requirements already require 10
units for determining lifetime, and that several of these metrics
(e.g., CRI, CCT, and power factor values) can be determined in the
course of lifetime testing. Additionally, this sampling plan is
consistent with the sampling requirements for these metrics in the
ENERGY STAR Lamps Specification v2.0.
OSI stated that power factor, CRI, and start time requirements are
not necessary and thus the proposed sampling requirements should not be
included. (OSI, No. 5 at p. 9) As noted previously, DOE is establishing
test procedures that include sampling requirements for power factor,
CRI, and start time, in support of the ongoing GSL standards rulemaking
(see section II for further details). Therefore, DOE retains the
sampling plan for these metrics in this final rule. However, DOE notes
that power factor and start time measurements are not applicable to or
required for non-integrated CFLs.
NEMA and OSI also commented on DOE's use of the lower confidence
level (LCL), UCL, and statistical divisor in determining represented
values. They argued that DOE's current methodology is biased and
statistically incorrect and recommended DOE use only the sample mean as
it is the best estimator of the population parameters. (NEMA, No. 9 at
p. 10; OSI, No. 5 at p. 9)
Confidence limits are a valid statistical method used to understand
the accuracy of the sample mean. By using confidence limits, DOE is
able to implement a conservative approach, ensuring that products on
the market perform at least as well as represented by manufacturers, by
requiring the lower confidence limit value if it is less than the
sample mean when higher values are desirable and requiring the upper
confidence limit if it is greater than the sample mean when lower
values are desirable. DOE finds this methodology more appropriate in
determining represented values than relying only on the sample mean.
Therefore, in this final rule, DOE retains the confidence limit
methodology for existing metrics and implements it for new metrics,
where applicable.
DOE also clarifies that on or after 180 days after publication of
this final rule, manufacturers of MBCFLs must use the test procedures
established in this final rule to certify compliance with existing
standards and for any representations regarding energy use or
efficiency, and manufacturers of other CFLs without existing standards
must use the test

[[Page 59410]]

procedures for any representations regarding energy use or efficiency.
As of the compliance date of any standards adopted in the GSL ECS
rulemaking, manufacturers must use the test procedures established in
this final rule to certify compliance with GSL standards, if adopted.
(See section III.J for further details regarding effective dates.)
Further, in this final rule, DOE specifies sampling requirements
specific to metrics of integrated CFLs and non-integrated CFLs.
5. Reuse of Samples
In the July 2015 NOPR, DOE proposed to specify in 10 CFR 429.35
that the same sample of units must be used to determine initial lamp
efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40
percent of lifetime, lifetime, CRI, CCT, power factor, start time, and
standby mode power. 80 FR 45743.
NEMA and OSI commented that reuse of samples should not be
mandatory except in the case of lumen maintenance values where a ratio
is required involving the initial measurements. NEMA and OSI stated
that the manufacturer should be permitted to use representative samples
and make measurements in parallel to reduce the time burden of
measurement. OSI also stated that this requirement would preclude large
sample size life tests in which the lamps would run uninterrupted until
failure. NEMA added that it is restrictive to require the same samples
for all tests completed for one basic model. (NEMA, No. 9 at p. 10-11;
OSI, No. 5 at p. 9) Philips commented that manufacturers should be
allowed to test larger populations for lifetime than for photometric-
related measurements. (Philips, Public Meeting Transcript, No. 4 at p.
90) GE recommended that, rather than requiring the reuse of a sample
across all tests, DOE should require that all test units must be drawn
from the same population. (GE, Public Meeting Transcript, No. 4 at pp.
91-95)
By requiring the same sample set to be used across all metrics, DOE
ensures sample units are not selected to obtain favorable measurements
for one metric over others and that all representative values are
internally consistent and representative of the population (to the
extent the selected test sample is representative of the population).
The lifetime measurement is just an extension of the other photometric
measurements taken at different points in time of the same lamp. DOE
believes taking these photometric measurements such as efficacy, lumen
maintenance, and lifetime on the same set of lamps will result in a
better characterization of the photometric performance of the
population by minimizing the variation that may be introduced into the
measurement by using different test units for different metrics. Hence,
the requirement of the same sample set allows for a more accurate
assessment of a basic model's compliance with standards for all
metrics. Therefore, DOE retains in this final notice that the same
sample of units must be used as the basis for representations for
standby power, power factor, CCT, CRI, initial lumen output, input
power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen
maintenance at 40 percent of lifetime, and lifetime; no less than three
units from the same sample of units must be used when testing for the
start time; and exactly six unique units must be used for rapid cycle
stress testing. Additionally, in this final rule, DOE specifies that
sample units must be comprised of production units. For those basic
models that currently make representations of the energy efficiency
metrics described in this test procedure, including medium base CFLs,
manufacturers must ensure that representations, including
certifications, are made in accordance with the DOE test procedure,
including sampling plan. While DOE believes manufacturers have been
following these testing procedures, including sampling plans, for
making current representations, DOE clarifies that a manufacturer may
need to retest in the event that the current representations are not
supported by the test when measured in accordance with the method being
adopted in this final rule, including the sampling plan.
6. Lamp Failures
In the July 2015 NOPR, DOE also clarified that, if a lamp breaks,
becomes defective, fails to stabilize, exhibits abnormal behavior such
as swirling or stops producing light, prior to the end of the seasoning
period, the lamp must be replaced with a new unit. 80 FR 45732. If a
lamp fails after the seasoning period, the lamp's measurements must be
included when calculating represented values. Id.
The CA IOUs stated that lamps that fail during lamp seasoning
(``early failure lamps'') should also be maintained in the sample and
new units should be added until the required units pass the seasoning
period. The CA IOUs stated that not including units that fail during
the seasoning period in the sample set will result in inaccurate
measurements of metrics. The CA IOUs gave the example where a
manufacturer might test 100 units, 90 of which would fail during
seasoning, and report the lifetime of the lamp based on the 10 units
that passed. The CA IOUs asserted that these early failures cause
consumer dissatisfaction related to CFL lifetime. Citing an ENERGY STAR
report \24\ the CA IOUs stated that the majority of verification
testing failures for CFLs in ENERGY STAR are related to tests for
product lifetime (e.g., interim life test, lumen maintenance, and rapid
cycle stress tests). Additionally, the CA IOUs and the EEAs cited a
study conducted by PEARL that found that 2 to 12 percent of the CFLs
tested failed to reach 40 percent of rated life. (CA IOUs, No. 7 at pp.
1-3; CA IOUs, Public Meeting Transcript, No. 4 at pp. 38-41, 89)
---------------------------------------------------------------------------

\24\ Overview of CFL Verification Testing Results Jan 2010-Apr
2014. EPA. 2014. www.energystar.gov/sites/default/files/specs/Presentation%20Verification%20Testing%207-31-14.pdf.
---------------------------------------------------------------------------

The CA IOUs further stated that the number of ``early failures''
should be recorded along with the time and manner of failure. The CA
IOUs also suggested that DOE require the entire sample set to be
discarded if one unit fails during seasoning in order to incentivize
manufacturers to produce higher quality products. Additionally, the CA
IOUs recommended DOE evaluate data on early CFL failures to verify that
the majority of early failures occur in the first 100 hours of
operation and increase this time interval for recording early failures,
if necessary. (CA IOUs, No. 7 at p. 3)
The EEAs supported CA IOUs written comments related to early
failures, noting that ignoring early failures would make it difficult
to develop metrics to address these failures. The EEAs added that lamps
that fail during seasoning would fall in the category of manufacturing
defect, a category of lamp failure identified in IES LM-65-14. (EEAs,
No. 8 at p. 3) GE (with Philips concurring) agreed that failures of
lamps ``right out of the box'' represented a manufacturing defect and
stated it is appropriate to remove these from the sample during
seasoning. (GE, Public Meeting Transcript, No. 4 at p. 38, Philips,
Public Meeting Transcript, No. 4 at p. 38) Westinghouse stated that its
products were not experiencing industry failures within the warranty
period, and definitely not within the first 100 hours. Westinghouse
added that lamps that did fail early would not pass DOE's verification
testing and therefore, would not be available on the market.
(Westinghouse, Public Meeting Transcript, No. 4, at pp. 40-41)
DOE evaluated the reports cited by CA IOUs and EEAs in their
comments, specifically, ENERGY STAR verification

[[Page 59411]]

test report of 2014 and the study conducted by PEARL. While both of
these reports indicate that there are lamps that fail to meet metrics
related to product lifetime, neither support that these failures are
due to lamps failing in the first 100 hours of the lamp lifetime. Both
documents only report failures before 40 percent of rated life as one
aggregated value with no data on actual time of failure. Further, DOE
evaluated results of a study conducted by the California Public Utility
Commission that provided data on the number of hours before failure for
72 models of MBCFLs with a sample set of 3601 lamps that were tested on
10 different cycling times. Of the 360 lamps tested on the 180 minute
cycling time, the same as the cycling time for lifetime testing, none
of the lamps failed during the first 100 hours of testing.\25\
---------------------------------------------------------------------------

\25\ CFL Laboratory Testing Report: Results from a CFL Switching
Cycle and Photometric Laboratory Study. December 9, 2015. California
Public Utilities Commission.
---------------------------------------------------------------------------

Based on available data, DOE finds that it is not common for CFLs
to fail before the seasoning period; therefore, the requirement that a
sample unit be replaced if it fails during seasoning will not result in
appreciably less accurate measurements. DOE notes that its proposed
method for addressing lamp failures aligns with ANSI C78.5-2003,\26\
which provides specifications on integrated CFLs and is referenced by
IES LM-65-14 (incorporated by reference). Section 6.1.2 of ANSI C78.5-
2003 notes that ``. . . if a unit fails to stabilize or exhibits
abnormal behavior, the lamp shall be discarded. Testing shall resume
with a suitable replacement specimen procured and prepared in the same
manner as the original specimen. The use of replacement specimens shall
be documented in the test report.'' Further, section 3.1 of IES LM-65-
14 states that lamp failures due to manufacturing defects are reported
but not included in the calculation of lamp lifetime. Therefore, in
this final rule, DOE retains the requirement that, if a lamp breaks,
becomes defective, fails to stabilize, exhibits abnormal behavior such
as swirling or stops producing light prior to the end of the seasoning
period, the lamp must be replaced with a new unit. DOE also notes that
ANSI C78.5-2003 and IES LM-65-14 recommend respectively, recording
replacement of sample units and failures. Because such data can be
informative, in this final rule, DOE adds the requirement that
manufacturers must provide in the certification report, the number of
sample units replaced within each unique sample set used in determining
represented values and believes that such information could be helpful
to consumers or interested parties in determining more reliable CFL
models, as requested by the CA IOUs and EEAs.
---------------------------------------------------------------------------

\26\ American National Standard For Electric Lamps:
Specifications for Performance of Self-Ballasted Compact Fluorescent
lamps (approved 2003).
---------------------------------------------------------------------------

I. Federal Trade Commission (FTC) Labeling Requirements

As discussed throughout this document, the CFL test procedure
adopted in this final rule is intended, among other things, to support
FTC's Lighting Facts Labeling program. Accordingly, in the July 2015
NOPR, DOE proposed adding provisions to 10 CFR 429 for initial lumen
output, input power, CCT, estimated annual energy cost, and life (in
years) for MBCFLs to enable FTC to allow manufacturers to submit data
through DOE's Compliance Certification Management System (CCMS) for the
FTC labeling requirements. 80 FR 45743. Except for CCT, these metrics
are already being determined as part of the existing test procedures in
appendix W. For example, initial lumen output and input power (a
standalone metric and also part of the calculation for estimated annual
energy cost) are the two quantities required to calculate the existing
metric of initial lamp efficacy. Furthermore, the life (expressed in
years) is determined by dividing the existing metric of lifetime by an
average operating hour value specified by FTC.
NEMA stated that the test procedures should not be developed for
lamps not regulated by FTC. NEMA highlighted the fact that FTC's label
does not cover non-integrated CFLs and reiterated that non-integrated
CFLs should not be included in the test procedure. (NEMA, No. 9 at p.
2)
As noted previously, the test procedures that are the subject of
this rulemaking are intended to support existing and potential
standards for CFLs and ENERGY STAR lamp and luminaire specifications,
as well as support the FTC Lighting Facts labeling requirements. DOE
did not receive any other comments related to the proposed provisions
for DOE to collect FTC Lighting Facts labeling data through DOE's CCMS.
Therefore, in this final rule, DOE adopts the provisions as described
in this preamble.

J. Effective Date

In the July 2015 NOPR, DOE specified that the effective date for
the amended test procedures would be 30 days after publication of the
final rule in the Federal Register. 80 FR 45743. Representations based
on the amended and new test procedures would be required as of 180 days
after publication of the final rule. (42 U.S.C. 6293(c)(2)) DOE
received several comments regarding these dates and certifications of
compliance for products according to the new and amended test
procedures.
NEMA and OSI asked DOE to provide clarification on the need to
retest lamps that are already certified in the CCMS database, or if
industry is allowed to use existing test reports for current products.
(NEMA, No. 9 at p. 2; OSI, No. 5 at p. 2) OSI also sought clarification
from DOE regarding the disposition of existing inventory if retesting
is required for current products. (OSI, No.5 at p. 2)
Representations related to the metrics addressed in the amended
Appendix W must reflect testing in accordance with Appendix W not later
than February 27, 2017. Representations are not required by DOE for
CFLs not currently subject to standards (although they may be required
by the FTC). In contrast, certifications of compliance are required for
medium base CFLs, which are currently subject to standards; those
certifications must reflect testing in accordance with the amended
Appendix W as of the next annual certification date or February 27,
2017, whichever is later. DOE also reiterates, as noted throughout this
document, that the new and amended test procedures are not anticipated
to result in changes in measured energy consumption or other
performance metrics for any products that are currently subject to
energy conservation standards and thus required to certify compliance
to DOE. Therefore, existing medium base CFLs may not require re-testing
if their representative values continue to be valid.
Certifications of compliance for basic models of CFLs with any new
and/or amended energy conservation standards must reflect testing in
accordance with Appendix W as amended in this final rule, prior to
distribution in commerce, and annually thereafter by the filing date
specified in 10 CFR 429.12(d); however, no basic model is required to
be certified until it is required to comply with energy conservation
standards. Therefore, for CFLs not currently subject to standards, the
initial certification report must be filed by the compliance date of
any new energy conservation standards.
NEMA and OSI stated that due to the additional testing required by
the new and amended test procedures established in this final rule, it
was not practical to certify all lamps to the new and amended test
procedures by the next annual filing date for certification.

[[Page 59412]]

In particular, OSI cited changes to the sample size and orientation;
and NEMA added testing for rapid cycle stress. NEMA and OSI noted that
publication of the final rule for the ongoing GSL standards rulemaking
is expected before the end of 2017. They requested that until March 1,
2018, only new CFLs certified after the publication of this test
procedure final rule be required to be tested under the new and amended
CFL test procedures established by it; and after March 1, 2018, all
CFLs must be tested under the new and amended CFL test procedures. NEMA
and OSI reasoned this would minimize testing burden on industry for
current products that are expected to be rendered obsolete by the
ongoing GSL standards rulemaking. (NEMA, No. 9 at p. 11; OSI, No. 5 at
p. 9)
The change in sample size and orientation requirements adopted in
this final rule align with ENERGY STAR Lamps Specification V2.0
(effective January 1, 2017) and its previous version, with the only
exception being that DOE is requiring 3 units tested base up, and 3
units tested base down for the rapid cycle stress test. DOE notes that
two thirds of compact fluorescent lamps already comply with ENERGY
STAR, which already requires 10 units to be tested, and does not
believe the change in orientation requirements for the rapid cycle
stress test would require an extensive change to the existing test
setup. While DOE is adopting test procedures for additional metrics,
several of these metrics (e.g., CCT, CRI, power factor) can be
determined simultaneously with existing metrics such as efficacy, and
therefore testing new metrics would not require a significant amount of
additional time to conduct.
Further for new basic models or existing basic models that require
retesting because their certified values are no longer valid, if a
metric requires a longer period of time to test (lifetime, lumen
maintenance at 40 percent of lifetime), DOE allows for the reporting of
estimated values until the testing is complete. Therefore, DOE finds
that manufacturers should be able to certify and make representations
of all applicable CFL products within 180 days of the publication of
this final rule. Hence, the effective date for the new and amended test
procedures discussed in this final rule will be 30 days after
publication of this document in the Federal Register. Representations
must reflect testing in accordance with the new and amended test
procedure not later than 180 days after publication of the final rule.
(42 U.S.C. 6293(c)(2))
After the effective date and prior to 180 days following
publication of this CFL test procedure final rule, manufacturers may
voluntarily begin to make representations with respect to the energy
use or efficiency of CFLs (including but not limited to MBCFLs) using
the results of testing pursuant to this final rule. On or after 180
days after publication of this final rule, any representations
including certifications of compliance (if required), made with respect
to the energy use or efficiency of CFLs (including but not limited to
MBCFLs) must be made in accordance with the results of testing pursuant
to the new and amended test procedures.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

The Office of Management and Budget (OMB) has determined that test
procedure rulemakings do not constitute ``significant regulatory
actions'' under section 3(f) of Executive Order 12866, Regulatory
Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this
action was not subject to review under the Executive Order by the
Office of Information and Regulatory Affairs (OIRA) in 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 (IFRA) for
any rule that by law must be proposed for public comment and a final
regulatory flexibility analysis (FRFA) for any such rule that an agency
adopts as a final rule, 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 this final rule, which amends and establishes new test
procedures for CFLs, under the provisions of the Regulatory Flexibility
Act and the procedures and policies published on February 19, 2003. DOE
certifies that the rule will not have a significant economic impact on
a substantial number of small entities. The factual basis for this
certification is as follows.
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 CFLs 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.
DOE conducted a focused market survey reviewing information from
trade associations such as NEMA; ENERGY STAR programs; market reports
(e.g. Hoover's reports); and individual company Web sites to identify
companies that sell products covered by this rulemaking. DOE then
determined the number of small businesses based on SBA definition. In
its estimation of a company's number of employees, DOE also includes
any parent companies and/or subsidiaries. In the July 2015 NOPR, DOE
identified 26 manufacturers that would be considered small businesses.
80 FR 45744. Westinghouse indicated the number of small businesses
identified by DOE was less than expected, noting that there are only a
handful of large-size businesses in the market. (Westinghouse, Public
Meeting Transcript, No. 4 at pp. 134-136)
For this final rule, DOE reviewed its estimated number of small
businesses. DOE updated its list of small businesses by reviewing
information from trade associations such as NEMA; ENERGY STAR programs;
market reports (e.g. Hoover's reports); and individual company Web
sites to identify companies that sell CFLs in the United States. DOE
screened out companies that do not offer products covered by this
rulemaking, do not meet the definition of a ``small business,'' or are
completely foreign owned and operated. DOE determined that there are no
small businesses that maintain domestic production facilities for CFLs.
Based on the criteria outlined earlier and the reasons discussed
above, DOE certifies that the test procedures adopted in this final
rule would not have a significant economic impact on a substantial
number of small entities, and the preparation of a final regulatory
flexibility analysis is not warranted. DOE has submitted a
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).

[[Page 59413]]

C. Review Under the Paperwork Reduction Act of 1995

Manufacturers of CFLs must certify to DOE that their products
comply with any applicable energy conservation standards. To certify
compliance, manufacturers must first obtain test data for their
products according to the DOE test procedures, including any amendments
adopted for those test procedures. DOE has established regulations for
the certification and recordkeeping requirements for all covered
consumer products and commercial equipment, including CFLs. See
generally 10 CFR part 429, subpart B. The collection-of-information
requirement for the certification and recordkeeping is subject to
review and approval by OMB under the Paperwork Reduction Act (PRA).
This requirement has been approved by OMB under OMB control number
1910-1400. Public reporting burden for the certification is estimated
to average 30 hours per response including the time for reviewing
instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a current valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

In this final rule, DOE is approving test procedure amendments that
it expects will be used to develop and implement future energy
conservation standards for CFLs. DOE has determined that this rule
falls into a class of actions that are categorically excluded from
review under the National Environmental Policy Act of 1969 (42 U.S.C.
4321 et seq.) and DOE's implementing regulations at 10 CFR part 1021.
Specifically, this rule amends an existing rule without affecting 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 A5 under 10 CFR part 1021, subpart D,
which applies to any rulemaking that interprets or amends an existing
rule without changing the environmental effect of that rule.
Accordingly, neither an environmental assessment nor an environmental
impact statement is required.

E. Review Under Executive Order 13132

Executive Order 13132, ``Federalism,'' 64 FR 43255 (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 examined this final
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 final 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,
this final 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 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 final
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.

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

[[Page 59414]]

that may affect family well-being. This final 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 final 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 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.
This final rule incorporates by reference the testing methods and
modifications to the test procedures that are contained in the
following commercial standards:

(1) ANSI C78.901-2014, ``American National Standard for Electric
Lamps--Single-Based Fluorescent Lamps--Dimensional and Electrical
Characteristics,'' 2014;
(2) CIE 13.3-1995, ``Technical Report: Method of Measuring and
Specifying Colour Rendering Properties of Light Sources,'' 1995;
(3) CIE 15:2004, ``Technical Report: Colorimetry, 3rd edition,''
2004;
(4) IES LM-54-12, ``IES Guide to Lamp Seasoning,'' 2012;
(5) IES LM-65-14, ``IES Approved Method for Life Testing of
Single-Based Fluorescent Lamps,'' 2014;
(6) IES LM-66-14, ``IES Approved Method for the Electrical and
Photometric Measurements of Single-Based Fluorescent Lamps,'' 2014;
(7) IESNA LM-78-07, :IESNA Approved Method for Total Luminous
Flux Measurement of Lamp Using an Integrated Sphere Photometer,''
2007; and
(8) IEC Standard 62301 (Edition 2.0, 2011-01), ``Household
electrical appliances--Measurement of standby power,'' 2011.

Although these test procedures are not exclusively based on these
industry testing standards, some components of the DOE test procedure
adopt definitions, test parameters, and measurement techniques from
them without amendment. The Department has evaluated these industry
testing 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 has consulted with both the
Attorney General and the Chairman of the FTC about the impact on
competition of using the methods contained in these standards and has
received no comments objecting to their use.

M. Description of Materials Incorporated by Reference

DOE incorporates by reference the test standard published by ANSI,
titled ``American National Standard for Electric Lamps--Single-Based
Fluorescent Lamps--Dimensional and Electrical Characteristics,'' ANSI
C78.901-2014. ANSI C78.901-2014 is an industry accepted test standard
that specifies physical and electrical characteristics of non-
integrated CFLs and is applicable to products sold in North America. It
is used to identify the appropriate reference ballast specifications
for CFL as described in this final rule. ANSI C78.901-2014 is readily
available on ANSI's Web site at https://webstore.ansi.org/.
DOE incorporates by reference the test standard published by IES,
titled ``IES Guide to Lamp Seasoning,'' IES LM-54-12. IES LM-54-12 is
an industry accepted test standard that specifies a method for
seasoning CFLs prior to testing and is applicable to products sold in
North America. The test procedures adopted in this final rule reference
various sections of IES LM-54-12 that address seasoning of CFLs prior
to testing. IES LM-54-12 is readily available on IES's Web site at
www.ies.org/store.
DOE also incorporates by reference the test standard published by
IES, titled ``IES Approved Method for Life Testing of Single-Based
Fluorescent Lamps,'' IES LM-65-14. IES LM-65-14 is an industry accepted
test standard that specifies a method for measuring the time to failure
of CFLs and is applicable to products sold in North America. The test
procedures adopted in this final rule reference various sections of IES
LM-65-14 that address test conditions and procedures for measuring time
to failure and rapid cycle stress testing of CFLs. IES LM-65-14 is
readily available on IES's Web site at www.ies.org/store.
DOE also incorporates by reference specific sections of the test
standard published by IES, titled ``IES Approved Method: Electrical and
Photometric Measurements of Single-Based Fluorescent Lamps,'' IES LM-
66-14. IES LM-66-14 is an industry accepted test

[[Page 59415]]

standard that specifies a method for measuring electrical and
photometric characteristics of CFLs and is applicable to products sold
in North America. The test procedures adopted in this final rule
reference various sections of IES LM-66-14 that address test conditions
and procedures for taking electrical and photometric measurements of
CFLs. IES LM-66-14 is readily available on IES's Web site at
www.ies.org/store.
DOE also incorporates by reference the test standard published by
IES, titled ``IESNA Approved Method for Total Luminous Flux Measurement
of Lamps Using an Integrating Sphere Photometer,'' IESNA LM-78-07.
IESNA LM-78-07 is an industry accepted test standard that specifies a
method for measuring lumen output in an integrated sphere and is
applicable to products sold in North America. The test procedures
adopted in this final rule reference sections of IESNA LM-78-07 that
address measurements of lumen output. IESNA LM-78-07 is readily
available on IES's Web site at www.ies.org/store.
DOE also incorporates by reference certain sections of the test
standard published by IEC, titled ``Household electrical appliances--
Measurement of standby power,'' IEC Standard 62301 (Edition 2.0). IEC
Standard 62301 (Edition 2.0) is an industry accepted test standard that
describes measurements of electrical power consumption in standby mode,
off mode, and network mode. The test procedures adopted in this final
rule reference sections of IEC Standard 62301 (Edition 2.0) for testing
standby mode power consumption of CFLs. IEC Standard 62301 (Edition
2.0) is readily available on ANSI's Web site at https://webstore.iec.ch/home.
DOE also incorporates by reference the test standard published by
CIE, titled ``Technical Report: Method of Measuring and Specifying
Colour Rendering Properties of Light Sources,'' CIE 13.3-1995. CIE
13.3-1995 is an industry accepted test standard that specifies method
of measuring and specifying color rendering properties of light sources
based on resultant color shifts of test objects. The test procedures
adopted in this final rule reference sections of CIE 13.3-1995 for
testing CRI of CFLs. CIE 13.3-1995 is readily available on CIE's Web
site at https://www.techstreet.com/cie/.
DOE incorporates by reference the test standard published by CIE,
titled ``Technical Report: Colorimetry,'' CIE 15:2004. CIE 15:2004 is
an industry accepted test standard that summarizes colorimetric data.
The test procedures adopted in this final rule reference sections of
CIE 15:2004 for testing CCT of CFLs. CIE 15:2004 is readily available
on CIE's Web site at https://www.techstreet.com/cie/.
DOE removes previously incorporated reference to ``ENERGY STAR
Program Requirements for [Compact Fluorescent Lamps] CFLs, approved
August 9, 2001.'' These provided specifications including test
procedures for ENERGY STAR qualified CFLs. The test procedures adopted
in this final rule no longer reference ``ENERGY STAR Program
Requirements for [Compact Fluorescent Lamps] CFLs, approved August 9,
2001.''

N. Congressional Notification

As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of this rule before its effective date. The report will
state that it has been determined that the rule is not a ``major rule''
as defined by 5 U.S.C. 804(2).

V. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

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

10 CFR Part 430

Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Incorporation by reference, Intergovernmental relations, Small
businesses.

Issued in Washington, DC, on August 11, 2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and
Renewable Energy.
For the reasons stated in the preamble, DOE amends 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 429.12 is amended by revising paragraph (f) to read as
follows:

Sec. 429.12 General requirements applicable to certification reports.

* * * * *
(f) Discontinued model filing. When production of a basic model has
ceased and it is no longer being sold or offered for sale by the
manufacturer or private labeler, the manufacturer must report this
discontinued status to DOE as part of the next annual certification
report following such cessation. For each basic model, the report must
include the information specified in paragraphs (b)(1) through (7) of
this section, except that for integrated light-emitting diode lamps and
for compact fluorescent lamps, the manufacturer must submit a full
certification report, including all of the information required by
paragraph (b) of this section and the product-specific information
required by Sec. 429.56(b)(2) or Sec. 429.35(b)(2), respectively.
* * * * *

0
3. Section 429.35 is revised to read as follows:

Sec. 429.35 Compact fluorescent lamps.

(a) Determination of Represented Value. Manufacturers must
determine represented values, which include the certified ratings, for
each basic model of compact fluorescent lamp by testing, in conjunction
with the following sampling provisions:
(1) Units to be tested. (i) The requirements of Sec. 429.11(a) are
applicable except that the sample must be comprised of production
units; and
(ii)(A) For each basic model of integrated compact fluorescent
lamp, the minimum number of units tested shall be no less than 10 units
when testing for the initial lumen output, input power, initial lamp
efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40
percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode
power. If more than 10 units are tested as part of the sample, the
total number of units must be a multiple of 2. The same sample of units
must be used as the basis for representations for initial lumen output,
input power, initial lamp efficacy, lumen maintenance at 1,000 hours,
lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power
factor, and standby mode power. No less than three units from the same
sample of units must be used when testing for the start time. Exactly
six unique units (i.e., units that have not previously been tested
under this paragraph (a)(1)(ii) but are representative of the same
basic model tested under this paragraph (a)(1)(ii)) must be used for
rapid cycle stress testing.

[[Page 59416]]

(B) For each basic model of non-integrated compact fluorescent
lamp, the minimum number of units tested shall be no less than 10 units
when testing for the initial lumen output, input power, initial lamp
efficacy, lumen maintenance at 40 percent of lifetime, lifetime, CCT,
and CRI. If more than 10 units are tested as part of the sample, the
total number of units must be a multiple of 2. The same sample of units
must be used as the basis for representations for initial lumen output,
input power, initial lamp efficacy, lumen maintenance at 40 percent of
lifetime, lifetime, CCT, and CRI.
(iii) For each basic model, a sample of sufficient size shall be
randomly selected and tested to ensure that:
(A) Represented values of initial lumen output, initial lamp
efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40
percent of lifetime, CRI, power factor, or other measure of energy
consumption of a basic model for which consumers would favor higher
values must be less than or equal to the lower of:
(1) The mean of the sample,
[GRAPHIC] [TIFF OMITTED] TR29AU16.014

Where:

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

Or,
(2) The lower 97.5-percent confidence limit (LCL) of the true mean
divided by 0.95,
[GRAPHIC] [TIFF OMITTED] TR29AU16.015

Where:

x is the sample mean of the characteristic value;
s is the sample standard deviation;
n is the number of units in the sample, and
tg0.975 is the t statistic for a 97.5% one-tailed
confidence interval with n-1 degrees of freedom (from appendix A of
this subpart).

(B) Represented values of input power, standby mode power, start
time or other measure of energy consumption of a basic model for which
consumers would favor lower values must be greater than or equal to the
higher of:
(1) The mean of the sample,
[GRAPHIC] [TIFF OMITTED] TR29AU16.016

Where:

x is the sample mean,
ng is the number of units in the sample, and
xgi is the i^th unit;

Or,
(2) The upper 97.5-percent confidence limit (UCL) of the true mean
divided by 1.05,
[GRAPHIC] [TIFF OMITTED] TR29AU16.017

Where:

x is the sample mean of the characteristic value;
sg is the sample standard deviation;
ng is the number of units in the sample, and
tg0.975 is the t statistic for a 97.5% one-tailed
confidence interval with n-1 degrees of freedom (from appendix A of
this subpart).

Where:

x is the sample mean,
ng is the number of units in the sample, and
xgi is the i^th unit.

(D) The represented value of lifetime must be equal to or less than
the median time to failure of the sample (calculated as the arithmetic
mean of the time to failure of the two middle sample units when the
numbers are sorted in value order).
(E) The represented value of the results of rapid cycle stress
testing must be
(1) Expressed in the number of surviving units and
(2) Based on a lifetime value that is equal to or greater than the
represented value of lifetime.
(2) The represented value of life (in years) of a compact
fluorescent lamp must be calculated by dividing the represented
lifetime of a compact fluorescent lamp as determined in (a)(1) of this
section by the estimated annual operating hours as specified in 16 CFR
305.15(b)(3)(iii).
(3) The represented value of the estimated annual energy cost for a
compact fluorescent lamp, expressed in dollars per year, must be the
product of the input power in kilowatts, an electricity cost rate as
specified in 16 CFR 305.15(b)(1)(ii), and an estimated average annual
use as specified in 16 CFR 305.15(b)(1)(ii).
(4) For compliance with standards specified in Sec. 430.32(u) as
it appeared in 10 CFR parts 200-499 edition revised as of January 1,
2016, initial lamp efficacy may include a 3 percent tolerance added to
the value determined in accordance with paragraph (a)(1)(iii)(A) of
this section.
(5) The represented value of lumen maintenance at 40 percent of
lifetime must be based on a lifetime value that is equal to or greater
than the represented value of lifetime.
(6) Estimated values may be used for representations when initially
testing a new basic model or when new/additional testing is required.
(b) Certification reports. (1) The requirements of Sec. 429.12 are
applicable to compact fluorescent lamps; and
(2) Values reported in certification reports are represented
values. Pursuant to Sec. 429.12(b)(13), a certification report shall
include the following public product-specific information:
(i) For each basic model of medium base CFL when certifying
compliance to the standards in Sec. 430.32(u) as it appeared in 10 CFR
parts 200-499 edition revised as of January 1, 2016, the testing
laboratory's ILAC accreditation body's identification number or other
approved identification assigned by the ILAC accreditation body, the
date of first manufacture, the seasoning time in hours (h), the initial
lumen output in lumens (lm), the input power in watts (W), the initial
lamp efficacy in lumens per watt (lm/W), the number of sample units
replaced during the seasoning period within each unique sample set used
in determining the represented value, the lumen maintenance at 40
percent of lifetime in percent (%) (and whether value is estimated),
the lifetime in hours (h) (and whether value is estimated), life in
years (and whether value is estimated), the lumen maintenance at 1,000
hours in percent (%), and the results of rapid cycle stress testing in
number of units passed. or the initial certification of new basic
models or any subsequent certification based on new testing, estimates
of lifetime, life, lumen maintenance at 40 percent of lifetime, and
rapid cycle stress test surviving units may be reported (if indicated
in the certification report) until testing is complete. When reporting
estimated values, the certification report must specifically describe
the prediction method, which must be generally representative of the
methods specified in appendix W. Manufacturers are required to maintain
records in accordance with Sec. 429.71 of the development of all
estimated values and any associated initial test data.
(ii) For each basic model of integrated CFL when certifying
compliance with general service lamp energy conservation standards, the
testing laboratory's ILAC accreditation body's identification number or
other identification assigned by the ILAC accreditation body, the date
of first manufacture, a statement that the

[[Page 59417]]

compact fluorescent lamp is integrated, the seasoning time in hours
(h), the initial lumen output in lumens (lm), the input power in watts
(W), the initial lamp efficacy in lumens per watt (lm/W), the CCT in
kelvin (K), CRI, the lumen maintenance at 1,000 hours in percent (%),
the lumen maintenance at 40 percent of lifetime in percent (%) (and
whether value is estimated), start time in milliseconds, power factor,
standby mode energy consumption in watts (W), the results of rapid
cycle stress testing in number of units passed, the lifetime in hours
(h) (and whether value is estimated), life in years (and whether value
is estimated), and the number of sample units replaced during the
seasoning period within the sample set used in determining the
represented value. Estimates of lifetime, life, lumen maintenance at 40
percent of lifetime, and rapid cycle stress test surviving units may be
reported (if indicated in the certification report) until testing is
complete. When reporting estimated values, the certification report
must specifically describe the prediction method, which must be
generally representative of the methods specified in appendix W.
Manufacturers are required to maintain records in accordance with Sec.
429.71 of the development of all estimated values and any associated
initial test data.
(iii) For each basic model of non-integrated CFL when certifying
compliance with general service lamp energy conservation standards, the
testing laboratory's ILAC accreditation body's identification number or
other identification assigned by the ILAC accreditation body, the date
of first manufacture, a statement that the compact fluorescent lamp is
non-integrated, the initial lumen output in lumens (lm), the input
power in watts (W), the initial lamp efficacy in lumens per watt (lm/
W), the CCT in kelvin (K), CRI, the lumen maintenance at 40 percent of
lifetime in percent (%) (and whether value is estimated), the lifetime
in hours (h) (and whether value is estimated), and the number of sample
units replaced during the seasoning period within each unique sample
set used in determining the represented value. Estimates of lifetime
and lumen maintenance at 40 percent of lifetime may be reported (if
indicated in the certification report) until testing is complete. When
reporting estimated values, the certification report must specifically
describe the prediction method, which must be generally representative
of the methods specified in appendix W. Manufacturers are required to
maintain records in accordance with Sec. 429.71 of the development of
all estimated values and any associated initial test data.
(c) Rounding requirements. For represented values,
(1) Round input power to the nearest tenth of a watt.
(2) Round lumen output to three significant digits.
(3) Round initial lamp efficacy to the nearest tenth of a lumen per
watt.
(4) Round lumen maintenance at 1,000 hours to the nearest tenth of
a percent.
(5) Round lumen maintenance at 40 percent of lifetime to the
nearest tenth of a percent.
(6) Round CRI to the nearest whole number.
(7) Round power factor to the nearest hundredths place.
(8) Round lifetime to the nearest whole hour.
(9) Round CCT to the nearest 100 kelvin (K).
(10) Round standby mode power to the nearest tenth of a watt; and
(11) Round start time to the nearest whole millisecond.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

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

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

Sec. 430.2 Definitions.

* * * * *
Compact fluorescent lamp (CFL) means an integrated or non-
integrated single-base, low-pressure mercury, electric-discharge source
in which a fluorescing coating transforms some of the ultraviolet
energy generated by the mercury discharge into light; the term does not
include circline or U-shaped lamps.
* * * * *
Correlated color temperature (CCT) means the absolute temperature
of a blackbody whose chromaticity most nearly resembles that of the
light source.
* * * * *
Lifetime of a compact fluorescent lamp means the length of
operating time between first use and failure of 50 percent of the
sample units (as specified in Sec. 429.35(a)(1) of this chapter),
determined in accordance with the test procedures described in section
3.3 of appendix W to subpart B of this part.
* * * * *

0
6. Section 430.3 is amended by:
0
a. Redesignating paragraphs (e)(8) through (19) as paragraphs (e)(9)
through (20), respectively, and adding new paragraph (e)(8);
0
b. Removing ``appendix R'' in paragraphs (l)(1) and (2) and adding in
its place ``appendices R and W'';
0
c. Redesignating paragraph (o)(9) as (o)(13), paragraph (o)(10) as
(o)(14), paragraph (o)(11) as (o)(15), and paragraph (o)(12) as
(o)(16), paragraph (o)(8) as (o)(10), and paragraph (o)(7) as (o)(8),;
0
d. Adding new paragraphs (o)(7), (9), (11), and (12);
0
e. Adding paragraph (p)(7); and
0
f. Removing paragraph (v).
The additions read as follows:

Sec. 430.3 Materials incorporated by reference.

* * * * *
(e) * * *
(8) ANSI C78.901-2014, American National Standard for Electric
Lamps--Single-Based Fluorescent Lamps--Dimensional and Electrical
Characteristics, ANSI approved July 2, 2014; IBR approved for appendix
W to subpart B.
* * * * *
(o) * * *
(7) IES LM-54-12, IES Guide to Lamp Seasoning, approved October 22,
2012; IBR approved for appendix W to subpart B, as follows:
(i) Section 4--Physical/Environmental Test Conditions;
(ii) Section 5--Electrical Test Conditions;
(iii) Section 6--Test Procedure Requirements: Section 6.1--Test
Preparation; and
(iv) Section 6--Test Procedure Requirements, Section 6.2--Seasoning
Test Procedures: Section 6.2.2.1--Discharge Lamps: Discharge Lamps
except T5 fluorescent.
* * * * *
(9) IES LM-65-14, IES Approved Method for Life Testing of Single-
Based Fluorescent Lamps, approved December 30, 2014; IBR approved for
appendix W to subpart B, as follows:
(i) Section 4.0--Ambient and Physical Conditions;
(ii) Section 5.0--Electrical Conditions; and
(iii) Section 6.0--Lamp Test Procedures
* * * * *

[[Page 59418]]

(11) IES LM-66-14, (``IES LM-66''), IES Approved Method for the
Electrical and Photometric Measurements of Single-Based Fluorescent
Lamps, approved December 30, 2014; IBR approved for appendix W to
subpart B, as follows:
(i) Section 4.0--Ambient and Physical Conditions;
(ii) Section 5.0--Power Source Characteristics; and
(iii) Section 6.0--Testing Procedures Requirements.
(12) IESNA LM-78-07, IESNA Approved Method for Total Luminous Flux
Measurement of Lamps Using an Integrating Sphere Photometer, approved
January 28, 2007; IBR approved for appendix W to subpart B.
* * * * *
(p) * * *
(7) IEC 62301, (``IEC 62301-W''), Household electrical appliances--
Measurement of standby power, (Edition 2.0, 2011-01), Section 5--
Measurements, IBR approved for appendix W to subpart B.
* * * * *

0
7. Section 430.23 is amended by revising paragraph (y) to read as
follows:

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

* * * * *
(y) Compact fluorescent lamps. (1) Measure initial lumen output,
input power, initial lamp efficacy, lumen maintenance at 1,000 hours,
lumen maintenance at 40 percent of lifetime of a compact fluorescent
lamp (as defined in 10 CFR 430.2), color rendering index (CRI),
correlated color temperature (CCT), power factor, start time, standby
mode energy consumption, and time to failure in accordance with
appendix W of this subpart. Express time to failure in hours.
(2) Conduct the rapid cycle stress test in accordance with section
3.3 of appendix W 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
incandescent lamps (with the exception of lifetime testing),
incandescent reflector lamps, compact fluorescent lamps, fluorescent
lamp ballasts, and integrated light-emitting diode lamps must be
conducted by test laboratories accredited by an Accreditation Body that
is a signatory member to the International Laboratory Accreditation
Cooperation (ILAC) Mutual Recognition Arrangement (MRA). A
manufacturer's or importer's own laboratory, if accredited, may conduct
the applicable testing.

0
9. Appendix W to subpart B of part 430 is revised to read as follows:

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

Note: Before February 27, 2017, any representations, including
certifications of compliance, made with respect to the energy use or
efficiency of medium base compact fluorescent lamps must be made in
accordance with the results of testing pursuant either to this
appendix, or to the applicable test requirements set forth in 10 CFR
parts 429 and 430 as they appeared in the 10 CFR parts 200 to 499
annual edition revised as of January 1, 2016.
On or after February 27, 2017, any representations, including
certifications of compliance (if required), made with respect to the
energy use or efficiency of CFLs must be made in accordance with the
results of testing pursuant to this appendix.
1. Scope:
1.1. Integrated compact fluorescent lamps.
1.1.1. This appendix specifies the test methods required to
measure the initial lamp efficacy, lumen maintenance at 1,000 hours,
lumen maintenance at 40 percent of lifetime, time to failure, power
factor, correlated color temperature (CCT), color rendering index
(CRI), and start time of an integrated compact fluorescent lamp.
1.1.2. This appendix describes how to conduct rapid cycle stress
testing for integrated compact fluorescent lamps.
1.1.3. This appendix specifies test methods required to measure
standby mode energy consumption applicable to integrated CFLs
capable of operation in standby mode (as defined in Sec. 430.2),
such as those that can be controlled wirelessly.
1.2. Non-integrated compact fluorescent lamps.
1.2.1. This appendix specifies the test methods required to
measure the initial lamp efficacy, lumen maintenance at 40 percent
of lifetime, time to failure, CCT, and CRI for non-integrated
compact fluorescent lamps.
2. Definitions:
2.1. Ballasted adapter means a ballast that is not permanently
attached to a compact fluorescent lamp, has no consumer-replaceable
components, and serves as an adapter by incorporating both a lamp
socket and a lamp base.
2.2. Hybrid compact fluorescent lamp means a compact fluorescent
lamp that incorporates one or more supplemental light sources of
different technology.
2.3. Initial lamp efficacy means the lamp efficacy (as defined
in Sec. 430.2) at the end of the seasoning period, as calculated
pursuant to section 3.2.2.9 of this appendix.
2.4. Integrated compact fluorescent lamp means an integrally
ballasted compact fluorescent lamp that contains all components
necessary for the starting and stable operation of the lamp,
contains an ANSI standard base, does not include any replaceable or
interchangeable parts, and is capable of being connected directly to
a branch circuit through a corresponding ANSI standard lamp-holder
(socket).
2.5. Labeled wattage means the highest wattage marked on the
lamp and/or lamp packaging.
2.6. Lumen maintenance means the lumen output measured at a
given time in the life of the lamp and expressed as a percentage of
the measured initial lumen output.
2.7. Measured initial input power means the input power to the
lamp, measured at the end of the lamp seasoning period, and
expressed in watts (W).
2.8. Measured initial lumen output means the lumen output of the
lamp measured at the end of the lamp seasoning period, expressed in
lumens (lm).
2.9. Non-integrated compact fluorescent lamp means a compact
fluorescent lamp that is not an integrated compact fluorescent lamp.
2.10. Percent variability means the result of dividing the
difference between the maximum and minimum values by the average
value for a contiguous set of separate time-averaged light output
values spanning the specified time period. For a waveform of
measured light output values, the time-averaged light output is
computed over one full cycle of sinusoidal input voltage, as a
moving average where the measurement interval is incremented by one
sample for each successive measurement value.
2.11. Power factor means the measured input power (watts)
divided by the product of the measured RMS input voltage (volts) and
the measured RMS input current (amps).
2.12. Rated input voltage means the voltage(s) marked on the
lamp as the intended operating voltage or, if not marked on the
lamp, 120 V.
2.13. Start plateau means the first 100 millisecond period of
operation during which the percent variability does not exceed 5
percent.
2.14. Start time means the time, measured in milliseconds,
between the application of power to the compact fluorescent lamp and
the beginning of the start plateau.
2.15. Time to failure means the time elapsed between first use
and the point at which the compact fluorescent lamp (for a hybrid
CFL, the primary light source) ceases to produce measureable lumen
output.
3. Active Mode Test Procedures
3.1. General Instructions.
3.1.1. In cases where there is a conflict, the language of the
test procedure in this appendix takes precedence over any materials
incorporated by reference.
3.1.2. Maintain lamp operating orientation throughout seasoning
and testing, including storage and handling between tests.
3.1.3. Season CFLs prior to photometric and electrical testing
in accordance with sections 4, 5, 6.1, and 6.2.2.1 of IES LM-54-12
(incorporated by reference, see Sec. 430.3). Season the CFL for a
minimum of 100 hours in accordance with section 6.2.2.1 of IES LM-
54-12. During the 100 hour seasoning period, cycle the CFL (operate
the lamps for 180 minutes, 20 minutes off) as specified in section
6.4 of IES LM-65-14 (incorporated by reference; see Sec. 430.3).

[[Page 59419]]

3.1.3.1. Unit operating time during seasoning may be counted
toward time to failure, lumen maintenance at 40 percent of lifetime
of a compact fluorescent lamp (as defined in Sec. 430.2), and lumen
maintenance at 1,000 hours if the required operating cycle and test
conditions for time to failure testing per section 3.3.1 of this
appendix are satisfied.
3.1.3.2. If a lamp breaks, becomes defective, fails to
stabilize, exhibits abnormal behavior (such as swirling), or stops
producing light prior to the end of the seasoning period, the lamp
must be replaced with a new unit. If a lamp exhibits one of the
conditions listed in the previous sentence after the seasoning
period, the lamp's measurements must be included in the sample.
Record number of lamps replaced, if any.
3.1.4. Conduct all testing with the lamp operating at labeled
wattage. This requirement applies to all CFLs, including those that
are dimmable or multi-level.
3.1.5. Operate the CFL at the rated input voltage throughout
testing. For a CFL with multiple rated input voltages including 120
volts, operate the CFL at 120 volts. If a CFL with multiple rated
input voltages is not rated for 120 volts, operate the CFL at the
highest rated input voltage.
3.1.6. Test CFLs packaged with ballasted adapters or designed
exclusively for use with ballasted adapters as non-integrated CFLs,
with no ballasted adapter in the circuit.
3.1.7. Conduct all testing of hybrid CFLs with all supplemental
light sources in the lamp turned off, if possible. Before taking
measurements, verify that the lamp has stabilized in the operating
mode that corresponds to its primary light source.
3.2. Test Procedures for Determining Initial Lamp Efficacy,
Lumen Maintenance, CCT, CRI, and Power Factor.
Determine initial lamp efficacy, lumen maintenance at 40 percent
of lifetime of a compact fluorescent lamp (as defined in in Sec.
430.2), CCT, and CRI for integrated and non-integrated CFLs.
Determine lumen maintenance at 1,000 hours and power factor for
integrated CFLs only.
3.2.1. Test Conditions and Setup
3.2.1.1. Test half of the units in the sample in the base up
position, and half of the units in the base down position; if the
position is restricted by the manufacturer, test the units in the
manufacturer-specified position.
3.2.1.2. Establish ambient conditions, power supply, auxiliary
equipment, circuit setup, lamp connections, and instrumentation in
accordance with the specifications in sections (and corresponding
subsections) 4.0, 5.0 and 6.0 of IES LM-66-14 (incorporated by
reference; see Sec. 430.3), except maintain ambient temperature at
25 1 [deg]C (77 1.8[emsp14][deg]F).
3.2.1.3. Non-integrated CFLs must adhere to the reference
ballast requirements in section 5.2 of IES LM-66 (incorporated by
reference; see Sec. 430.3).
3.2.1.3.1. Test non-integrated lamps rated for operation on and
having reference ballast characteristics for either low frequency or
high frequency circuits (e.g., many preheat start lamps) at low
frequency.
3.2.1.3.2. For low frequency operation, test non-integrated
lamps rated for operation on either preheat start (starter) or rapid
start (no starter) circuits on preheat.
3.2.1.3.3. Operate non-integrated CFLs not listed in ANSI
C78.901-2014 (incorporated by reference; see Sec. 430.3) using the
following reference ballast settings:
3.2.1.3.3.1. Operate 25-28 W, T5 twin 2G11-based lamps that are
lower wattage replacements of 40 W, T5 twin 2G11-based lamps using
the following reference ballast settings: 60 Hz, 400 volts, 0.270
amps, and 1240 ohms.
3.2.1.3.3.2. Operate 14-15 W, T4 quad G24q-2-based lamps that
are lower wattage replacements of 18 W, T4 quad G24q-2-based lamps
using the following reference ballast settings: 60 Hz, 220 volts,
0.220 amps, and 815 ohms.
3.2.1.3.3.3. Operate 21 W, T4 quad G24q-3-based lamps that are
lower wattage replacements of 26 W, T4 quad G24q-3-based lamps using
the following reference ballast settings: 60 Hz, 220 volts, 0.315
amps, and 546 ohms.
3.2.1.3.3.4. Operate 21 W, T4 quad G24d-3-based lamps that are
lower wattage replacements of 26 W, T4 quad G24d-3-based lamps using
the following reference ballast settings: 60 Hz, 220 volts, 0.315
amps, and 546 ohms.
3.2.1.3.3.5. Operate 21 W, T4 multi (6) GX24q-3-based lamps that
are lower wattage replacements of 26 W, T4 multi (6) GX24q-3-based
lamps using the following reference ballast settings: 60 Hz, 220
volts, 0.315 amps, and 546 ohms.
3.2.1.3.3.6. Operate 27-28 W, T4 multi (6) GX24q-3-based lamps
that are lower wattage replacements of 32 W, T4 multi (6) GX24q-3-
based lamps using the following reference ballast settings: 20-26
kHz, 200 volts, 0.320 amps, and 315 ohms.
3.2.1.3.3.7. Operate 33-38 W, T4 multi (6) GX24q-4-based lamps
that are lower wattage replacements of 42 W, T4 multi (6) GX24q-4-
based lamps using the following reference ballast settings: 20-26
kHz, 270 volts, 0.320 amps, and 420 ohms.
3.2.1.3.3.8. Operate 10 W, T4 square GR10q-4-based lamps using
the following reference ballast settings: 60 Hz, 236 volts, 0.165
amps, and 1,200 ohms.
3.2.1.3.3.9. Operate 16 W, T4 square GR10q-4-based lamps using
the following reference ballast settings: 60 Hz, 220 volts, 0.195
amps, and 878 ohms.
3.2.1.3.3.10. Operate 21 W, T4 square GR10q-4-based lamps using
the following reference ballast settings: 60 Hz, 220 volts, 0.260
amps, and 684 ohms.
3.2.1.3.3.11. Operate 28 W, T6 square GR10q-4-based lamps using
the following reference ballast settings: 60 Hz, 236 volts, 0.320
amps, and 578 ohms.
3.2.1.3.3.12. Operate 38 W, T6 square GR10q-4-based lamps using
the following reference ballast settings: 60 Hz, 236 volts, 0.430
amps, and 439 ohms.
3.2.1.3.3.13. Operate 55 W, T6 square GRY10q-3-based lamps using
the following reference ballast settings: 60 Hz, 236 volts, 0.430
amps, and 439 ohms.
3.2.1.3.3.14. For all other lamp designs not listed in ANSI
C78.901-2014 (incorporated by reference; see Sec. 430.3) or section
3.2.1.3.3 of this appendix:
3.2.1.3.3.14.1. If the lamp is a lower wattage replacement of a
lamp with specifications in ANSI C78.901-2014, use the reference
ballast characteristics of the corresponding higher wattage lamp
replacement in ANSI C78.901-2014.
3.2.1.3.3.14.2. For all other lamps, use the reference ballast
characteristics in ANSI C78.901-2014 for a lamp with the most
similar shape, diameter, and base specifications, and next closest
wattage.
3.2.2. Test Methods, Measurements, and Calculations
3.2.2.1. Season CFLs. (See section 3.1.3 of this appendix.)
3.2.2.2. Stabilize CFLs as specified in section 6.2.1 of IES LM-
66 (incorporated by reference; see Sec. 430.3).
3.2.2.3. Measure the input power (in watts), the input voltage
(in volts), and the input current (in amps) as specified in section
5.0 of IES LM-66 (incorporated by reference; see Sec. 430.3).
3.2.2.4. Measure initial lumen output as specified in section
6.3.1 of IES LM-66 (incorporated by reference; see Sec. 430.3) and
in accordance with IESNA LM-78-07 (incorporated by reference; see
Sec. 430.3).
3.2.2.5. Measure lumen output at 1,000 hours as specified in
section 6.3.1 of IES LM-66 (incorporated by reference; see Sec.
430.3) and in accordance with IESNA LM-78-07 (incorporated by
reference; see Sec. 430.3).
3.2.2.6. Measure lumen output at 40 percent of lifetime of a
compact fluorescent lamp (as defined in 10 CFR 430.2) as specified
in section 6.3.1 of IES LM-66 (incorporated by reference; see Sec.
430.3) and in accordance with IESNA LM-78-07 (incorporated by
reference; see Sec. 430.3).
3.2.2.7. Determine CCT as specified in section 6.4 of IES LM-66
(incorporated by reference; see Sec. 430.3) and in accordance with
CIE 15 (incorporated by reference; see Sec. 430.3).
3.2.2.8. Determine CRI as specified in section 6.4 of IES LM-66
(incorporated by reference; see Sec. 430.3) and in accordance with
CIE 13.3 (incorporated by reference; see Sec. 430.3).
3.2.2.9. Determine initial lamp efficacy by dividing measured
initial lumen output by the measured initial input power.
3.2.2.10. Determine lumen maintenance at 1,000 hours by dividing
measured lumen output at 1,000 hours by the measured initial lumen
output.
3.2.2.11. Determine lumen maintenance at 40 percent of lifetime
of a compact fluorescent lamp (as defined in Sec. 430.2) by
dividing measured lumen output at 40 percent of lifetime of a
compact fluorescent lamp (as defined in Sec. 430.2) by the measured
initial lumen output.
3.2.2.12. Determine power factor by dividing the measured input
power (watts) by the product of measured RMS input voltage (volts)
and measured RMS input current (amps).
3.3. Test Method for Time to Failure and Rapid Cycle Stress
Test.
Determine time to failure for integrated and non-integrated
CFLs. Conduct rapid cycle stress testing for integrated CFLs only.
Disregard section 3.0 of IES LM-65-14.
3.3.1. Test Conditions and Setup

[[Page 59420]]

3.3.1.1. Test half of the units in the base up position and half
of the units in the base down position; if the position is
restricted by the manufacturer, test in the manufacturer-specified
position.
3.3.1.2. Establish the ambient and physical conditions and
electrical conditions in accordance with the specifications in
sections 4.0 and 5.0 of IES LM-65-14 (incorporated by reference; see
Sec. 430.3). Do not, however, test lamps in fixtures or luminaires.
3.3.1.3. Non-integrated CFLs must adhere to ballast requirements
as specified in section 3.2.1.3 of this appendix.
3.3.2. Test Methods and Measurements
3.3.2.1. Season CFLs. (See section 3.1.3 of this appendix.)
3.3.2.2. Measure time to failure of CFLs as specified in section
6.0 of IES LM-65-14 (incorporated by reference; see Sec. 430.3).
3.3.2.3. Conduct rapid cycle stress testing of integrated CFLs
as specified in section 6.0 of IES LM-65-14 (incorporated by
reference; see Sec. 430.3), except cycle the lamp continuously with
each cycle consisting of one 5-minute ON period followed by one 5-
minute OFF period.
3.4. Test Method for Start Time.
Determine start time for integrated CFLs only.
3.4.1. Test Conditions and Setup
3.4.1.1. Test all units in the base up position; if the position
is restricted by the manufacturer, test units in the manufacturer-
specified position.
3.4.1.2. Establish the ambient conditions, power supply,
auxiliary equipment, circuit setup, lamp connections, and
instrumentation in accordance with the specifications in sections
4.0 and 5.0 of IES LM-66 (incorporated by reference; see Sec.
430.3), except maintain ambient temperature at 25 1
[deg]C (77 1.8[emsp14][deg]F).
3.4.2. Test Methods and Measurement
3.4.2.1. Season CFLs. (See section 3.1.3 of this appendix.)
3.4.2.2. After seasoning, store units at 25 5
[deg]C ambient temperature for a minimum of 16 hours prior to the
test, after which the ambient temperature must be 25 1
[deg]C for a minimum of 2 hours immediately prior to the test. Any
units that have been off for more than 24 hours must be operated for
a minimum of 3.0 hours and then be turned off for 16 to 24 hours
prior to testing.
3.4.2.3. Connect multichannel oscilloscope with data storage
capability to record input voltage to CFL and light output. Set
oscilloscope to trigger at 10 V lamp input voltage. Set oscilloscope
vertical scale such that vertical resolution is 1 percent of
measured initial light output or finer. Set oscilloscope to sample
the light output waveform at a minimum rate of 2 kHz.
3.4.2.4. Operate the CFL at the rated voltage and frequency.
3.4.2.5. Upon the commencement of start time testing, record
sampled light output until start plateau has been determined.
3.4.2.6. Calculate the time-averaged light output value at least
once every millisecond where the time-averaged light output is
computed over one full cycle of sinusoidal input voltage, as a
moving average where the measurement interval is incremented by one
sample for each successive measurement value.
3.4.2.7. Determine start time.
4. Standby Mode Test Procedure
Measure standby mode energy consumption for only integrated CFLs
that are capable of operating in standby mode. The standby mode test
method in this section may be completed before or after the active
test method for determining lumen output, input power, CCT, CRI, and
power factor in section 3 of this appendix. The standby mode test
method in this section must be completed before the active mode test
method for determining time to failure in section 3.3 of this
appendix. The standby mode test method must be completed in
accordance with applicable provisions in section 3.1.
4.1. Test Conditions and Setup
4.1.1. Position half of the units in the sample in the base up
position and half of the units in the base down position; if the
position is restricted by the manufacturer, test units in the
manufacturer-specified position.
4.1.2. Establish the ambient conditions (including air flow),
power supply, electrical settings, and instrumentation in accordance
with the specifications in sections 4.0, 5.0 and 6.0 of IES LM-66
(incorporated by reference; see Sec. 430.3), except maintain
ambient temperature at 25 1 [deg]C (77
1.8[emsp14][deg]F).
4.2. Test Methods, Measurements, and Calculations
4.2.1. Season CFLs. (See section 3.1.3 of this appendix.)
4.2.2. Connect the integrated CFL to the manufacturer-specified
wireless control network (if applicable) and configure the
integrated CFL in standby mode by sending a signal to the integrated
CFL instructing it to have zero light output. The integrated CFL
must remain connected to the network throughout the entire duration
of the test.
4.2.3. Stabilize the integrated CFL prior to measurement as
specified in section 5 of IEC 62301-W (incorporated by reference;
see Sec. 430.3).
4.2.4. Measure the standby mode energy consumption in watts as
specified in section 5 of IEC 62301-W (incorporated by reference;
see Sec. 430.3).

0
10. Section 430.32 is amended by revising paragraph (u) to read as
follows:

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

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

------------------------------------------------------------------------
Factor Requirements
------------------------------------------------------------------------
Labeled Wattage (Watts) & Configuration Measured initial lamp efficacy
\*\. (lumens per watt) must be at
least:
Bare Lamp:
Labeled Wattage < 15............... 45.0.
Labeled Wattage >= 15.............. 60.0.
Covered Lamp (no reflector):
Labeled Wattage < 15............... 40.0.
15 <= Labeled Wattage < 19......... 48.0.
19 <= Labeled Wattage < 25......... 50.0.
Labeled Wattage >= 25.............. 55.0.
Lumen Maintenance at 1,000 Hours....... >=90.0%.
Lumen Maintenance at 40 Percent of >=80.0%.
Lifetime **.
Rapid Cycle Stress Test................ Each lamp must be cycled once
for every 2 hours of
lifetime.** At least 5 lamps
must meet or exceed the
minimum number of cycles.
Lifetime **............................ >=6,000 hours.
------------------------------------------------------------------------
* Use labeled wattage to determine the appropriate efficacy requirements
in this table; do not use measured wattage for this purpose.
** Lifetime refers to lifetime of a compact fluorescent lamp as defined
in 10 CFR 430.2.

(2) [Reserved].
* * * * *
[FR Doc. 2016-19967 Filed 8-26-16; 8:45 am]
BILLING CODE 6450-01-P

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.