Energy Conservation Program: Test Procedures for Integrated Light-Emitting Diode Lamps, 76877-76882 [2016-26681]
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76877
Proposed Rules
Federal Register
Vol. 81, No. 214
Friday, November 4, 2016
This section of the FEDERAL REGISTER
contains notices to the public of the proposed
issuance of rules and regulations. The
purpose of these notices is to give interested
persons an opportunity to participate in the
rule making prior to the adoption of the final
rules.
DEPARTMENT OF ENERGY
10 CFR Part 430
[Docket No. EERE–2016–BT–TP–0037]
RIN 1904–AD74
Energy Conservation Program: Test
Procedures for Integrated LightEmitting Diode Lamps
Office of Energy Efficiency and
Renewable Energy, Department of
Energy.
ACTION: Notice of proposed rulemaking.
AGENCY:
On July 1, 2016, the U.S.
Department of Energy (DOE) published
a final rule adopting a test procedure for
integrated light-emitting diode (LED)
lamps (hereafter referred to as ‘‘LED
lamps’’) to support the implementation
of labeling provisions by the Federal
Trade Commission, as well as the
ongoing general service lamps
rulemaking, which includes LED lamps.
This notice of proposed rulemaking
(NOPR) proposes to amend the LED
lamps test procedure by allowing for
time to failure measurements to be taken
at elevated temperatures.
DATES: DOE will accept comments, data,
and information regarding this NOPR no
later than December 5, 2016. See section
V, ‘‘Public Participation,’’ for details.
ADDRESSES: Any comments submitted
must identify the Test Procedure NOPR
for Integrated LED Lamps, and provide
docket number EERE–2016–BT–TP–
0037 and/or regulatory information
number (RIN) 1904–AD74. Comments
may be submitted using any of the
following methods:
1. Federal eRulemaking Portal:
www.regulations.gov. Follow the
instructions for submitting comments.
2. Email:
LEDLamps2016TP0037@ee.doe.gov.
Include the docket number EERE–2016–
BT–TP–0037 and/or RIN 1904–AD74 in
the subject line of the message.
3. Postal Mail: Appliance and
Equipment Standards Program, U.S.
Department of Energy, Building
Technologies Office, Mailstop EE–2J,
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SUMMARY:
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1000 Independence Avenue SW.,
Washington, DC, 20585–0121. If
possible, please submit all items on a
compact disc (CD), in which case it is
not necessary to include printed copies.
4. Hand Delivery/Courier: Appliance
and Equipment Standards Program, U.S.
Department of Energy, Building
Technologies Office, 950 L’Enfant Plaza
SW., Suite 600, Washington, DC, 20024.
Telephone: (202) 586–6636. If possible,
please submit all items on a CD, in
which case it is not necessary to include
printed copies.
For detailed instructions on
submitting comments and additional
information on the rulemaking process,
see section V of this NOPR, ‘‘Public
Participation.’’
DOCKET: The docket, which includes
Federal Register notices, 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/
standards.aspx?productid=19. The
docket Web page contains simple
instructions on how to access all
documents, including public comments,
in the docket. See section V, ‘‘Public
Participation,’’ for information on how
to submit comments through
www.regulations.gov.
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:
ApplianceStandardsQuestions@ee.doe.
gov.
Ms. Celia Sher, U.S. Department of
Energy, Office of the General Counsel,
GC–33, 1000 Independence Avenue
SW., Washington, DC, 20585–0121.
Telephone: (202) 287–6122. Email:
Celia.Sher@hq.doe.gov.
FOR FURTHER INFORMATION CONTACT:
II. Synopsis of the Notice of Proposed
Rulemaking
III. Discussion
A. Scope of Applicability
B. Proposed Amendment to Approach for
Determining Lifetime
C. Effective and Compliance Dates
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility
Act
C. Review Under the Paperwork Reduction
Act of 1995
D. Review Under the National
Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates
Reform Act of 1995
H. Review Under the Treasury and General
Government Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General
Government Appropriations Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal
Energy Administration Act of 1974
V. Public Participation
A. Submission of Comments
B. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary
I. Authority and Background
Title III of the Energy Policy and
Conservation Act of 1975 (42 U.S.C.
6291, et seq.; ‘‘EPCA’’ or ‘‘the Act’’) sets
forth a variety of provisions designed to
improve energy efficiency.1 Part B of
title III, which for editorial reasons was
redesignated as Part A upon
incorporation into the U.S. Code (42
U.S.C. 6291–6309, as codified),
establishes the ‘‘Energy Conservation
Program for Consumer Products Other
Than Automobiles.’’ These consumer
products include integrated lightemitting diode (LED) lamps, the subject
of this notice of proposed rulemaking
(NOPR).
Under EPCA, the energy conservation
program consists essentially of four
parts: (1) Testing, (2) labeling, (3)
Federal energy conservation standards,
and (4) certification and enforcement
procedures. The testing requirements
consist of test procedures that
manufacturers of covered products must
use as the basis for (1) certifying to DOE
that their products comply with the
applicable energy conservation
standards adopted under EPCA (42
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Authority and Background
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1 All references to EPCA refer to the statute as
amended through the Energy Efficiency
Improvement Act of 2015, Public Law 114–11
(April 30, 2015).
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U.S.C. 6295(s)), and (2) making
representations about the energy use or
efficiency of those products (42 U.S.C.
6293(c)). Similarly, DOE must use these
test procedures to determine whether
the products comply with any relevant
standards promulgated under EPCA. (42
U.S.C. 6295(s))
Under 42 U.S.C. 6293, EPCA sets forth
the criteria and procedures DOE must
follow when prescribing or amending
test procedures for covered products.
EPCA provides, in relevant part, that
any test procedures prescribed or
amended under this section shall be
reasonably designed to produce test
results which measure energy
efficiency, energy use or estimated
annual operating cost of a covered
product during a representative average
use cycle or period of use and shall not
be unduly burdensome to conduct. (42
U.S.C. 6293(b)(3))
In addition, if DOE determines that a
test procedure amendment is warranted,
it must publish proposed test
procedures and offer the public an
opportunity to present oral and written
comments on them. (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 any
covered product as determined under
the existing test procedure. (42 U.S.C.
6293(e)(1)) If DOE determines that the
amended test procedure would alter the
measured efficiency of a covered
product, DOE must amend the
applicable energy conservation standard
accordingly. (42 U.S.C. 6293(e)(2))
DOE published a final rule in the
Federal Register on July 1, 2016
(hereafter the ‘‘July 2016 LED TP final
rule’’), which adopted test procedures
for integrated LED lamps in Appendix
BB to support the implementation of
labeling provisions by the Federal Trade
Commission, as well as the ongoing
general service lamps rulemaking, a
category of lamps that includes LED
lamps. 81 FR at 43404. In this notice,
DOE proposes to amend the test
procedures for integrated LED lamps.
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II. Synopsis of the Notice of Proposed
Rulemaking
In this NOPR, DOE proposes to amend
the test procedures for integrated LED
lamps with regard to the time to failure
test method. Based on stakeholder
feedback since the publication of the
July 2016 LED TP final rule, DOE is
proposing to allow time to failure
measurements collected for DOE’s LED
lamps test procedure to be taken at
elevated temperatures.
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Any amended test procedure adopted
in this rulemaking will be effective as
the applicable DOE test procedure
beginning 30 days after publication of a
final rule in the Federal Register.
Representations of energy use or energy
efficiency must be based on testing in
accordance with this rulemaking, if
adopted, beginning 180 days after the
publication of a test procedure final
rule. DOE notes that testing done in
accordance with the current test
procedure would also be in accordance
with the amended test procedure
proposed here.
III. Discussion
A. Scope of Applicability
EPCA defines an LED as a p-n
junction 2 solid-state device, the
radiated output of which, either in the
infrared region, visible region, or
ultraviolet region, is a function of the
physical construction, material used,
and exciting current of the device. (42
U.S.C. 6291(30)(CC)) In the July 2016
LED TP final rule, DOE stated that the
rulemaking applied to LED lamps that
met DOE’s adopted definition of an
integrated LED lamp, which was based
on the term as defined by ANSI/IES RP–
16–2010, ‘‘Nomenclature and
Definitions for Illuminating
Engineering,’’ and adopted as follows:
Integrated light-emitting diode lamp
means an integrated LED lamp as
defined in ANSI/IES RP–16
(incorporated by reference; see § 430.3).
The ANSI/IES standard defines an
integrated LED lamp as an integrated
assembly that comprises LED packages
(components) or LED arrays (modules)
(collectively referred to as an LED
source), an LED driver, an ANSI
standard base, and other optical,
thermal, mechanical and electrical
components (such as phosphor layers,
insulating materials, fasteners to hold
components within the lamp together,
and electrical wiring). The LED lamp is
intended to connect directly to a branch
circuit through a corresponding ANSI
standard socket. 81 FR 43403, 43405
(July 1, 2016). This NOPR proposes to
amend the test procedures for integrated
LED lamps.
B. Proposed Amendment To Approach
for Determining Lifetime
In the July 2016 LED TP final rule,
DOE adopted test procedures, located in
appendix BB to subpart B of 10 CFR part
430, for measuring and projecting time
2 P-n junction is the boundary between p-type
and n-type material in a semiconductor device,
such as LEDs. P-n junctions are diodes, active sites
where current can flow readily in one direction but
not in the other direction.
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to failure of LED lamps based on lumen
maintenance data. The adopted test
procedures were largely based on the
industry standards IES LM–84–14,
‘‘Approved Method: Measuring
Luminous Flux and Color Maintenance
of LED Lamps, Light Engines, and
Luminaires,’’ and IES TM–28–14,
‘‘Projecting Long-Term Luminous Flux
Maintenance of LED Lamps and
Luminaires,’’ for the applicable lumen
maintenance measurements and time to
failure projection methods, with some
modifications. 81 FR 43403, 43427–
43428 (July 1, 2016). IES LM–84–14
provides a method for lumen
maintenance measurement of integrated
LED lamps and specifies the operational
and environmental conditions during
testing such as operating cycle, ambient
temperature, airflow, and orientation.
Lumen maintenance is the measure of
lumen output after an elapsed operating
time, expressed as a percentage of the
initial lumen output. IES TM–28–14
provides methods for projecting the
lumen maintenance of integrated LED
lamps depending on the available data
and test duration. The provided
methods include projecting time to
failure using multiple lumen
maintenance measurements collected
over a period of time, rather than a
single measurement at the end of the
test duration. 81 FR at 43409 (July 1,
2016). The adopted test procedure
requires that the projection calculation
be completed for each individual LED
lamp and the projected time to failure
values then be used to calculate the
lifetime of the sample using the
prescribed methods. 81 FR at 43414
(July 1, 2016). The lumen maintenance
measurements used in the projection are
to be taken at an ambient temperature of
25 °C ± 5 °C.
Since the publication of the July 2016
LED TP final rule, DOE received a
request from the National Electrical
Manufacturers Association (NEMA) to
approve the use of test results from the
Elevated Temperature Life Test 3
contained in the ENERGY STAR
Program Requirements Product
Specification for Lamps (Light Bulbs)
Eligibility Criteria Version 2.0 (hereafter
‘‘ENERGY STAR Lamps Specification
V2.0’’) 4 in place of the test method for
measuring lumen maintenance and time
to failure in DOE’s LED lamps test
3 The ENERGY STAR Elevated Temperature Life
Test Method can be found at https://
www.energystar.gov/sites/default/files/ENERGY%
20STAR%20Elevated%20Temperature
%20Life%20Test%20Method.pdf.
4 ‘‘ENERGY STAR Program Requirements:
Product Specification for Lamps (Light Bulbs)
Version 2.0.’’ U.S. Environmental Protection
Agency, February 2016.
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procedure in order to reduce test
burden. NEMA asserted that because the
test conditions from the Elevated
Temperature Life Test are more
stringent, the test results, if any
different, would be more conservative
than if the lamps were tested according
to the current DOE LED lamps test
procedure. (NEMA, No. 48 at p. 1).
DOE agrees that the operating
temperature test conditions specified in
the ENERGY STAR Elevated
Temperature Life Test will more
negatively affect performance values
than those prescribed in DOE’s LED
lamps test procedure since the Elevated
Temperature Life Test requires testing of
LED lamps at higher ambient
temperatures. Specifically, the Elevated
Temperature Life Test requires
directional lamps with rated wattages
less than or equal to 20 W to be tested
at 45 °C ± 5 °C; directional lamps with
rated wattages greater than 20 W to be
tested at 55 °C ± 5 °C; and all other
omnidirectional and decorative lamps to
be tested at 45 °C ± 5 °C. DOE’s test
procedure requires operating
temperature to be maintained at 25 °C
± 5 °C. The Elevated Temperature Life
Test applies only to lamps that do not
have a ‘‘not for use in totally enclosed
or recessed luminaires’’ statement (or an
equivalent statement) on the lamp label.
In addition to a difference in ambient
temperature during lumen maintenance
testing, ENERGY STAR’s and DOE’s test
procedures also differ in how to
determine the value of lifetime.
ENERGY STAR’s test procedure
provides a method to confirm a
manufacturer-declared lifetime value. It
requires manufacturers to meet or
exceed minimum lumen maintenance
values at a specific test duration to be
able to claim a certain maximum
lifetime. For example, for a lamp to be
certified with a lifetime of 25,000 hours,
that lamp must achieve a minimum
lumen maintenance of 91.8% after 6,000
hours of operation. DOE’s test procedure
for determining lifetime depends on the
time to failure of individual units,
which is determined by taking lumen
maintenance measurements at multiple
intervals and then calculating the time
to failure. For example, after 6,000
hours of testing, manufacturers can use
the specified method to project a lamp’s
time to failure value to be up to 36,000
hours. Lifetime is then determined by
calculating 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). This is
consistent with the statutory definition
of lifetime, which is described as the
length of operating time of a statistically
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large group of lamps between first use
and failure of 50 percent of the group.
42 U.S.C. 6291(30)(P).
To maintain consistency with the
statutory definition of lifetime, DOE is
not allowing for an entire substitution of
the ENERGY STAR lifetime test
procedure in place of DOE’s time to
failure measurements. Instead, DOE is
proposing in this NOPR to amend
section 4.4.4 of appendix BB to allow
time to failure testing to be conducted
at elevated temperatures above the
current requirement, which stipulates to
maintain ambient operating temperature
at 25 °C ± 5 °C. Manufacturers would
then have the flexibility to conduct the
Elevated Temperature Life Test for
ENERGY STAR, while also following
the calculation method for DOE’s LED
lamps test procedure, and avoid test
duplication. LED lamps are sensitive to
changes in ambient temperature,
generally performing less favorably at
higher temperatures. DOE believes this
proposed change will result in, if any
difference, more conservative
representations of lifetime.
DOE requests comment on the
proposed amendment to the integrated
LED lamps test procedure to allow
testing for time to failure, as prescribed
in section 4 of appendix BB to subpart
B of 10 CFR part 430, to be conducted
at elevated temperatures.
C. Effective and Compliance Dates
If adopted, the effective date for the
proposed test procedure amendments
would be 30 days after publication of
the final rule in the Federal Register.
Pursuant to EPCA, manufacturers of
covered products must use the test
procedure as the basis for determining
that their products comply with any
applicable energy conservation and for
making representations about the
efficiency of those products. (42 U.S.C.
6293(c); 42 U.S.C. 6295(s)) For those
energy efficiency or consumption
metrics covered by the DOE test
procedure, manufacturers must make
representations in accordance with the
DOE test procedure beginning 180 days
after publication of the final rule in the
Federal Register.
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
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the Executive Order by the Office of
Information and Regulatory Affairs
(OIRA) in the OMB.
B. Review Under the Regulatory
Flexibility Act
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) requires preparation
of an initial regulatory flexibility
analysis (IRFA) for any rule that by law
must be proposed for public comment,
unless the agency certifies that the rule,
if promulgated, will not have a
significant economic impact on a
substantial number of small entities. As
required by Executive Order 13272,
‘‘Proper Consideration of Small Entities
in Agency Rulemaking,’’ 67 FR 53461
(August 16, 2002), DOE published
procedures and policies on February 19,
2003 to ensure that the potential
impacts of its rules on small entities are
properly considered during the DOE
rulemaking process. 68 FR 7990. DOE
has made its procedures and policies
available on the Office of the General
Counsel’s Web site: http://energy.gov/
gc/office-general-counsel.
DOE reviewed the amended test
procedures for LED lamps proposed in
this NOPR under the provisions of the
Regulatory Flexibility Act (RFA) and the
procedures and policies published on
February 19, 2003. DOE certifies that the
proposed rule, if adopted, would not
have a significant economic impact on
a substantial number of small entities.
The factual basis for this certification is
set forth in the following paragraphs.
The Small Business Administration
(SBA) considers a business entity to be
a small business, if, together with its
affiliates, it employs less than a
threshold number of workers specified
in 13 CFR part 121. These size standards
and codes are established by the North
American Industry Classification
System (NAICS). Manufacturing of LED
lamps 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.
To estimate the number of companies
that could be small businesses that sell
LED lamps covered by this rulemaking,
DOE conducted a market survey using
publicly available information. DOE’s
research involved information from the
Environmental Protection Agency’s
ENERGY STAR Certified Light Bulbs
Database,5 LED Lighting Facts
5 ENERGY STAR Certified Light Bulbs Database,
https://www.energystar.gov/productfinder/product/
certified-light-bulbs/results (last accessed October
19, 2016).
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Database,6 previous rulemakings,
individual company Web sites, SBA’s
database, and market research tools
(e.g., Hoover’s reports). DOE screened
out companies that did not meet the
definition of a ‘‘small business’’ or are
completely foreign owned and operated.
DOE identified approximately seven
small businesses that maintain domestic
production facilities for the integrated
LED lamps covered by this rulemaking.
DOE notes that this proposed rule
merely seeks to amend the existing LED
test procedure in a way that would
reduce test burden on manufacturers.
The proposed amendment would reduce
the instances in which two tests for
lifetime must be conducted for the same
lamp. In addition, the proposal is
supported by industry, including
NEMA. Manufacturers that would seek
to test time to failure at elevated
temperatures under the proposed
amendment, if adopted, are likely to
have previously accounted for testing
costs associated with the ENERGY
STAR program as these measurements
are required to be reported to ENERGY
STAR if manufacturers certify the lamps
as meeting the program requirements.
For manufacturers who do not test
products at elevated temperatures, this
proposed amendment presents no
additional burden.
For these reasons, DOE tentatively
concludes and certifies that the
proposed amendment in this NOPR
would not have a significant economic
impact on a substantial number of small
entities, and the preparation of an IRFA
is not warranted. DOE will transmit the
certification and supporting statement
of factual basis to the Chief Counsel for
Advocacy of the SBA for review under
5 U.S.C. 605(b).
C. Review Under the Paperwork
Reduction Act of 1995
Manufacturers of LED lamps 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 LED lamps. (See generally 10
CFR part 429.) The collection-ofinformation requirement for the
certification and recordkeeping is
6 DOE’s LED Lighting Facts Database, http://
www.lightingfacts.com/products (last accessed
October 19, 2016).
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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 must any person be
subject to a penalty for failure to comply
with, a collection of information subject
to the requirements of the PRA, unless
that collection of information displays a
currently valid OMB control number.
D. Review Under the National
Environmental Policy Act of 1969
In this proposed rule, DOE is
proposing an amendment to the test
procedure for LED lamps that will be
used to support the ongoing general
service lamps energy conservation
standards rulemaking as well as the
FTC’s Lighting Facts labeling program.
DOE has determined that this rule falls
into a class of actions that are
categorically excluded from review
under the National Environmental
Policy Act of 1969 (42 U.S.C. 4321 et
seq.) and DOE’s implementing
regulations at 10 CFR part 1021.
Specifically, this proposed rule would
amend the existing test procedure for
integrated LED lamps 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
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ensure meaningful and timely input by
State and local officials in the
development of regulatory policies that
have Federalism implications. On
March 14, 2000, DOE published a
statement of policy describing the
intergovernmental consultation process
it will follow in the development of
such regulations. 65 FR 13735. DOE has
examined this proposed rule and has
determined that it will not have a
substantial direct effect on the States, on
the relationship between the national
government and the States, or on the
distribution of power and
responsibilities among the various
levels of government. EPCA governs and
prescribes Federal preemption of State
regulations as to energy conservation for
the products that are the subject of this
proposed rule. States can petition DOE
for exemption from such preemption to
the extent, and based on criteria, set
forth in EPCA. (42 U.S.C. 6297(d)) No
further action is required by Executive
Order 13132.
F. Review Under Executive Order 12988
Regarding the review of existing
regulations and the promulgation of
new regulations, section 3(a) of
Executive Order 12988, ‘‘Civil Justice
Reform,’’ 61 FR 4729 (Feb. 7, 1996),
imposes on Federal agencies the general
duty to adhere to the following
requirements: (1) Eliminate drafting
errors and ambiguity, (2) write
regulations to minimize litigation, (3)
provide a clear legal standard for
affected conduct rather than a general
standard, and (4) promote simplification
and burden reduction. Section 3(b) of
Executive Order 12988 specifically
requires that Executive agencies make
every reasonable effort to ensure that the
regulation (1) clearly specifies the
preemptive effect, if any, (2) clearly
specifies any effect on existing Federal
law or regulation, (3) provides a clear
legal standard for affected conduct
while promoting simplification and
burden reduction, (4) specifies the
retroactive effect, if any, (5) adequately
defines key terms, and (6) addresses
other important issues affecting clarity
and general draftsmanship under any
guidelines issued by the Attorney
General. Section 3(c) of Executive Order
12988 requires Executive agencies to
review regulations in light of applicable
standards in sections 3(a) and 3(b) to
determine whether they are met or it is
unreasonable to meet one or more of
them. DOE has completed the required
review and determined that, to the
extent permitted by law, the proposed
rule meets the relevant standards of
Executive Order 12988.
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G. Review Under the Unfunded
Mandates Reform Act of 1995
Title II of the Unfunded Mandates
Reform Act of 1995 (UMRA) requires
each Federal agency to assess the effects
of Federal regulatory actions on State,
local, and Tribal governments and the
private sector. Public Law 104–4, sec.
201 (codified at 2 U.S.C. 1531). For a
proposed regulatory action resulting in
a rule that may cause the expenditure by
State, local, and Tribal governments, in
the aggregate, or by the private sector of
$100 million or more in any one year
(adjusted annually for inflation), section
202 of UMRA requires a Federal agency
to publish a written statement that
estimates the resulting costs, benefits,
and other effects on the national
economy. (2 U.S.C. 1532(a), (b)) The
UMRA also requires a Federal agency to
develop an effective process to permit
timely input by elected officers of State,
local, and Tribal governments on a
proposed ‘‘significant intergovernmental
mandate,’’ and requires an agency plan
for giving notice and opportunity for
timely input to potentially affected
small governments before establishing
any requirements that might
significantly or uniquely affect small
governments. On March 18, 1997, DOE
published a statement of policy on its
process for intergovernmental
consultation under UMRA. 62 FR
12820; also available at http://
energy.gov/gc/office-general-counsel.
DOE examined this proposed rule
according to UMRA and its statement of
policy and determined that the rule
contains neither an intergovernmental
mandate, nor a mandate that may result
in the expenditure of $100 million or
more in any year, so these requirements
do not apply.
rmajette on DSK2TPTVN1PROD with PROPOSALS
H. Review Under the Treasury and
General Government Appropriations
Act, 1999
Section 654 of the Treasury and
General Government Appropriations
Act, 1999 (Public Law 105–277) requires
Federal agencies to issue a Family
Policymaking Assessment for any rule
that may affect family well-being. This
rule would not have any impact on the
autonomy or integrity of the family as
an institution. Accordingly, DOE has
concluded that it is not necessary to
prepare a Family Policymaking
Assessment.
I. Review Under Executive Order 12630
DOE has determined, under Executive
Order 12630, ‘‘Governmental Actions
and Interference with Constitutionally
Protected Property Rights’’ 53 FR 8859
(March 18, 1988), that this regulation
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would not result in any takings that
might require compensation under the
Fifth Amendment to the U.S.
Constitution.
J. Review Under Treasury and General
Government Appropriations Act, 2001
Section 515 of the Treasury and
General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides
for agencies to review most
disseminations of information to the
public under guidelines established by
each agency pursuant to general
guidelines issued by OMB. OMB’s
guidelines were published at 67 FR
8452 (Feb. 22, 2002), and DOE’s
guidelines were published at 67 FR
62446 (Oct. 7, 2002). DOE has reviewed
this proposed rule under the OMB and
DOE guidelines and has concluded that
it is consistent with applicable policies
in those guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, ‘‘Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use,’’ 66 FR 28355 (May
22, 2001), requires Federal agencies to
prepare and submit to OMB, a
Statement of Energy Effects for any
significant energy action. A ‘‘significant
energy action’’ is defined as any action
by an agency that promulgated or is
expected to lead to promulgation of a
final rule, and that (1) is a significant
regulatory action under Executive Order
12866, or any successor order; and (2)
is likely to have a significant adverse
effect on the supply, distribution, or use
of energy; or (3) is designated by the
Administrator of OIRA as a significant
energy action. For any proposed
significant energy action, the agency
must give a detailed statement of any
adverse effects on energy supply,
distribution, or use if the regulation is
implemented, and of reasonable
alternatives to the action and their
expected benefits on energy supply,
distribution, and use.
This regulatory action to propose an
amended test procedure for measuring
the lumen maintenance and time to
failure of LED lamps 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.
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L. Review Under Section 32 of the
Federal Energy Administration Act of
1974
Under section 301 of the Department
of Energy Organization Act (Public Law
95–91; 42 U.S.C. 7101), DOE must
comply with section 32 of the Federal
Energy Administration Act of 1974, as
amended by the Federal Energy
Administration Authorization Act of
1977. (15 U.S.C. 788; FEAA) Section 32
essentially provides in relevant part
that, where a proposed rule authorizes
or requires use of commercial standards,
the notice of proposed rulemaking must
inform the public of the use and
background of such standards. In
addition, section 32(c) requires DOE to
consult with the Attorney General and
the Chairman of the Federal Trade
Commission (FTC) concerning the
impact of the commercial or industry
standards on competition.
The proposed amendment to the test
procedures for LED lamps in this NOPR
does not incorporate any new standards
that would require compliance under
section 32(b) of the FEAA.
V. Public Participation
A. Submission of Comments
DOE will accept comments, data, and
information regarding this proposed
rule no later than the date provided in
the DATES section at the beginning of
this NOPR. Interested parties may
submit comments, data, and other
information using any of the methods
described in the ADDRESSES section at
the beginning of this NOPR.
Submitting comments via
regulations.gov. The regulations.gov
Web page will require you to provide
your name and contact information.
Your contact information will be
viewable to DOE Building Technologies
staff only. Your contact information will
not be publicly viewable except for your
first and last names, organization name
(if any), and submitter representative
name (if any). If your comment is not
processed properly because of technical
difficulties, DOE will use this
information to contact you. If DOE
cannot read your comment due to
technical difficulties and cannot contact
you for clarification, DOE may not be
able to consider your comment.
However, your contact information
will be publicly viewable if you include
it in the comment or in any documents
attached to your comment. Any
information that you do not want to be
publicly viewable should not be
included in your comment, nor in any
document attached to your comment.
Persons viewing comments will see only
first and last names, organization
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Federal Register / Vol. 81, No. 214 / Friday, November 4, 2016 / Proposed Rules
names, correspondence containing
comments, and any documents
submitted with the comments.
Do not submit to regulations.gov
information for which disclosure is
restricted by statute, such as trade
secrets and commercial or financial
information (hereinafter referred to as
Confidential Business Information
(CBI)). Comments submitted through
regulations.gov cannot be claimed as
CBI. Comments received through the
Web site will waive any CBI claims for
the information submitted. For
information on submitting CBI, see the
Confidential Business Information
section.
DOE processes submissions made
through regulations.gov before posting.
Normally, comments will be posted
within a few days of being submitted.
However, if large volumes of comments
are being processed simultaneously,
your comment may not be viewable for
up to several weeks. Please keep the
comment tracking number that
regulations.gov provides after you have
successfully uploaded your comment.
Submitting comments via email, hand
delivery, or mail. Comments and
documents submitted via email, hand
delivery, or mail also will be posted to
regulations.gov. If you do not want your
personal contact information to be
publicly viewable, do not include it in
your comment or any accompanying
documents. Instead, provide your
contact information on a cover letter.
Include your first and last names, email
address, telephone number, and
optional mailing address. The cover
letter will not be publicly viewable as
long as it does not include any
comments.
Include contact information each time
you submit comments, data, documents,
and other information to DOE. If you
submit via mail or hand delivery, please
provide all items on a CD, if feasible. It
is not necessary to submit printed
copies. No facsimiles (faxes) will be
accepted.
Comments, data, and other
information submitted to DOE
electronically should be provided in
PDF (preferred), Microsoft Word or
Excel, WordPerfect, or text (ASCII) file
format. Provide documents that are not
secured, written in English and free of
any defects or viruses. Documents
should not contain special characters or
any form of encryption and, if possible,
they should carry the electronic
signature of the author.
Campaign form letters. Please submit
campaign form letters by the originating
organization in batches of between 50 to
500 form letters per PDF or as one form
letter with a list of supporters’ names
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compiled into one or more PDFs. This
reduces comment processing and
posting time.
Confidential Business Information.
According to 10 CFR 1004.11, any
person submitting information that he
or she believes to be confidential and
exempt by law from public disclosure
should submit via email, postal mail, or
hand delivery two well-marked copies:
one copy of the document marked
confidential including all the
information believed to be confidential,
and one copy of the document marked
non-confidential with the information
believed to be confidential deleted.
Submit these documents via email or on
a CD, if feasible. DOE will make its own
determination about the confidential
status of the information and treat it
according to its determination.
Factors of interest to DOE when
evaluating requests to treat submitted
information as confidential include: (1)
A description of the items; (2) whether
and why such items are customarily
treated as confidential within the
industry; (3) whether the information is
generally known by or available from
other sources; (4) whether the
information has previously been made
available to others without obligation
concerning its confidentiality; (5) an
explanation of the competitive injury to
the submitting person which would
result from public disclosure; (6) when
such information might lose its
confidential character due to the
passage of time; and (7) why disclosure
of the information would be contrary to
the public interest.
It is DOE’s policy that all comments
may be included in the public docket,
without change and as received,
including any personal information
provided in the comments (except
information deemed to be exempt from
public disclosure).
B. Issues on Which DOE Seeks Comment
Although comments are welcome on
all aspects of this proposed rulemaking,
DOE is particularly interested in
comments on the proposed amendment
to the integrated LED lamps test
procedure to allow for testing to be
conducted at elevated temperatures
during time to failure tests as prescribed
in section 4 of appendix BB to subpart
B of 10 CFR part 430.
VI. Approval of the Office of the
Secretary
The Secretary of Energy has approved
publication of this proposed rule.
information, Energy conservation,
Household appliances, Imports,
Incorporation by reference,
Intergovernmental relations, Small
businesses.
Issued in Washington, DC on October 28,
2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy
Efficiency, Energy Efficiency and Renewable
Energy.
For the reasons stated in the
preamble, DOE proposes to amend part
430 of Chapter II of Title 10, Code of
Federal Regulations as set forth below:
PART 430—ENERGY CONSERVATION
PROGRAM FOR CONSUMER
PRODUCTS
1. The authority citation for part 430
continues to read as follows:
■
Authority: 42 U.S.C.6291–6309; 28 U.S.C.
2461 note.
2. Appendix BB to subpart B of part
430 is amended by revising the
introductory note and section 4.4.4 to
read as follows:
■
Appendix BB to Subpart B of Part 430—
Uniform Test Method for Measuring the
Input Power, Lumen Output, Lamp
Efficacy, Correlated Color Temperature
(CCT), Color Rendering Index (CRI),
Power Factor, Time to Failure, and
Standby Mode Power of Integrated
Light-Emitting Diode (LED) Lamps
Note: On or after [Date 180 Days after
Publication of Final Rule in the Federal
Register], any representations made with
respect to the energy use or efficiency of
integrated light-emitting diode lamps must be
made in accordance with the results of
testing pursuant to this appendix.
*
*
*
*
Frm 00006
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*
*
*
*
*
4.4. Operating Conditions and Setup
Between Lumen Output Measurements
*
*
*
*
*
4.4.4. Ambient temperature conditions
must be as described in section 4.4 of IES
LM–84. Maintain the ambient temperature at
25 °C ± 5 °C or at a manufacturer-selected
temperature higher than 25 °C with the same
± 5 °C tolerance.
*
*
*
*
*
[FR Doc. 2016–26681 Filed 11–3–16; 8:45 am]
BILLING CODE 6450–01–P
List of Subjects in 10 CFR Part 430
Administrative practice and
procedure, Confidential business
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*
4. Active Mode Test Method to Measure
Time to Failure
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Agencies
[Federal Register Volume 81, Number 214 (Friday, November 4, 2016)]
[Proposed Rules]
[Pages 76877-76882]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-26681]
========================================================================
Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
========================================================================
Federal Register / Vol. 81, No. 214 / Friday, November 4, 2016 /
Proposed Rules
[[Page 76877]]
DEPARTMENT OF ENERGY
10 CFR Part 430
[Docket No. EERE-2016-BT-TP-0037]
RIN 1904-AD74
Energy Conservation Program: Test Procedures for Integrated
Light-Emitting Diode Lamps
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: On July 1, 2016, the U.S. Department of Energy (DOE) published
a final rule adopting a test procedure for integrated light-emitting
diode (LED) lamps (hereafter referred to as ``LED lamps'') to support
the implementation of labeling provisions by the Federal Trade
Commission, as well as the ongoing general service lamps rulemaking,
which includes LED lamps. This notice of proposed rulemaking (NOPR)
proposes to amend the LED lamps test procedure by allowing for time to
failure measurements to be taken at elevated temperatures.
DATES: DOE will accept comments, data, and information regarding this
NOPR no later than December 5, 2016. See section V, ``Public
Participation,'' for details.
ADDRESSES: Any comments submitted must identify the Test Procedure NOPR
for Integrated LED Lamps, and provide docket number EERE-2016-BT-TP-
0037 and/or regulatory information number (RIN) 1904-AD74. Comments may
be submitted using any of the following methods:
1. Federal eRulemaking Portal: www.regulations.gov. Follow the
instructions for submitting comments.
2. Email: LEDLamps2016TP0037@ee.doe.gov. Include the docket number
EERE-2016-BT-TP-0037 and/or RIN 1904-AD74 in the subject line of the
message.
3. Postal Mail: Appliance and Equipment Standards Program, U.S.
Department of Energy, Building Technologies Office, Mailstop EE-2J,
1000 Independence Avenue SW., Washington, DC, 20585-0121. If possible,
please submit all items on a compact disc (CD), in which case it is not
necessary to include printed copies.
4. Hand Delivery/Courier: Appliance and Equipment Standards
Program, U.S. Department of Energy, Building Technologies Office, 950
L'Enfant Plaza SW., Suite 600, Washington, DC, 20024. Telephone: (202)
586-6636. If possible, please submit all items on a CD, in which case
it is not necessary to include printed copies.
For detailed instructions on submitting comments and additional
information on the rulemaking process, see section V of this NOPR,
``Public Participation.''
DOCKET: The docket, which includes Federal Register notices, 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/standards.aspx?productid=19. The docket Web page contains simple
instructions on how to access all documents, including public comments,
in the docket. See section V, ``Public Participation,'' for information
on how to submit comments through www.regulations.gov.
FOR FURTHER INFORMATION 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:
ApplianceStandardsQuestions@ee.doe.gov.
Ms. Celia Sher, U.S. Department of Energy, Office of the General
Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC, 20585-
0121. Telephone: (202) 287-6122. Email: Celia.Sher@hq.doe.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Authority and Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
A. Scope of Applicability
B. Proposed Amendment to Approach for Determining Lifetime
C. Effective and Compliance Dates
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act of 1995
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General Government Appropriations
Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
V. Public Participation
A. Submission of Comments
B. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary
I. Authority and Background
Title III of the Energy Policy and Conservation Act of 1975 (42
U.S.C. 6291, et seq.; ``EPCA'' or ``the Act'') sets forth a variety of
provisions designed to improve energy efficiency.\1\ Part B of title
III, which for editorial reasons was redesignated as Part A upon
incorporation into the U.S. Code (42 U.S.C. 6291-6309, as codified),
establishes the ``Energy Conservation Program for Consumer Products
Other Than Automobiles.'' These consumer products include integrated
light-emitting diode (LED) lamps, the subject of this notice of
proposed rulemaking (NOPR).
---------------------------------------------------------------------------
\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
[[Page 76878]]
U.S.C. 6295(s)), and (2) making representations about the energy use or
efficiency of those products (42 U.S.C. 6293(c)). Similarly, DOE must
use these test procedures to determine whether the products comply with
any relevant standards promulgated under EPCA. (42 U.S.C. 6295(s))
Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures
DOE must follow when prescribing or amending test procedures for
covered products. EPCA provides, in relevant part, that any test
procedures prescribed or amended under this section shall be reasonably
designed to produce test results which measure energy efficiency,
energy use or estimated annual operating cost of a covered product
during a representative average use cycle or period of use and shall
not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3))
In addition, if DOE determines that a test procedure amendment is
warranted, it must publish proposed test procedures and offer the
public an opportunity to present oral and written comments on them. (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 any covered
product as determined under the existing test procedure. (42 U.S.C.
6293(e)(1)) If DOE determines that the amended test procedure would
alter the measured efficiency of a covered product, DOE must amend the
applicable energy conservation standard accordingly. (42 U.S.C.
6293(e)(2))
DOE published a final rule in the Federal Register on July 1, 2016
(hereafter the ``July 2016 LED TP final rule''), which adopted test
procedures for integrated LED lamps in Appendix BB to support the
implementation of labeling provisions by the Federal Trade Commission,
as well as the ongoing general service lamps rulemaking, a category of
lamps that includes LED lamps. 81 FR at 43404. In this notice, DOE
proposes to amend the test procedures for integrated LED lamps.
II. Synopsis of the Notice of Proposed Rulemaking
In this NOPR, DOE proposes to amend the test procedures for
integrated LED lamps with regard to the time to failure test method.
Based on stakeholder feedback since the publication of the July 2016
LED TP final rule, DOE is proposing to allow time to failure
measurements collected for DOE's LED lamps test procedure to be taken
at elevated temperatures.
Any amended test procedure adopted in this rulemaking will be
effective as the applicable DOE test procedure beginning 30 days after
publication of a final rule in the Federal Register. Representations of
energy use or energy efficiency must be based on testing in accordance
with this rulemaking, if adopted, beginning 180 days after the
publication of a test procedure final rule. DOE notes that testing done
in accordance with the current test procedure would also be in
accordance with the amended test procedure proposed here.
III. Discussion
A. Scope of Applicability
EPCA defines an LED as a p-n junction \2\ solid-state device, the
radiated output of which, either in the infrared region, visible
region, or ultraviolet region, is a function of the physical
construction, material used, and exciting current of the device. (42
U.S.C. 6291(30)(CC)) In the July 2016 LED TP final rule, DOE stated
that the rulemaking applied to LED lamps that met DOE's adopted
definition of an integrated LED lamp, which was based on the term as
defined by ANSI/IES RP-16-2010, ``Nomenclature and Definitions for
Illuminating Engineering,'' and adopted as follows:
---------------------------------------------------------------------------
\2\ P-n junction is the boundary between p-type and n-type
material in a semiconductor device, such as LEDs. P-n junctions are
diodes, active sites where current can flow readily in one direction
but not in the other direction.
---------------------------------------------------------------------------
Integrated light-emitting diode lamp means an integrated LED lamp
as defined in ANSI/IES RP-16 (incorporated by reference; see Sec.
430.3).
The ANSI/IES standard defines an integrated LED lamp as an
integrated assembly that comprises LED packages (components) or LED
arrays (modules) (collectively referred to as an LED source), an LED
driver, an ANSI standard base, and other optical, thermal, mechanical
and electrical components (such as phosphor layers, insulating
materials, fasteners to hold components within the lamp together, and
electrical wiring). The LED lamp is intended to connect directly to a
branch circuit through a corresponding ANSI standard socket. 81 FR
43403, 43405 (July 1, 2016). This NOPR proposes to amend the test
procedures for integrated LED lamps.
B. Proposed Amendment To Approach for Determining Lifetime
In the July 2016 LED TP final rule, DOE adopted test procedures,
located in appendix BB to subpart B of 10 CFR part 430, for measuring
and projecting time to failure of LED lamps based on lumen maintenance
data. The adopted test procedures were largely based on the industry
standards IES LM-84-14, ``Approved Method: Measuring Luminous Flux and
Color Maintenance of LED Lamps, Light Engines, and Luminaires,'' and
IES TM-28-14, ``Projecting Long-Term Luminous Flux Maintenance of LED
Lamps and Luminaires,'' for the applicable lumen maintenance
measurements and time to failure projection methods, with some
modifications. 81 FR 43403, 43427-43428 (July 1, 2016). IES LM-84-14
provides a method for lumen maintenance measurement of integrated LED
lamps and specifies the operational and environmental conditions during
testing such as operating cycle, ambient temperature, airflow, and
orientation. Lumen maintenance is the measure of lumen output after an
elapsed operating time, expressed as a percentage of the initial lumen
output. IES TM-28-14 provides methods for projecting the lumen
maintenance of integrated LED lamps depending on the available data and
test duration. The provided methods include projecting time to failure
using multiple lumen maintenance measurements collected over a period
of time, rather than a single measurement at the end of the test
duration. 81 FR at 43409 (July 1, 2016). The adopted test procedure
requires that the projection calculation be completed for each
individual LED lamp and the projected time to failure values then be
used to calculate the lifetime of the sample using the prescribed
methods. 81 FR at 43414 (July 1, 2016). The lumen maintenance
measurements used in the projection are to be taken at an ambient
temperature of 25 [deg]C 5 [deg]C.
Since the publication of the July 2016 LED TP final rule, DOE
received a request from the National Electrical Manufacturers
Association (NEMA) to approve the use of test results from the Elevated
Temperature Life Test \3\ contained in the ENERGY STAR Program
Requirements Product Specification for Lamps (Light Bulbs) Eligibility
Criteria Version 2.0 (hereafter ``ENERGY STAR Lamps Specification
V2.0'') \4\ in place of the test method for measuring lumen maintenance
and time to failure in DOE's LED lamps test
[[Page 76879]]
procedure in order to reduce test burden. NEMA asserted that because
the test conditions from the Elevated Temperature Life Test are more
stringent, the test results, if any different, would be more
conservative than if the lamps were tested according to the current DOE
LED lamps test procedure. (NEMA, No. 48 at p. 1).
---------------------------------------------------------------------------
\3\ The ENERGY STAR Elevated Temperature Life Test Method can be
found at https://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Elevated%20Temperature%20Life%20Test%20Method.pdf.
\4\ ``ENERGY STAR Program Requirements: Product Specification
for Lamps (Light Bulbs) Version 2.0.'' U.S. Environmental Protection
Agency, February 2016.
---------------------------------------------------------------------------
DOE agrees that the operating temperature test conditions specified
in the ENERGY STAR Elevated Temperature Life Test will more negatively
affect performance values than those prescribed in DOE's LED lamps test
procedure since the Elevated Temperature Life Test requires testing of
LED lamps at higher ambient temperatures. Specifically, the Elevated
Temperature Life Test requires directional lamps with rated wattages
less than or equal to 20 W to be tested at 45 [deg]C 5
[deg]C; directional lamps with rated wattages greater than 20 W to be
tested at 55 [deg]C 5 [deg]C; and all other
omnidirectional and decorative lamps to be tested at 45 [deg]C 5 [deg]C. DOE's test procedure requires operating temperature to
be maintained at 25 [deg]C 5 [deg]C. The Elevated
Temperature Life Test applies only to lamps that do not have a ``not
for use in totally enclosed or recessed luminaires'' statement (or an
equivalent statement) on the lamp label.
In addition to a difference in ambient temperature during lumen
maintenance testing, ENERGY STAR's and DOE's test procedures also
differ in how to determine the value of lifetime. ENERGY STAR's test
procedure provides a method to confirm a manufacturer-declared lifetime
value. It requires manufacturers to meet or exceed minimum lumen
maintenance values at a specific test duration to be able to claim a
certain maximum lifetime. For example, for a lamp to be certified with
a lifetime of 25,000 hours, that lamp must achieve a minimum lumen
maintenance of 91.8% after 6,000 hours of operation. DOE's test
procedure for determining lifetime depends on the time to failure of
individual units, which is determined by taking lumen maintenance
measurements at multiple intervals and then calculating the time to
failure. For example, after 6,000 hours of testing, manufacturers can
use the specified method to project a lamp's time to failure value to
be up to 36,000 hours. Lifetime is then determined by calculating 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). This is consistent with the statutory
definition of lifetime, which is described as the length of operating
time of a statistically large group of lamps between first use and
failure of 50 percent of the group. 42 U.S.C. 6291(30)(P).
To maintain consistency with the statutory definition of lifetime,
DOE is not allowing for an entire substitution of the ENERGY STAR
lifetime test procedure in place of DOE's time to failure measurements.
Instead, DOE is proposing in this NOPR to amend section 4.4.4 of
appendix BB to allow time to failure testing to be conducted at
elevated temperatures above the current requirement, which stipulates
to maintain ambient operating temperature at 25 [deg]C 5
[deg]C. Manufacturers would then have the flexibility to conduct the
Elevated Temperature Life Test for ENERGY STAR, while also following
the calculation method for DOE's LED lamps test procedure, and avoid
test duplication. LED lamps are sensitive to changes in ambient
temperature, generally performing less favorably at higher
temperatures. DOE believes this proposed change will result in, if any
difference, more conservative representations of lifetime.
DOE requests comment on the proposed amendment to the integrated
LED lamps test procedure to allow testing for time to failure, as
prescribed in section 4 of appendix BB to subpart B of 10 CFR part 430,
to be conducted at elevated temperatures.
C. Effective and Compliance Dates
If adopted, the effective date for the proposed test procedure
amendments would be 30 days after publication of the final rule in the
Federal Register. Pursuant to EPCA, manufacturers of covered products
must use the test procedure as the basis for determining that their
products comply with any applicable energy conservation and for making
representations about the efficiency of those products. (42 U.S.C.
6293(c); 42 U.S.C. 6295(s)) For those energy efficiency or consumption
metrics covered by the DOE test procedure, manufacturers must make
representations in accordance with the DOE test procedure beginning 180
days after publication of the final rule in the Federal Register.
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
The Office of Management and Budget (OMB) has determined that test
procedure rulemakings do not constitute ``significant regulatory
actions'' under section 3(f) of Executive Order 12866, Regulatory
Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this
action was not subject to review under the Executive Order by the
Office of Information and Regulatory Affairs (OIRA) in the OMB.
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis (IRFA) for
any rule that by law must be proposed for public comment, unless the
agency certifies that the rule, if promulgated, will not have a
significant economic impact on a substantial number of small entities.
As required by Executive Order 13272, ``Proper Consideration of Small
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE
published procedures and policies on February 19, 2003 to ensure that
the potential impacts of its rules on small entities are properly
considered during the DOE rulemaking process. 68 FR 7990. DOE has made
its procedures and policies available on the Office of the General
Counsel's Web site: http://energy.gov/gc/office-general-counsel.
DOE reviewed the amended test procedures for LED lamps proposed in
this NOPR under the provisions of the Regulatory Flexibility Act (RFA)
and the procedures and policies published on February 19, 2003. DOE
certifies that the proposed rule, if adopted, would not have a
significant economic impact on a substantial number of small entities.
The factual basis for this certification is set forth in the following
paragraphs.
The Small Business Administration (SBA) considers a business entity
to be a small business, if, together with its affiliates, it employs
less than a threshold number of workers specified in 13 CFR part 121.
These size standards and codes are established by the North American
Industry Classification System (NAICS). Manufacturing of LED lamps 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.
To estimate the number of companies that could be small businesses
that sell LED lamps covered by this rulemaking, DOE conducted a market
survey using publicly available information. DOE's research involved
information from the Environmental Protection Agency's ENERGY STAR
Certified Light Bulbs Database,\5\ LED Lighting Facts
[[Page 76880]]
Database,\6\ previous rulemakings, individual company Web sites, SBA's
database, and market research tools (e.g., Hoover's reports). DOE
screened out companies that did not meet the definition of a ``small
business'' or are completely foreign owned and operated. DOE identified
approximately seven small businesses that maintain domestic production
facilities for the integrated LED lamps covered by this rulemaking.
---------------------------------------------------------------------------
\5\ ENERGY STAR Certified Light Bulbs Database, https://www.energystar.gov/productfinder/product/certified-light-bulbs/results (last accessed October 19, 2016).
\6\ DOE's LED Lighting Facts Database, http://www.lightingfacts.com/products (last accessed October 19, 2016).
---------------------------------------------------------------------------
DOE notes that this proposed rule merely seeks to amend the
existing LED test procedure in a way that would reduce test burden on
manufacturers. The proposed amendment would reduce the instances in
which two tests for lifetime must be conducted for the same lamp. In
addition, the proposal is supported by industry, including NEMA.
Manufacturers that would seek to test time to failure at elevated
temperatures under the proposed amendment, if adopted, are likely to
have previously accounted for testing costs associated with the ENERGY
STAR program as these measurements are required to be reported to
ENERGY STAR if manufacturers certify the lamps as meeting the program
requirements. For manufacturers who do not test products at elevated
temperatures, this proposed amendment presents no additional burden.
For these reasons, DOE tentatively concludes and certifies that the
proposed amendment in this NOPR would not have a significant economic
impact on a substantial number of small entities, and the preparation
of an IRFA is not warranted. DOE will transmit the certification and
supporting statement of factual basis to the Chief Counsel for Advocacy
of the SBA for review under 5 U.S.C. 605(b).
C. Review Under the Paperwork Reduction Act of 1995
Manufacturers of LED lamps 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 LED lamps. (See
generally 10 CFR part 429.) 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 must any person be subject to a penalty for
failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB control number.
D. Review Under the National Environmental Policy Act of 1969
In this proposed rule, DOE is proposing an amendment to the test
procedure for LED lamps that will be used to support the ongoing
general service lamps energy conservation standards rulemaking as well
as the FTC's Lighting Facts labeling program. DOE has determined that
this rule falls into a class of actions that are categorically excluded
from review under the National Environmental Policy Act of 1969 (42
U.S.C. 4321 et seq.) and DOE's implementing regulations at 10 CFR part
1021. Specifically, this proposed rule would amend the existing test
procedure for integrated LED lamps 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 has examined this
proposed rule and has determined that it will not have a substantial
direct effect on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. EPCA governs
and prescribes Federal preemption of State regulations as to energy
conservation for the products that are the subject of this proposed
rule. States can petition DOE for exemption from such preemption to the
extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297(d))
No further action is required by Executive Order 13132.
F. Review Under Executive Order 12988
Regarding the review of existing regulations and the promulgation
of new regulations, section 3(a) of Executive Order 12988, ``Civil
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal
agencies the general duty to adhere to the following requirements: (1)
Eliminate drafting errors and ambiguity, (2) write regulations to
minimize litigation, (3) provide a clear legal standard for affected
conduct rather than a general standard, and (4) promote simplification
and burden reduction. Section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation (1) clearly specifies the
preemptive effect, if any, (2) clearly specifies any effect on existing
Federal law or regulation, (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction,
(4) specifies the retroactive effect, if any, (5) adequately defines
key terms, and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
sections 3(a) and 3(b) to determine whether they are met or it is
unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
the proposed rule meets the relevant standards of Executive Order
12988.
[[Page 76881]]
G. Review Under the Unfunded Mandates Reform Act of 1995
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA)
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments and the
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a proposed regulatory action resulting in a rule that may cause the
expenditure by State, local, and Tribal governments, in the aggregate,
or by the private sector of $100 million or more in any one year
(adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under UMRA. 62 FR 12820; also available
at http://energy.gov/gc/office-general-counsel. DOE examined this
proposed rule according to UMRA and its statement of policy and
determined that the rule contains neither an intergovernmental mandate,
nor a mandate that may result in the expenditure of $100 million or
more in any year, so these requirements do not apply.
H. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Public Law 105-277) requires Federal agencies to issue a
Family Policymaking Assessment for any rule that may affect family
well-being. This rule would not have any impact on the autonomy or
integrity of the family as an institution. Accordingly, DOE has
concluded that it is not necessary to prepare a Family Policymaking
Assessment.
I. Review Under Executive Order 12630
DOE has determined, under Executive Order 12630, ``Governmental
Actions and Interference with Constitutionally Protected Property
Rights'' 53 FR 8859 (March 18, 1988), that this regulation would not
result in any takings that might require compensation under the Fifth
Amendment to the U.S. Constitution.
J. Review Under Treasury and General Government Appropriations Act,
2001
Section 515 of the Treasury and General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most
disseminations of information to the public under guidelines
established by each agency pursuant to general guidelines issued by
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has
reviewed this proposed rule under the OMB and DOE guidelines and has
concluded that it is consistent with applicable policies in those
guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OMB,
a Statement of Energy Effects for any significant energy action. A
``significant energy action'' is defined as any action by an agency
that promulgated or is expected to lead to promulgation of a final
rule, and that (1) is a significant regulatory action under Executive
Order 12866, or any successor order; and (2) is likely to have a
significant adverse effect on the supply, distribution, or use of
energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any proposed significant energy action,
the agency must give a detailed statement of any adverse effects on
energy supply, distribution, or use if the regulation is implemented,
and of reasonable alternatives to the action and their expected
benefits on energy supply, distribution, and use.
This regulatory action to propose an amended test procedure for
measuring the lumen maintenance and time to failure of LED lamps is not
a significant regulatory action under Executive Order 12866. Moreover,
it would not have a significant adverse effect on the supply,
distribution, or use of energy, nor has it been designated as a
significant energy action by the Administrator of OIRA. Therefore, it
is not a significant energy action, and, accordingly, DOE has not
prepared a Statement of Energy Effects.
L. Review Under Section 32 of the Federal Energy Administration Act of
1974
Under section 301 of the Department of Energy Organization Act
(Public Law 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of
the Federal Energy Administration Act of 1974, as amended by the
Federal Energy Administration Authorization Act of 1977. (15 U.S.C.
788; FEAA) Section 32 essentially provides in relevant part that, where
a proposed rule authorizes or requires use of commercial standards, the
notice of proposed rulemaking must inform the public of the use and
background of such standards. In addition, section 32(c) requires DOE
to consult with the Attorney General and the Chairman of the Federal
Trade Commission (FTC) concerning the impact of the commercial or
industry standards on competition.
The proposed amendment to the test procedures for LED lamps in this
NOPR does not incorporate any new standards that would require
compliance under section 32(b) of the FEAA.
V. Public Participation
A. Submission of Comments
DOE will accept comments, data, and information regarding this
proposed rule no later than the date provided in the DATES section at
the beginning of this NOPR. Interested parties may submit comments,
data, and other information using any of the methods described in the
ADDRESSES section at the beginning of this NOPR.
Submitting comments via regulations.gov. The regulations.gov Web
page will require you to provide your name and contact information.
Your contact information will be viewable to DOE Building Technologies
staff only. Your contact information will not be publicly viewable
except for your first and last names, organization name (if any), and
submitter representative name (if any). If your comment is not
processed properly because of technical difficulties, DOE will use this
information to contact you. If DOE cannot read your comment due to
technical difficulties and cannot contact you for clarification, DOE
may not be able to consider your comment.
However, your contact information will be publicly viewable if you
include it in the comment or in any documents attached to your comment.
Any information that you do not want to be publicly viewable should not
be included in your comment, nor in any document attached to your
comment. Persons viewing comments will see only first and last names,
organization
[[Page 76882]]
names, correspondence containing comments, and any documents submitted
with the comments.
Do not submit to regulations.gov information for which disclosure
is restricted by statute, such as trade secrets and commercial or
financial information (hereinafter referred to as Confidential Business
Information (CBI)). Comments submitted through regulations.gov cannot
be claimed as CBI. Comments received through the Web site will waive
any CBI claims for the information submitted. For information on
submitting CBI, see the Confidential Business Information section.
DOE processes submissions made through regulations.gov before
posting. Normally, comments will be posted within a few days of being
submitted. However, if large volumes of comments are being processed
simultaneously, your comment may not be viewable for up to several
weeks. Please keep the comment tracking number that regulations.gov
provides after you have successfully uploaded your comment.
Submitting comments via email, hand delivery, or mail. Comments and
documents submitted via email, hand delivery, or mail also will be
posted to regulations.gov. If you do not want your personal contact
information to be publicly viewable, do not include it in your comment
or any accompanying documents. Instead, provide your contact
information on a cover letter. Include your first and last names, email
address, telephone number, and optional mailing address. The cover
letter will not be publicly viewable as long as it does not include any
comments.
Include contact information each time you submit comments, data,
documents, and other information to DOE. If you submit via mail or hand
delivery, please provide all items on a CD, if feasible. It is not
necessary to submit printed copies. No facsimiles (faxes) will be
accepted.
Comments, data, and other information submitted to DOE
electronically should be provided in PDF (preferred), Microsoft Word or
Excel, WordPerfect, or text (ASCII) file format. Provide documents that
are not secured, written in English and free of any defects or viruses.
Documents should not contain special characters or any form of
encryption and, if possible, they should carry the electronic signature
of the author.
Campaign form letters. Please submit campaign form letters by the
originating organization in batches of between 50 to 500 form letters
per PDF or as one form letter with a list of supporters' names compiled
into one or more PDFs. This reduces comment processing and posting
time.
Confidential Business Information. According to 10 CFR 1004.11, any
person submitting information that he or she believes to be
confidential and exempt by law from public disclosure should submit via
email, postal mail, or hand delivery two well-marked copies: one copy
of the document marked confidential including all the information
believed to be confidential, and one copy of the document marked non-
confidential with the information believed to be confidential deleted.
Submit these documents via email or on a CD, if feasible. DOE will make
its own determination about the confidential status of the information
and treat it according to its determination.
Factors of interest to DOE when evaluating requests to treat
submitted information as confidential include: (1) A description of the
items; (2) whether and why such items are customarily treated as
confidential within the industry; (3) whether the information is
generally known by or available from other sources; (4) whether the
information has previously been made available to others without
obligation concerning its confidentiality; (5) an explanation of the
competitive injury to the submitting person which would result from
public disclosure; (6) when such information might lose its
confidential character due to the passage of time; and (7) why
disclosure of the information would be contrary to the public interest.
It is DOE's policy that all comments may be included in the public
docket, without change and as received, including any personal
information provided in the comments (except information deemed to be
exempt from public disclosure).
B. Issues on Which DOE Seeks Comment
Although comments are welcome on all aspects of this proposed
rulemaking, DOE is particularly interested in comments on the proposed
amendment to the integrated LED lamps test procedure to allow for
testing to be conducted at elevated temperatures during time to failure
tests as prescribed in section 4 of appendix BB to subpart B of 10 CFR
part 430.
VI. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this proposed
rule.
List of Subjects in 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 October 28, 2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and
Renewable Energy.
For the reasons stated in the preamble, DOE proposes to amend part
430 of Chapter II of Title 10, Code of Federal Regulations as set forth
below:
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
0
1. 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
2. Appendix BB to subpart B of part 430 is amended by revising the
introductory note and section 4.4.4 to read as follows:
Appendix BB to Subpart B of Part 430--Uniform Test Method for Measuring
the Input Power, Lumen Output, Lamp Efficacy, Correlated Color
Temperature (CCT), Color Rendering Index (CRI), Power Factor, Time to
Failure, and Standby Mode Power of Integrated Light-Emitting Diode
(LED) Lamps
Note: On or after [Date 180 Days after Publication of Final Rule
in the Federal Register], any representations made with respect to
the energy use or efficiency of integrated light-emitting diode
lamps must be made in accordance with the results of testing
pursuant to this appendix.
* * * * *
4. Active Mode Test Method to Measure Time to Failure
* * * * *
4.4. Operating Conditions and Setup Between Lumen Output
Measurements
* * * * *
4.4.4. Ambient temperature conditions must be as described in
section 4.4 of IES LM-84. Maintain the ambient temperature at 25
[deg]C 5 [deg]C or at a manufacturer-selected
temperature higher than 25 [deg]C with the same 5
[deg]C tolerance.
* * * * *
[FR Doc. 2016-26681 Filed 11-3-16; 8:45 am]
BILLING CODE 6450-01-P