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Proposed Rule2021-10067

Energy Conservation Program: Test Procedures for General Service Fluorescent Lamps, Incandescent Reflector Lamps, and General Service Incandescent Lamps

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Published

June 3, 2021

Issuing agencies

Energy Department

Abstract

The U.S. Department of Energy ("DOE") proposes to amend the test procedures for general service fluorescent lamps ("GSFLs"), incandescent reflector lamps ("IRLs"), and general service incandescent lamps ("GSILs") to update to the latest versions of the referenced industry test standards and provide cites to specific sections of these standards; to clarify definitions, test conditions and methods, and measurement procedures; to clarify test frequency and inclusion of cathode power in measurements for GSFLs; to provide a test method for measuring color rendering index ("CRI") of GSILs and IRLs and for measuring lifetime of IRLs; to allow manufacturers to make voluntary (optional) representations of GSFLs at high frequency settings; to revise the sampling requirements; and to align sampling and certification requirements with proposed test procedure terminology and with the Federal Trade Commission's labeling program. DOE is seeking comment from interested parties on the proposal.

Full Text

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[Federal Register Volume 86, Number 105 (Thursday, June 3, 2021)]
[Proposed Rules]
[Pages 29888-29921]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-10067]

[[Page 29887]]

Vol. 86

Thursday,

No. 105

June 3, 2021

Part II

Department of Energy

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10 CFR Parts 429 and 430

Energy Conservation Program: Test Procedures for General Service
Fluorescent Lamps, Incandescent Reflector Lamps, and General Service
Incandescent Lamps; Proposed Rule

Federal Register / Vol. 86 , No. 105 / Thursday, June 3, 2021 /
Proposed Rules

[[Page 29888]]

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[EERE-2017-BT-TP-0011]
RIN 1904-AD85

Energy Conservation Program: Test Procedures for General Service
Fluorescent Lamps, Incandescent Reflector Lamps, and General Service
Incandescent Lamps

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

ACTION: Notice of proposed rulemaking and request for comment.

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SUMMARY: The U.S. Department of Energy (``DOE'') proposes to amend the
test procedures for general service fluorescent lamps (``GSFLs''),
incandescent reflector lamps (``IRLs''), and general service
incandescent lamps (``GSILs'') to update to the latest versions of the
referenced industry test standards and provide cites to specific
sections of these standards; to clarify definitions, test conditions
and methods, and measurement procedures; to clarify test frequency and
inclusion of cathode power in measurements for GSFLs; to provide a test
method for measuring color rendering index (``CRI'') of GSILs and IRLs
and for measuring lifetime of IRLs; to allow manufacturers to make
voluntary (optional) representations of GSFLs at high frequency
settings; to revise the sampling requirements; and to align sampling
and certification requirements with proposed test procedure terminology
and with the Federal Trade Commission's labeling program. DOE is
seeking comment from interested parties on the proposal.

DATES:
Meeting: DOE will hold a webinar on Thursday, June 24, 2021, from
10:00 a.m. to 2:00 p.m.
Comments: DOE will accept comments, data, and information regarding
this proposal no later than August 2, 2021. See section V, ``Public
Participation,'' for details.

ADDRESSES: See section V, ``Public Participation,'' for webinar
registration information, participant instructions, and information
about the capabilities available to webinar participants. If no
participants register for the webinar then it will be cancelled.
Interested persons are encouraged to submit comments using the
Federal eRulemaking Portal at <a href="https://www.regulations.gov">https://www.regulations.gov</a>. Follow the
instructions for submitting comments. Alternatively, interested persons
may submit comments, identified by docket number EERE-2017-BT-TP-0011,
by email: <a href="/cdn-cgi/l/email-protection#b7fbd6dac7c485878680e3e787878686f7d2d299d3d8d299d0d8c1">[email&#160;protected]</a>. Include the docket number EERE-
2017-BT-TP-0011 or regulatory information number (``RIN'') 1904-AD85 in
the subject line of the message.
Although DOE has routinely accepted public comment submissions
through a variety of mechanisms, including the Federal eRulemaking
Portal, email, postal mail, or hand delivery/courier, DOE has found it
necessary to make temporary modifications to the comment submission
process in light of the ongoing Covid-19 pandemic. DOE is currently
suspending receipt of public comments via postal mail and hand
delivery/courier. If a commenter finds that this change poses an undue
hardship, please contact Appliance Standards Program staff at (202)
586-1445 to discuss the need for alternative arrangements. Once the
Covid-19 pandemic health emergency is resolved, DOE anticipates
resuming all of its regular options for public comment submission,
including postal mail and hand delivery/courier.
Docket: The docket, which includes Federal Register notices,
comments, and other supporting documents/materials, is available for
review at <a href="https://ww.regulations.gov">https://ww.regulations.gov</a>. All documents in the docket are
listed in the <a href="https://ww.regulations.gov">https://ww.regulations.gov</a> index. However, some documents
listed in the index, such as those containing information that is
exempt from public disclosure, may not be publicly available.
The docket web page can be found at <a href="https://www.regulations.gov/docket/EERE-2017-BT-TP-0011">https://www.regulations.gov/docket/EERE-2017-BT-TP-0011</a>. The docket web page contains simple
instructions on how to access all documents, including public comments,
in the docket. See section V for information on how to submit comments
through <a href="https://www.regulations.gov">https://www.regulations.gov</a>.

FOR FURTHER INFORMATION CONTACT:
Dr. Stephanie Johnson, U.S. Department of Energy, Office of Energy
Efficiency and Renewable Energy, Building Technologies Office, EE-5B,
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone:
(202) 287-1943. Email: <a href="/cdn-cgi/l/email-protection#95d4e5e5f9fcf4fbf6f0c6e1f4fbf1f4e7f1e6c4e0f0e6e1fcfafbe6d5f0f0bbf1faf0bbf2fae3">[email&#160;protected]</a>.
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: <a href="/cdn-cgi/l/email-protection#86c5e3eaefe7a8d5eee3f4c6eef7a8e2e9e3a8e1e9f0">[email&#160;protected]</a>.
For further information on how to submit a comment or review other
public comments and the docket, contact the Appliance and Equipment
Standards Program staff at (202) 287-1445 or by email:
<a href="/cdn-cgi/l/email-protection#ebaa9b9b87828a85888eb89f8a858f8a998f98ba9e8e989f82848598ab8e8ec58f848ec58c849d">[email&#160;protected]</a>.

SUPPLEMENTARY INFORMATION: DOE proposes to maintain previously approved
incorporation by references and to incorporate by reference the
following industry test standards into 10 CFR part 430:
ANSI Standard C78.21-2011 (R2016), (``ANSI C78.21-2011 (R2016)''),
``American National Standard for Electric Lamps--PAR and R Shapes,''
approved August 23, 2016.
ANSI Standard C78.79-2014 (R2020), (``ANSI C78.79-2014 (R2020)''),
``American National Standard for Electric Lamps--Nomenclature for
Envelope Shapes Intended for Use with Electric Lamps,'' approved
January 17, 2020.
ANSI Standard C78.81, (``ANSI C78.81-2016''), ``American National
Standard for Electric Lamps--Double-Capped Fluorescent Lamps--
Dimensional and Electrical Characteristics,'' approved June 29, 2016.
ANSI Standard C78.375A-2014 (R2020), (``ANSI C78.375A-2014
(R2020)''), ``ANSI C78.375A-2014 (R2020) Revision of ANSI C78.375-2014,
American National Standard for Electric Lamps-Fluorescent Lamps-Guide
for Electrical Measures,'' approved January 17, 2020.
ANSI Standard C78.901, (``ANSI C78.901-2016''), ``American National
Standard for Electric Lamps--Single-Based Fluorescent Lamps--
Dimensional and Electrical Characteristics,'' approved August 23, 2016.
ANSI__ANSLG_C81.61-2006, Revision of ANSI C81.61-2005, (``ANSI
C81.61''), American National Standard for electrical lamp bases--
Specifications for Bases (Caps) for Electric Lamps, approved August 25,
2006.
ANSI Standard C82.3, (``ANSI C82.3'') ``American National Standard
for ``For Reference Lamp Ballasts for Fluorescent Lamps,'' approved
April 8, 2016.
IES Test Method LM-9, (``IES LM-9-20'') ``ANSI/IES LM-9-2020--
Approved Method: Electrical and Photometric Measurements of Fluorescent
Lamps,'' approved February 7, 2020.
IES Test Method LM-20, (``IES LM-20-20'') ``ANSI/IES LM-20-20
Approved Method: Photometry of Reflector Type Lamps,'' approved
February 7, 2020.
IES Test Method LM-45, (``IES LM-45-20'') ``ANSI/IES LM-45-20
Approved Method: Electrical and

[[Page 29889]]

Photometric Measurement of General Service Incandescent Filament
Lamps,'' approved February 7, 2020.
IES Test Method LM-49, (``IES LM-49'') ``ANSI/IES LM-49-20 Approved
Method: Life Testing of Incandescent Filament Lamps,'' approved
February 7, 2020.
IES Test Method LM-54, (``IES LM-54''), ``ANSI/IES LM-54-20
Approved Method: IES Guide to Lamp Seasoning,'' approved February 7,
2020.
IES Test Method LM-58, (``IES LM-58'') ``ANSI/IES LM-58-20 Approved
Method: Spectroradiometric Measurements Methods for Lighting Sources,''
approved February 7, 2020.
IES Test Method LM-78, (``IES LM-78'') ``ANSI/IES LM-78-20 Approved
Method: Total Luminous Flux Measurement of Lamps Using an Integrating
Sphere Photometer,'' approved February 7, 2020.
CIE 15:2018, (``CIE 15:2018'') ``Colorimetry, 4th Edition,''
approved 2018.
Copies of ANSI C78.21, ANSI C78.79, ANSI C78.81, ANSI C78.375A,
ANSI C78.901, ANSI C81.61, and ANSI C82.3 are available at <a href="https://www.ansi.org">https://www.ansi.org</a> or <a href="https://www.nema.org">https://www.nema.org</a>. Copies of IES LM-20, IES LM-45,
IES LM-49, IES LM-58, IES LM-54 and IES LM-78 can be obtained by going
to <a href="https://www.ies.org/store">https://www.ies.org/store</a>. Copies of CIE 15:2018 can be obtained by
going to <a href="https://cie.co.at/publications">https://cie.co.at/publications</a>.
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 Notice of Proposed Rulemaking
III. Discussion
A. Scope of Applicability
B. Incorporation by Reference of Industry Test Standards
1. ANSI C78.375, ANSI C78.81, ANSI C78.901, and ANSI C82.3
2. IES LM-58
3. IES LM-45
4. IES LM-49
5. IES LM-20
6. IES LM-9
7. IES LM-54
8. IES LM-78
9. CIE 15
C. Proposed Amendments to Appendix R
1. Definitions
2. General Instructions
3. Test Method for Determining Initial Lamp Efficacy, CRI, and
CCT
4. Test Methods, Measurements, and Calculations for Determining
Time to Failure
5. References to Industry Test Standards
D. Amendments to 10 CFR 429.27, 10 CFR 429.33 and 10 CFR 430.2
1. Definitions
2. Sampling Requirements
3. Represented Value Determinations
4. Reporting Requirements
5. Rounding Requirements
E. Amendments to 10 CFR 430.23(r)
F. Conforming Amendments to Energy Conservation Standard Text at
10 CFR 430.32
G. Test Burden
H. Test Procedures Costs and Harmonization
1. Test Procedure Costs and Impacts
2. Harmonization With Industry Test Standards
I. Compliance Date
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act of 1995
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General Government Appropriations
Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
M. Description of Materials Incorporated by Reference
V. Public Participation
A. Participation in the Webinar
B. Procedure for Submitting Prepared General Statements for
Distribution
C. Conduct of the Webinar
D. Submission of Comments
E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

General service fluorescent lamps (``GSFLs''), incandescent
reflector lamps (``IRLs''), and general service incandescent lamps
(``GSILs'') are included in the list of ``covered products'' for which
the U.S. Department of Energy (``DOE'') is authorized to establish and
amend energy conservation standards and test procedures. (42 U.S.C.
6292(a)(14)) The current DOE test procedures for GSFLs, IRLs, and GSILs
appear at title 10 of the Code of Federal Regulations (``CFR'') part
430, subpart B, appendix R (``Appendix R''). The following sections
discuss DOE's authority to establish and amend test procedures for
GSFLs, IRLs, and GSILs, as well as relevant background information
regarding DOE's proposed amendments to the test procedures for these
products.

A. Authority

The Energy Policy and Conservation Act, as amended (``EPCA''),\1\
among other things, authorizes DOE to regulate the energy efficiency of
a number of consumer products and industrial equipment. (42 U.S.C.
6291-6317) Title III, Part B \2\ of EPCA established the Energy
Conservation Program for Consumer Products Other Than Automobiles,
which sets forth a variety of provisions designed to improve energy
efficiency. These products include GSFLs, IRLs, and GSILs, the subject
of this document. (42 U.S.C. 6292(a)(14))
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\1\ All references to EPCA in this document refer to the statute
as amended through the Energy Act of 2020, Public Law 116-260 (Dec.
27, 2020).
\2\ For editorial reasons, upon codification in the U.S. Code,
Part B was redesignated Part A.
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The energy conservation program under EPCA consists essentially of
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation
standards, and (4) certification and enforcement procedures. Relevant
provisions of EPCA specifically include definitions (42 U.S.C. 6291),
energy conservation standards (42 U.S.C. 6295), test procedures (42
U.S.C. 6293), labeling provisions (42 U.S.C. 6294), and the authority
to require information and reports from manufacturers. (42 U.S.C.
6296).
The Federal 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 pursuant to EPCA (42 U.S.C. 6295(s)),
and (2) making representations about the efficiency of those consumer
products (42 U.S.C. 6293(c)). Similarly, DOE must use these test
procedures to determine whether the products comply with relevant
standards promulgated under EPCA. (42 U.S.C. 6295(s))
Federal energy efficiency requirements for covered products
established under EPCA generally supersede State laws and regulations
concerning energy conservation testing, labeling, and standards. (See
42 U.S.C. 6297) DOE may, however, grant waivers of Federal preemption
in limited instances for particular State laws or regulations, in
accordance with the procedures and other provisions of EPCA. (42 U.S.C.
6297(d))
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

[[Page 29890]]

under this section 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 not be unduly burdensome to conduct. (42 U.S.C.
6293(b)(3))
Additionally, EPCA directs DOE to amend its test procedures for all
covered products to integrate measures of standby mode and off mode
energy consumption. (42 U.S.C. 6295(gg)(2)(A)) Standby mode and off
mode energy consumption must be incorporated into the overall energy
efficiency, energy consumption, or other energy descriptor for each
covered product unless the current test procedures already account for
and incorporate standby and off mode energy consumption or such
integration is technically infeasible. If an integrated test procedure
is technically infeasible, DOE must prescribe a separate standby mode
and off mode energy use test procedure for the covered product, if
technically feasible. (42 U.S.C. 6295(gg)(2)(A)(ii)) Any such amendment
must consider the most current versions of the International
Electrotechnical Commission (``IEC'') Standard 62301 \3\ and IEC
Standard 62087 \4\ as applicable. (42 U.S.C. 6295(gg)(2)(A))
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\3\ IEC 62301, Household electrical appliances--Measurement of
standby power (Edition 2.0, 2011-01).
\4\ IEC 62087, Methods of measurement for the power consumption
of audio, video, and related equipment (Edition 3.0, 2011-04).
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EPCA, as codified, directs DOE to prescribe test procedures for
fluorescent lamps and incandescent reflector lamps, taking into
consideration the applicable standards of the Illuminating Engineering
Society of North America (``IES'') or the American National Standards
Institute (``ANSI''). (42 U.S.C. 6293(b)(6)) Consideration of IES and
ANSI standards aligns DOE test procedures with latest industry
practices for testing electric lamps and therefore DOE also considers
these industry test standards when prescribing test procedures for
general service incandescent lamps.
EPCA also requires that, at least once every 7 years, DOE evaluate
test procedures for each type of covered product, including GSFLs,
IRLs, and GSILs, 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 or period of use. (42 U.S.C. 6293(b)(1)(A)) If the Secretary
determines, on his/her own behalf or in response to a petition by any
interested person, that a test procedure should be prescribed or
amended, the Secretary shall promptly publish in the Federal Register
proposed test procedures and afford interested persons an opportunity
to present oral and written data, views, and arguments with respect to
such procedures. The comment period on a proposed rule to amend a test
procedure shall be at least 60 days and may not exceed 270 days.\5\ In
prescribing or amending a test procedure, the Secretary shall take into
account such information as the Secretary determines relevant to such
procedure, including technological developments relating to energy use
or energy efficiency of the type (or class) of covered products
involved. (42 U.S.C. 6293(b)(2)) If DOE determines that test procedure
revisions are not appropriate, DOE must publish its determination not
to amend the test procedures. DOE is publishing this NOPR to satisfy
the 7-year review requirement specified in EPCA.
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\5\ DOE has historically provided a 75-day comment period for
test procedure NOPRs, consistent with the comment period requirement
for technical regulations in the North American Free Trade
Agreement, U.S.-Canada-Mexico (``NAFTA''), Dec. 17, 1992, 32 I.L.M.
289 (1993); the North American Free Trade Agreement Implementation
Act, Public Law 103-182, 107 Stat. 2057 (1993) (codified as amended
at 10 U.S.C.A. Sec. 2576) (1993) (``NAFTA Implementation Act'');
and Executive Order 12889, ``Implementation of the North American
Free Trade Agreement,'' 58 FR 69681 (Dec. 30, 1993). However,
Congress repealed the NAFTA Implementation Act and has replaced
NAFTA with the Agreement between the United States of America, the
United Mexican States, and the United Canadian States (``USMCA''),
Nov. 30, 2018, 134 Stat. 11, thereby rendering E.O. 12889
inoperable. Consequently, since the USMCA is consistent with EPCA's
public comment period requirements and normally requires only a
minimum comment period of 60 days for technical regulations, DOE now
provides a 60-day public comment period for test procedure NOPRs.
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B. Background

DOE's existing test procedures for GSFLs, IRLs and GSILs appear at
Appendix R (``Uniform Test Method for Measuring Average Lamp Efficacy
(``LE''), Color Rendering Index (``CRI''), and Correlated Color
Temperature (``CCT'') of Electric Lamps'').
On September 28, 1994, DOE issued an interim final rule to add a
new section in the CFR to establish test procedures for certain
fluorescent and incandescent lamps. 59 FR 49468. The test procedures
incorporated by reference a number of IES and ANSI standards. Id.
On May 29, 1997, DOE published a final rule adopting, with
amendments, the test procedures established in the September 1994
interim final rule. 62 FR 29222. This final rule (1) affirmed DOE's
determination that the test procedures effectively measure lamp
efficacy and CRI and are not unduly burdensome to conduct and (2)
incorporated updates to the referenced IES and ANSI standards. Id.
On July 6, 2009, DOE published a final rule amending the test
procedures for GSFLs, IRLs, and GSILs. 74 FR 31829. These amendments
consisted largely of: (1) Referencing the most current versions of
several lighting industry test standards incorporated by reference; (2)
adopting certain technical changes and clarifications; and (3)
expanding the test procedures to accommodate new classes of lamps to
which coverage was extended by the Energy Independence and Security Act
of 2007 (Pub. L. 110-140). Id. The final rule also addressed the then
recently established statutory requirement to expand test procedures to
incorporate a measure of standby mode and off mode energy consumption
and determined that, because these modes of energy consumption were not
applicable to the lamps, an expansion of the test procedures was not
necessary. Id. Shortly thereafter, DOE again amended the test
procedures to adopt reference ballast settings necessary for the
additional GSFLs for which DOE was establishing standards. 74 FR 34080,
34096 (July 14, 2009).
DOE most recently amended the test procedures for GSFLs and GSILs
in a final rule published on January 27, 2012. 77 FR 4203. DOE updated
several references to the industry test standards referenced in DOE's
test procedures and established a lamp lifetime test method for GSILs.
Id. In that final rule, DOE determined amendments to the existing test
procedure for IRLs were not necessary. Id.
On August 8, 2017, DOE published in the Federal Register a request
for information seeking comments on the current test procedures for
GSFLs, IRLs, and GSILs. 82 FR 37031 (``August 2017 RFI''). In the
August 2017 RFI, DOE requested comments, information and data regarding
several issues, including (1) updates to the incorporated standards and
test methods from IES and ANSI, (2) information and data to determine
if high frequency operation would affect the measured value of efficacy
for specific lamp types, (3) modifying the voltage requirements for
incandescent lamps, and (4) the use of the intensity distribution curve
method for total lumen output for IRLs, the peak lumen method for total
lumen output for GSFLs and GSILs, and use of only

[[Page 29891]]

the integrating sphere method for all lamps. Id.
DOE received comments in response to the August 2017 RFI from the
interested parties listed in Table I.1.

Table I.1--August 2017 RFI Written Comments
------------------------------------------------------------------------
Reference in this
Commenter(s) NOPR Commenter type
------------------------------------------------------------------------
Anonymous....................... Anonymous......... Private Citizens.
LEDVANCE........................ LEDVANCE.......... Manufacturer.
California Investor-Owned CA IOUs........... Utility.
Utilities.
National Electrical NEMA.............. Industry
Manufacturers Association. Association.
Philips Lighting................ Philips........... Manufacturer.
Appliance Standards Awareness ASAP.............. Efficiency
Project. Organization.
------------------------------------------------------------------------

This document addresses information and comments received in
response to the August 2017 RFI and proposes amendments to the test
procedures for GSFLs, IRLs, and GSILs. A parenthetical reference at the
end of a comment quotation or paraphrase provides the location of the
item in the public record.\6\
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\6\ The parenthetical reference provides a reference for
information located in the docket of DOE's rulemaking to review test
procedures for general service fluorescent lamps, incandescent
reflector lamps, and general service incandescent lamps (Docket No.
EERE-2017-BT-TP-0011, which is maintained at <a href="https://www.regulations.gov">https://www.regulations.gov</a>). The references are arranged as follows:
(commenter name, comment docket ID number at page of that document).
---------------------------------------------------------------------------

II. Synopsis of the Notice of Proposed Rulemaking

In this NOPR, DOE proposes to update 10 CFR 430.2, 10 CFR 430.3,
and Appendix R as follows: (1) Update references to industry test
standards to reflect current industry practices; (2) modify, add, and
remove definitions to better align with the scope and test methods; (3)
reference specific sections within industry test standards for further
clarity; (4) provide a test method for measuring CRI for incandescent
lamps to support DOE requirements; and (5) provide a test method for
measuring lifetime of incandescent reflector lamps to support the
Federal Trade Commission's (``FTC's'') labeling requirements.
Additionally, DOE proposes to revise the sampling requirements and to
modify language specifying sampling and certification requirements in
10 CFR 429.27 to improve readability and organization and to support
the FTC's labeling program. Further, DOE proposes to simplify language
describing test procedures for GSFLs, IRLs, and GSILs in 10 CFR
430.23(r) by removing unnecessary information. Finally, DOE proposes to
better align the terminology in the test procedures for GSFLs, IRLs,
and GSILs with energy conservation standards codified in 10 CFR
430.32(n) and 10 CFR 430.32(x).
DOE has tentatively determined that the proposed amendments
described in section III of this NOPR would not alter the measured
efficiency of GSFLs, IRLs, or GSILs, or require retesting solely as a
result of DOE's adoption of the proposed amendments to the test
procedures, if made final. Additionally, DOE has tentatively determined
that the proposed amendments, if made final, would not increase the
cost of testing. DOE's proposed actions are summarized in Table II.1
and addressed in detail in section III of this NOPR.

Table II.1--Summary of Changes in Proposed TP Relative to Current TP
----------------------------------------------------------------------------------------------------------------
Current DOE TP Proposed TP Attribution
----------------------------------------------------------------------------------------------------------------
References lamp datasheets in the 2010 Adopts newer versions of ANSI standards Industry TP Update to
version of ANSI C78.81 and 2005 version only for voluntary representations that ANSI C78.81 and
of ANSI C78.901 to specify the would help DOE determine how standards C78.901.
appropriate reference ballast to use when can be adjusted to accommodate high
testing a particular lamp. frequency testing. DOE does not require
certification to DOE of any voluntary
representations.
References of ANSI C78.375, ANSI C82.3, Adopts latest versions of these referenced Industry TP Update.
IES LM-9, IES LM-58, IES LM-45, IES LM- industry standards.
49, IES LM-20, CIE 15.
Does not clearly state in all instances Clarifies in all instances whether testing Information needed to
whether testing for GSFLs should be should be performed at low or high conduct testing.
performed at low or high frequency and frequency and whether cathode power
whether cathode power should be included. should be included.
Does not include a method for determining Adds test method for measuring CRI for Needed to comply with
CRI of incandescent lamps. GSILs and IRLs. the statutory minimum
CRI requirement for
GSILs and IRLs.
Does not include a method for determining Adds test method for measuring lifetime of Supports FTC labeling
lifetime of incandescent reflector lamps. incandescent reflector lamps. requirements.
Definitions of IRL types do not reference Update definitions for BPAR, R20, ER, and Update definitions to
the latest industry standards. BR incandescent reflector lamps and reference latest
define PAR and R incandescent lamps with industry standards.
references to latest versions of ANSI
C78.21-2011 (R2016) and ANSI C78.79-2014
(R2020), as appropriate.
Specifies only CRI to be measured from the Specifies all metrics for all lamps be Ensures different units
same sample of units. measured from the same sample of units. are not selected for
each metric.

[[Page 29892]]

Requires testing a minimum of 21 lamps by Decreases the minimum number of lamps Aligns sampling
selecting a minimum of three lamps from tested to be 10 instead of 21 and removes requirements with those
each month of production for a minimum of the requirement for lamps to be selected of other lighting
7 out of a 12-month period. from at least 7 different months of a 12- products (i.e.,
month period. integrated light-
emitting diode [LED]
lamps and compact
fluorescent lamps
[CFLs]).
----------------------------------------------------------------------------------------------------------------

III. Discussion

Although the August 2017 RFI requested comments, information and
data regarding several specific issues, DOE welcomed written comments
from the public on any subject within the scope of the document
(including topics not raised in the RFI). In response to the August
2017 RFI, DOE received several general comments. One stakeholder stated
that DOE should rescind many energy conservation standards as new
reports indicate such regulations are redundant and increase costs, are
hurtful to seniors and low-income groups, and do not protect the
environment. (Anonymous, No. 4 at p. 1) Other stakeholders stated that
regulations should be waived for the states of Texas and Louisiana, due
to the destruction caused in these states by Hurricane Harvey.
(Anonymous, No. 3 at p. 1; Anonymous, No. 2 at p. 1)
As stated in section I.A, DOE is publishing this NOPR to satisfy
the 7-year review requirement specified in EPCA. This notice proposes
updates to DOE test procedures to reflect current industry practices
that are reasonably designed to produce test results which measure
energy efficiency and energy use during a representative average use
cycle or period of use, as determined by the Secretary, and are not
unduly burdensome to conduct. The estimated costs of the proposed
updates are discussed in section III.H of this document. The scope of
this notice does not include granting waivers to test procedures. (See
10 CFR 430.27 for procedures to petition for waivers from test
procedures.)
Philips provided another general comment that as a NEMA member, it
supported any comments submitted by NEMA in response to the August 2017
RFI. (Philips, No. 8 at p. 2) CA IOUs, along with ASAP, commended DOE
for reassessing the test procedures for GSFLs, IRLs, and GSILs. CA IOUs
noted that, while updates to the test procedures would impact state and
voluntary regulations, it would be to a lesser extent due to the
proliferation of solid-state lighting (``SSL'') products. (CA IOUs, No.
6 at p. 1; ASAP, No. 9 at pp. 1-2) ASAP stated that, if updated test
procedures resulted in a change in measured energy use that was not de
minimis, DOE must modify the associated energy conservation standard.
(ASAP, No. 9 at pp. 1-2)
DOE evaluates and discusses the impact of proposed amendments on
measured values throughout this notice.

A. Scope of Applicability

DOE test procedures for GSFLs, IRLs, and GSILs are codified in
Appendix R and associated sampling and certification requirements are
codified in 10 CFR 429.27. The scope of this rulemaking is to review
and amend, as applicable, the test procedures for GSFLs, IRLs, and
GSILs and the associated sampling and certification requirements. DOE
received comments regarding scope in response to the August 2017 RFI.
In two final rules, effective January 1, 2020, DOE revised the
definitions of general service lamp (``GSL'') and GSIL by bringing
certain categories of lamps that had been excluded by statute from the
definition of GSIL within the definitions of GSIL and GSL. 82 FR 7276;
82 FR 7322 (January 19, 2017) (``2017 GSL Definition Rules''). CA IOUs
stated that DOE should acknowledge that its updated test methods will
apply to the new GSIL definition, as defined by DOE on January 19,
2017. (CA IOUs, No. 6 at p. 1) As noted, the requirements specified in
Appendix R and 10 CFR 429.27 apply to GSILs and IRLs as those terms are
defined in 10 CFR 430.2.
NEMA commented that DOE should not require lifetime testing of
plug-in CFLs on reference ballasts. (NEMA, No. 7 at p. 6) The scope of
this notice does not include assessing test procedures for CFLs.

B. Incorporation by Reference of Industry Test Standards

The test conditions, methods, and measurements described in
Appendix R reference several ANSI and IES standards. Several of the
referenced industry test standards have been updated by industry since
DOE last amended its test procedures. In the August 2017 RFI DOE
requested information on updating Appendix R to reference the updated
versions of these standards. 82 FR 37031, 37033, 37034.
NEMA stated it appreciated DOE's efforts to update current test
procedures to reflect progress in related industry test standards and
test procedures. NEMA anticipated no issues in updating to the current
versions of standards (i.e., industry test methods) unless it required
retesting all currently certified products and noted this may be the
case for certain standards related to GSFLs (see section 1 for more
information). (NEMA, No. 7 at p. 1) CA IOUs also supported updating
referenced industry test standards so that they are more relevant and
consistent with products serving the same consumer utility. (CA IOUs,
No. 6 at p. 1) ASAP added that industry test standards should be
reviewed to ensure test results are reliable and accurate. (ASAP, No. 9
at pp. 1-2)
In this NOPR, DOE reviews the latest versions of industry test
standards to identify differences compared to previous versions and
assesses the impact of changes on measured values.
NEMA and LEDVANCE stated that, even following ANSI and IES
standards, testing variations will occur and, therefore, the lighting
industry requires acceptable measurement and laboratory tolerances when
considering compliance with standards. Further, they added that DOE
should reference the NEMA LSD-63 \7\ standard which provides industry-
standardized testing tolerances for lamps. (NEMA, No. 7 at pp. 5-6;
LEDVANCE, No. 5 at p. 6) NEMA LSD-63 factors in long-term manufacturing
data variability and inter-lab measurement bias to assess the validity
of a sample of values in comparison to the rated value based on a
population of lamps. DOE notes that these considerations can be useful
when developing the appropriate minimum requirements in a standards
rulemaking.

[[Page 29893]]

DOE finds that its test methods provide repeatable and reproducible
results for a single lamp and its sampling requirements in 10 CFR
429.27 account for variation in the sample by comparing the mean value
against a confidence limit. Hence, DOE has tentatively concluded that
its test procedures sufficiently address variation in lamp
manufacturing and testing without the need to reference NEMA LSD-63.
DOE notes that, if supported by test data, manufacturers can rate their
product lower than the maximum allowed value or higher than minimum
allowed value per 10 CFR 429.27.
---------------------------------------------------------------------------

\7\ National Electrical Manufacturers Association, A NEMA
Lighting Systems Division Document LSD-63-2012- Measurement Methods
and Performance Variation for Verification Testing of General
Purpose Lamps and Systems. Approved July 20, 2012.
---------------------------------------------------------------------------

Table III.1 shows the industry test standards currently referenced
in Appendix R, whether there is an updated version available, and
whether DOE is proposing to update to the latest version. In addition,
DOE is proposing to incorporate by reference IES LM-54-2020 \8\ and IES
LM-78-2020 \9\ for Appendix R. The proposed updates to industry test
standard references do not involve substantive changes to the test
setup and methodology, but rather clarifications. DOE has tentatively
determined that incorporation by reference of the latest versions will
better align DOE test procedures with industry practice and further
increase the clarity of the test methods. DOE requests comment on
incorporating by reference the updated versions of standards proposed
in Table III.1 for Appendix R. DOE requests comments on incorporating
by reference IES LM-54-2020 and IES LM-78-2020 for Appendix R. Each
proposed industry test standard and associated comments and responses
are discussed in the following sections.
---------------------------------------------------------------------------

\8\ Illuminating Engineering Society, ANSI/IES LM-54-20 Approved
Method: IES Guide to Lamp Seasoning, Approved February 7, 2020.
\9\ Illuminating Engineering Society, ANSI/IES LM-78-20 Approved
Method: Total Luminous Flux Measurement of Lamps Using an
Integrating Sphere Photometer. Approved February 7, 2020.
---------------------------------------------------------------------------

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

\10\ American National Standards Institute, ANSI C78.375-1997,
Revision of ANSI C78.375-1991, American National Standard for
electric lamps: Fluorescent Lamps Guide for Electrical Measurements.
Approved September 25, 1997.
\11\ American National Standards Institute, ANSI C78.375A-2014
(R2020) Revision of ANSI C78.375-2014, American National Standard
for Electric Lamps-Fluorescent Lamps-Guide for Electrical Measures.
Approved January 17, 2020.
\12\ American National Standards Institute, ANSI_ANSLG C78.81-
2010 Revision of ANSI C78.81-2005. American National Standard for
Electric Lamps--Double-Capped Fluorescent Lamps-- Dimensional and
Electrical Characteristics. Approved January 14, 2010.
\13\ American National Standards Institute, ANSI C78.81-2016
American National Standard For Electric Lamps--Double-Capped
Fluorescent Lamps-- Dimensional and Electrical Characteristics.
Approved June 29, 2016.
\14\ American National Standards Institute, ANSI_IEC C78.901-
2005 Revision of ANSI C78.901-2001, American National Standards for
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and
Electrical Characteristics. Approved March 23, 2005.
\15\ American National Standards Institute, ANSI/NEMA C78.901-
2016 American National Standards for Electric Lamps--Single-Based
Fluorescent Lamps--Dimensional and Electrical Characteristics.
Approved August 23, 2016.
\16\ American National Standards Institute, ANSI C82.3-2002
American National Standard For Lamp Ballasts--Reference Ballasts for
Fluorescent Lamps. Approved January 1, 2002.
\17\ American National Standards Institute, ANSI C82.3-2016
American National Standard For Reference Lamp Ballasts for
Fluorescent Lamps. Approved April 8, 2016.
\18\ Illuminating Engineering Society of North America, IES LM-
9-09 IES Approved Method for the Electrical and Photometric
Measurements of Fluorescent Lamps. Approved January 31, 2009.
\19\ Illuminating Engineering Society, ANSI/IES LM-9-2020--
Approved Method: Electrical and Photometric Measurements of
Fluorescent Lamps. Approved February 7, 2020.
\20\ Illuminating Engineering Society of North America, LM-58
IESNA Guide to Spectroradiometric Measurements. Approved December 3,
1994.
\21\ Illuminating Engineering Society, ANSI/IES LM-58-20
Approved Method: Spectroradiometric Measurements Methods for
Lighting Sources. Approved February 7, 2020.
\22\ Illuminating Engineering Society, IES LM-45-09 IES Approved
Method for The Electrical and Photometric Measurement of General
Service Incandescent Filament Lamps. Approved December 14, 2009.
\23\ Illuminating Engineering Society, ANSI/IES LM-45-20
Approved Method: Electrical and Photometric Measurement of General
Service Incandescent Filament Lamps. Approved February 7, 2020.
\24\ Illuminating Engineering Society, IES LM-49-12 Approved
Method: Life Testing of Incandescent Filament Lamps. Approved
December 1, 2001.
\25\ Illuminating Engineering Society, ANSI/IES LM-49-20
Approved Method: Life Testing of Incandescent Filament Lamps.
Approved February 7, 2020.
\26\ Illuminating Engineering Society of North America, LM-20
IESNA Approved Method for Photometric Testing of Reflector-Type
Lamps. Approved December 3, 1994.
\27\ Illuminating Engineering Society, ANSI/IES LM-20-20
Approved Method: Photometry of Reflector Type Lamps. Approved
February 7, 2020.
\28\ International Commission on Illumination, Method of
Measuring and Specifying Colour Rendering Properties of Light
Sources. Approved 1995.
\29\ International Commission on Illumination, Colorimetry, 3rd
Edition. Approved 2004.
\30\ International Commission on Illumination, Colorimetry, 4th
Edition. Approved 2018.

Table III.1--Industry Test Standards Referenced in Appendix R to 10 CFR
430 Subpart B
------------------------------------------------------------------------
Industry test standard Updated version if Proposed for
referenced in Appendix R available update
------------------------------------------------------------------------
ANSI C78.375 version 1997 \10\ ANSI C78.375A Proposed.
(section 4.1.1 of Appendix R). version 2020 \11\.
ANSI C78.81 version 2010 \12\ ANSI C78.81 version Proposed for
(section 4.1.1 of Appendix R). 2016 \13\. voluntary
representations.
ANSI C78.901 version 2005 \14\ ANSI C78.901 Proposed for
(section 4.1.1 of Appendix R). version 2016 \15\. voluntary
representations.
ANSI C82.3 version 2002 \16\ ANSI C82.3 version Proposed.
(section 4.1.1 of Appendix R). 2016 \17\.
IES LM-9 version 2009 \18\ IES LM-9 version Proposed.
(sections 2.1, 2.9, 3.1, 2020 \19\.
4.1.1, 4.4.1 of Appendix R).
IESNA LM-58 version 1994 \20\ IES LM-58 Proposed.
(sections 2.1, 4.4.1 of (retitled) version
Appendix R). 2020 \21\.
IES LM-45 version 2009 \22\ IES LM-45 version Proposed.
(sections 2.1, 2.9, 3.2, 2020 \23\.
4.2.1, 4.2.2 of Appendix R).
IESNA LM-49 version 2001 \24\ IES LM-49 Proposed.
(section 4.2.3 of Appendix R). (retitled) version
2020 \25\.
IESNA LM-20 version 1994 \26\ IES LM-20 Proposed.
(sections 2.1, 2.9, 3.3, 4.3 (retitled) version
of Appendix R). 2020 \27\.
CIE 13.3 version 1995 \28\ No updated version N/A.
(section 2.1, 4.4.1 of available.
Appendix R).
CIE 15 version 2004 \29\ CIE 15 version 2018 Proposed.
(section 4.4.1 of Appendix R). \30\.
------------------------------------------------------------------------

[[Page 29894]]

1. ANSI C78.375, ANSI C78.81, ANSI C78.901, and ANSI C82.3
Section 4.1.1 of Appendix R references industry test standards ANSI
C78.375, ANSI C78.81, and ANSI C78.901 for the appropriate voltage and
current conditions and ANSI C82.3 for the appropriate reference
circuits in taking measurements of GSFLs.
ANSI C78.375 provides general guidance for taking measurements of
electrical characteristics of fluorescent lamps. DOE reviewed changes
in ANSI C78.375A-2020 relevant to specifications of voltage and current
conditions. DOE identified that updates in ANSI C78.375A-2020 compared
to its 1997 version included new references to industry test standards
ANSI C78.81, ANSI C78.901, and ANSI C82.3 to determine the appropriate
voltage and current to use in reference circuits. 82 FR 37031, 37034.
Regarding updating DOE's test procedure to reference ANSI C78.375A-
2014, NEMA and LEDVANCE stated they were not aware of any issues.
(NEMA, No. 7 at pp. 2-3; LEDVANCE, No. 5 at p. 3) Because ANSI C78.81,
ANSI C78.901, and ANSI C82.3 are already referenced by the DOE test
procedure to determine the voltage and current to use in reference
circuits, and DOE has determined (as described in the following
paragraphs) that changes in the updated versions of these industry test
standards will not affect final measured values, DOE has tentatively
determined this update in ANSI C78.375A-2020 would not impact the
current requirements of the DOE test procedure or change final measured
values. Therefore, DOE proposes to update references from the 1997
version of ANSI C78.375 to the 2020 version in Appendix R.
Per section 4.1.1 of Appendix R, GSFLs must be operated by a
reference ballast at an input voltage specified in the reference
circuit as described in ANSI C82.3. ANSI C82.3 provides general design
and operating characteristics for reference ballasts used to test
fluorescent lamps. Compared to the 2002 version, the 2016 version of
ANSI C82.3 contains updates regarding impedance tolerances, voltage
regulation, and instrumentation for taking high frequency measurements.
82 FR 37031, 37034. Regarding updating DOE's test procedure to
reference ANSI C82.3-2016, NEMA and LEDVANCE stated they were not aware
of any issues. (NEMA, No. 7 at pp. 2-3; LEDVANCE, No. 5 at p. 3)
DOE identified the specific changes in the updated version of ANSI
C82.3 to the impedance, frequency, and voltage requirements when
operating a reference ballast with a fluorescent lamp in high frequency
conditions. First, the 2016 version of ANSI C82.3 no longer requires an
impedance tolerance of 1 percent for currents between 50 and 115
percent of the calibration current. Second, the 2016 version of ANSI
C82.3 removes frequency tolerances for operation with certain types of
reference ballasts. Third, the 2016 version of ANSI C82.3 increases the
power supply voltage tolerance from 0.2 percent to 1.0 percent.
Although the 2016 version of ANSI C82.3 removes impedance tolerances at
certain currents and the frequency tolerance and allows a wider range
for power supply voltage tolerance, DOE's current test procedure
requires reference ballasts to meet specific current, frequency, and
voltage requirements and associated tolerances specified in the
relevant lamp datasheets. Hence, if all requirements for reference
ballasts in DOE's test procedures are satisfied, DOE has tentatively
determined that changes in impedance, frequency, and voltage tolerances
in ANSI C82.3 would not affect final measured values. DOE has
tentatively determined updates in ANSI C82.3-2016 would not impact the
current requirements of the DOE test procedure or change final measured
values. Therefore, DOE proposes to update references from the 2002
version of ANSI C82.3 to the 2016 version in Appendix R.
Lamp data sheets with physical and electrical characteristics of
fluorescent lamps are provided in ANSI C78.81 (double-ended lamps) and
ANSI C78.901 (single-ended lamps). In the latest versions, ANSI C78.81-
2016 and ANSI C78.901-2016, DOE has identified new lamp datasheets and
updates to existing lamp datasheets for certain GSFLs. DOE proposes to
maintain the current references to ANSI C78.81-2010 and ANSI C78.901-
2005 for determining compliance and to add provisions for manufacturers
to make additional voluntary representations based on high frequency
testing using the updated lamp data sheets. A lamp data sheet provides
the physical and electrical characteristics needed to operate a lamp
appropriately, including starting method and the input voltage,
current, and impedance of the reference ballast on which the lamp
should be tested. For some lamps, the updated industry test standard
now specifies only high frequency reference ballast settings, whereas
previously low frequency settings were provided. Because cathode heat
is not utilized at high frequency, the lamp efficacy would likely
increase during high frequency operation compared to low frequency
operation. DOE's test procedure requires testing at low frequency
unless only high frequency settings are provided. Hence the potential
adoption of ANSI C78.81-2016 and ANSI C78.901-2016 could result in
certain lamps that were previously tested at low frequency being tested
at high frequency, negating the consideration of cathode heat. ANSI
C78.81-2016 and/or ANSI C78.901-2016 remove low frequency reference
ballast settings and provide only high frequency reference ballast
settings for the following lamps: 32 Watt (``W''), 48-Inch T8 lamp; 32
W U-shaped lamp, 6-Inch Center T8 lamp; 31 W, U-shaped, 1-5/8 Inch
Center T8 lamp; 59 W, 96-Inch T8, Single Pin Instant Start lamp; and 25
W, 28 W, and 30 W 48-Inch T8 lamps. Additionally, two new lamp
datasheets were added providing only high frequency reference ballast
settings for the following lamps: 30 W, U-shaped, 6-Inch Center T8 lamp
and 54 W 96-Inch T8, Single Pin Instant Start lamp. 82 FR 37031, 37034.
NEMA noted that, although DOE stated in the August 2017 RFI that
the updated version of ANSI C78.901 was 2014, a 2016 version was
available. (In this notice, DOE's assessments of ANSI C78.901 are based
on the 2016 version.) However, in general, NEMA, LEDVANCE, and Philips
objected to adopting any updated versions of ANSI C78.901 or ANSI
C78.81. NEMA, LEDVANCE, and Philips explained that testing fluorescent
lamps at high frequency settings instead of low frequency settings
would result in an apparent measured efficiency increase of
approximately 5 to 10 percent. (NEMA, No. 7 at p. 3; LEDVANCE, No. 5 at
p. 3; Philips, No. 8 at p. 2)
NEMA stated that current standards for GSFLs were based on the 2010
version of ANSI C78.81 and 2005 version of ANSI C78.901 currently
referenced in Appendix R. NEMA and Philips asserted that testing lamps
previously tested under low frequency settings at high frequency
settings could allow non-compliant lamps to meet standards. (NEMA, No.
7 at p. 3; Philips, No. 8 at p. 2) NEMA stated that compliance with
standards must remain linked to the test procedures on which the
standards are based. (NEMA, No. 7 at p. 3) LEDVANCE asserted that, if
DOE were to update to the latest versions of ANSI C78.81 and ANSI
C78.901, it would also have to amend the applicable energy conservation
standards for GSFLs and increasing these standards was unreasonable for
a mature product already at maximum technology.

[[Page 29895]]

Additionally, LEDVANCE stated, because at high frequency settings
the lamp is providing the same lumen output as at low frequency but at
a lower system wattage, the efficacy increase would be misleading to
the consumers, who associate higher efficacy with more lumens,
ultimately causing consumer dissatisfaction. (LEDVANCE, No. 5 at p. 3)
NEMA and LEDVANCE added that changing the test procedure to
reference high rather than low frequency settings would require
retesting lamps, resulting in significant test burden for all
manufacturers. LEDVANCE estimated that retesting a portfolio of T8
lamps could cost between $100,000 to $200,000, excluding test equipment
purchases and certification costs. (NEMA, No. 7 at p. 3; LEDVANCE, No.
5 at p. 3)
DOE's assessment of ANSI C78.81-2016 and ANSI C78.901-2016
indicates that there has been a considerable shift to testing on high
frequency settings for fluorescent lamps. Except for T12 lamps and a 51
W 8-foot single-pin T8 lamp, GSFLs with ANSI specifications have only
high frequency reference ballast settings in the updated standards.
This shift was also noted in the review of GSFL energy conservation
standards updated in a final rule published January 26, 2015, and for
which compliance was required beginning January 26, 2018. 80 FR 4042
(``2015 GSFL Rule'').
In response to the preliminary analysis preceding the 2015 GSFL
Rule, NEMA stated that, because of the market shift to electronic high
frequency ballasts, ANSI had drafted new standards for electrical and
photometric characterization of GSFL T8 lamps that were based on high
frequency rather than the former low frequency 60 Hz reference
ballasts. NEMA further explained that these high frequency
specifications would be published in 2013 at which point industry would
begin characterizing its products using these high frequency
specifications. NEMA recommended that DOE base its assessment of
potential amendments to standards for GSFLs on the new ANSI high
frequency standards. 79 FR 24068, 24096 (April 29, 2014). In response
to the NOPR of the 2015 GSFL Rule, NEMA also raised several concerns
with DOE's Compliance, Certification Management System (``CCMS'')
database and the use of high frequency settings. NEMA stated that DOE's
assessment of the CCMS data indicated the possibility that 4-foot
medium bipin (``MBP'') reduced wattage lamps and 59 W and 54 W 8-foot
single-pin slimline lamps (59 W to a lesser degree) are being tested
erroneously on high frequency settings. 80 FR 4071, 4072.
The updated ANSI standards were not available in time for the 2015
GSFL Rule to consider basing its analysis on high frequency
specifications. Hence the 2015 GSFL Rule established efficacy levels
based on ANSI wattages as specified in ANSI C78.81-2010 and ANSI
C78.901-2004 and initial lumen outputs published in manufacturer
catalogs.\31\
---------------------------------------------------------------------------

\31\ At the time of the analysis, the dataset on DOE's
certification database did not represent a comprehensive dataset on
which to base an engineering analysis. DOE utilized catalog data to
identify baseline products and develop initial efficacy levels. DOE
then used available certification data to adjust the initial
efficacy levels, if necessary, to ensure that the considered levels
could be met based on the certification values submitted by
manufacturers to demonstrate compliance with standards. 79 FR 24068,
24094.
---------------------------------------------------------------------------

It would be to the benefit of the manufacturers and consumers to
align DOE requirements to the latest industry requirements, providing
one consistent method of assessing the efficacy of fluorescent lamps.
DOE understands that the change in measured efficacy when testing on
high frequency versus low frequency settings resulting from updated
versions of ANSI C78.81 and ANSI C78.901 is not de minimis. Adoption of
test procedures that reference the latest versions of ANSI C78.81 and
ANSI C78.901 would impact compliance under the current GSFL energy
conservation standards and require reassessment of the energy
conservation standards based on measured values tested according to DOE
test procedures using the updated industry test standards (e.g., ANSI
C78.81-2016 and ANSI C78.901-2016).
Based on the impact to test results from testing using only high
frequency settings as provided in ANSI C78.81-2016 and ANSI C78.901-
2016, and the corresponding potential that products currently not
compliant would meet the energy conservation standards if tested under
these latest industry test standards, DOE proposes to maintain the
references to the 2010 version of ANSI C78.81 and 2005 version of ANSI
C78.901. This ensures that lamps are tested and certified for
compliance according to settings upon which current minimum
requirements for GSFLs were established. However, DOE also proposes
that manufacturers can voluntarily make representations at the high
frequency settings specified in the 2016 versions of ANSI C78.81 and
ANSI C78.901 in accordance with test procedures specified in Appendix R
and sampling requirements in 10 CFR 429.27. These values would not be
used for compliance but would be in addition to values obtained for
compliance and used for determining if and how standards for GSFLs
should be amended to accommodate testing at high frequency settings. As
a best practice, an indication of high frequency operation should be
provided with the voluntary representations. DOE proposes to
incorporate by reference ANSI C78.81-2016 and ANSI C78.901-2016 for
this purpose.
Also, ANSI C78.81-2016 includes updates to the reference ballast
characteristics for input voltage and impedance while maintaining the
current for the 86 W, 96-Inch T8 lamp. In the August 2017 RFI, DOE
requested information on how these updated ballast characteristics
would impact measured lamp efficacy. 82 FR 37031, 37034. LEDVANCE
responded that for the 86 W, 96-Inch T8 lamp the impedance was changed
simply to harmonize the impedance value across lamp types and to aid
with starting. LEDVANCE further stated that changing the impedance or
circuit voltage to maintain the same lamp current would not change any
lamp characteristics. (LEDVANCE, No. 5 at p. 4)
DOE has preliminarily determined that changes to lamp
characteristics of the 86 W, 96-Inch T8 lamp will not impact final
measured values. However, as stated previously, due to updates that
provide only high frequency settings for certain lamps, DOE is not
proposing to incorporate ANSI C78.81-2016 for the purposes of testing
to assess compliance with DOE's minimum requirements.
2. IES LM-58
Section 4.4.1 of Appendix R describes test methods for measuring
CRI and CCT. It states that the required spectroradiometric measurement
and characterization shall be conducted in accordance with IES LM-
58.\32\ DOE's review indicated that key changes in IES LM-58-2013
compared to its 1994 version include: (1) Updates to definitions; (2)
clarification updates regarding the characteristics of
spectroradiometers and applicable detectors; and (3) additions of a new
method called array spectrometry and a section on correction methods.
In the August 2017 RFI DOE requested information on referencing the
updated version of IES LM-58 and on the impact on measured values of
using the new array spectrometry method. 82 FR 37031, 37034. NEMA and
LEDVANCE stated that adoption of IES LM-58-2013 posed no known issues.
They added

[[Page 29896]]

that the IES ensures equivalent test results when adding new test
procedures and, therefore, supported the array spectrometry method as
an option. Additionally, NEMA and LEDVANCE pointed out that an addendum
to IES LM-58-2013 had been published to make certain corrections to the
initial version. (NEMA, No. 7 at p. 2; LEDVANCE, No. 5 at p. 4)
---------------------------------------------------------------------------

\32\ Note that the 1994 version of this standard was titled
IESNA LM-58 but the 2013 version is titled IES LM-58.
---------------------------------------------------------------------------

Since the publication of the August 2017 RFI, a 2020 version of IES
LM-58 has been published. In this notice, DOE is proposing to update
the currently referenced 1994 version of IES LM-58 to the 2020 version.
Specifically, the 2020 and 2013 versions of IES LM-58 remove
definitions for spectral irradiance, spectral radiance, and spectral
radiant intensity; and add a definition for colorimeter. IES LM-58-2020
also removes the definition for bandwidth and replaces the term
bandwidth with bandpass throughout the standard. IES LM-58-2020
continues to describe how to measure spectral irradiance, spectral
radiance, and spectral radiant intensity, which are different ways of
measuring radiant flux, and describe how to use bandpass (previously
referred to as bandwidth) in detail. DOE has tentatively determined the
term colorimeter, which is a basic instrument for measuring
chromaticity, was likely added for completeness. IES LM-58-2020 also
includes the new section on array spectrometry and adds further
specificity in taking spectral power measurements. It specifies that
the stray light for a good single-pass and double-pass monochromator to
be respectively, less than 10-\4\ and 10-\8\
times than the maximum signal while the 1994 version specifies
10-\3\ and 10-\6\. It also states that when the
slit scattering function is not triangular, the scanning interval
should be reduced to an integer fraction of the bandpass to reduce
errors. DOE also evaluated the addendum to IES LM-58-2013 and found
that it reverted bandwidth tolerance to that specified in the 1994
version of IES LM-58 and provided further guidance on determining
bandwidth. The content of the addendum has been incorporated into IES
LM-58-2020. DOE has tentatively determined that these additions are
only clarifications and are already being adhered to by industry in
practice. Similarly, the addition of a section on correction methods is
only explicitly stating best practices likely already being followed by
test laboratories when taking spectral power measurements. DOE has
tentatively determined updates in IES LM-58-2020 would not change
current requirements of the DOE test procedure or change final measured
values. Thus, DOE proposes to update references from the 1994 version
of IES LM-58 to the 2020 version in 10 CFR 430.3 for Appendix R.
3. IES LM-45
Sections 3.2, 4.2.1, and 4.2.2 of Appendix R specify that for GSILs
test conditions, methods, and measurements should be conducted in
accordance with 2009 version of IES LM-45. IES LM-45 provides methods
for taking electrical and photometric measurements of general service
incandescent filament lamps. DOE's initial review indicated that
changes in IES LM-45-2015, compared to its 2009 version, included
clarification updates regarding the impact of lamp polarity on light
output and changes to certain tolerances (e.g., impedance limits for
instruments). 82 FR 37031, 37034. Regarding referencing the updated
version of IES LM-45, NEMA and LEDVANCE stated that adoption of IES LM-
45-2015 posed no known issues. (NEMA, No. 7 at pp. 2,4; LEDVANCE, No. 2
at p. 4)
Since the publication of the August 2017 RFI, a 2020 version of IES
LM-45 has been published. In this notice, DOE is proposing to update
the currently referenced 2009 version of IES LM-45 to the 2020 version.
Specifically, DOE identified the following key changes in both the 2015
and 2020 versions of IES LM-45, compared to the currently referenced
2009 version: (1) Specifies testing with the same polarity connections;
(2) increases impedance tolerance of current input from 10 milliohms to
20 milliohms; and (3) updates tolerances for detector used to measure
lumens.
DOE has tentatively determined that added information on polarity
connections in IES LM-45-2020 is only explicitly stating what is likely
already practiced by test laboratories based on how measurements are
taken in electrical circuit setups. DOE has tentatively concluded that
the change in current input impedance tolerance for instrumentation is
small and not discernable in the final measured values. Regarding
updates to detector use, the 2020 version states each detector must
have a relative spectral responsivity which approximates the luminosity
function less than 3 percent while a 5 percent threshold is specified
in the 2009 version. Additionally, the 2020 version states that the
minimum distance of the detector is 10 times the lamp length to keep
error less than 1 percent while 5 times the lamp length is specified in
the 2009 version. DOE has tentatively concluded that these changes have
been made to ensure accuracy of measurement but do not substantively
impact final measured values.
IES LM-45 references IES LM-54, the industry standard for lamp
seasoning, with regards to seasoning lamps. Section 6.2 of IES LM-45-
2020 updates its references of IES LM-54 from the 1999 \33\ version to
the 2020 version. DOE has tentatively determined that referencing the
2020 version of IES LM-54 will not change final measured values and
proposes to incorporate the standard for appendix R (see section 7).
Because lamp seasoning is a necessary part of testing GSILs, DOE is
proposing to incorporate by reference IES LM-54-2020 for appendix R and
referencing section 6.2 of IES LM-45-2020 directly in its revisions to
Appendix R (see section III.C.a). IES LM-45 also references IES LM-78,
the industry standard for measurements in an integrating sphere, with
regards to measurements using a photodetector and for detector sources
of error. Section 7.0 of IES LM-45-2020 updates its references of IES
LM-78, from the 2007 version \34\ to the 2020 version. DOE has
tentatively determined that referencing the 2020 version IES LM-78 will
not change final measured values and proposes to incorporate the
standard for appendix R (see section 8). Because DOE allows use of an
integrating sphere to make necessary photometric measurements of GSILs,
DOE is proposing to incorporate by reference IES LM-78-2020 for
appendix R and referencing section 7.0 of IES LM-45-2020 directly in
its revisions to Appendix R (see section III.C.b).
---------------------------------------------------------------------------

\33\ Illuminating Engineering Society of North America, LM-54-99
IESNA Guide to Lamp Seasoning, Approved May 10, 1999.
\34\ Illuminating Engineering Society of America, IESNA LM-78-07
IESNA Approved Method for Total Luminous Flux Measurement of Lamps
Using an Integrating Sphere Photometer. Approved January 28, 2007.
---------------------------------------------------------------------------

In summary, DOE has tentatively concluded that updates in IES LM-
45-2020 would not change final measured values. Therefore, DOE proposes
to update references from the 2009 version of IES LM-45 to the 2020
version in Appendix R.
4. IES LM-49
Section 4.2.3 of Appendix R specifies that lifetime testing of
GSILs must be conducted in accordance with the 2001 version of IESNA
LM-49. IESNA LM-49 \35\ provides test methods for measuring the
lifetime of incandescent filament lamps. DOE's initial review indicated
that key changes in IES LM-

[[Page 29897]]

49-2012 compared to its 2001 version included: (1) Clarifications
regarding input voltage, voltage regulation, lamp handling, wiring, and
recording failures; (2) addition of instrument voltage tolerances; and
(3) direction regarding the interval at which operation of lamps must
be checked. 82 FR 37031, 37034. Regarding updating references to IES LM
49-2012, NEMA and LEDVANCE stated that adoption of IES LM-49-2012 posed
no known issues. (NEMA, No. 7 at pp. 2,4; LEDVANCE, No. 2 at p. 5)
---------------------------------------------------------------------------

\35\ Note that the 2001 version of this standard was titled
IESNA LM-49 but the 2012 version is titled IES LM-49.
---------------------------------------------------------------------------

Since the publication of the August 2017 RFI, a 2020 version of IES
LM-49 has been published. In this notice, DOE is proposing to update
the currently referenced 2001 version of IES LM-45 to the 2020 version.
The key changes DOE identified were in both the 2012 and 2020 versions
of IES LM-49. Specifically, DOE identified revisions in IES LM-49-2020
that modify language to appropriately use root mean square (``RMS'')
voltage and provide further specifications on test receptacles and lamp
holders. The added instrument tolerances for the test voltage are the
same as those specified in IES LM-45-2009. Because IES LM-45-2009 is
the currently referenced standard for electrical and photometric
measurements of incandescent lamps, the tolerances in this standard are
likely already being followed for any test of an incandescent lamp. IES
LM-49-2020 changes the interval for checking lamp failures from no more
than 0.5 percent of rated life to 1 percent of rated life. This change
continues to allow checking lamp failure at or less than 0.5 percent of
rated life, and therefore would not require retesting. Further DOE
finds that IES LM-49-2020 also specifies the recorded failure time
should be the midpoint of the monitoring interval. This specification
would add consistency to the execution of the test method. Further,
because each interval is no more than a few minutes, the point within
the interval at which the measurement is taken would not have a
significant impact on the final measured value.
DOE has tentatively concluded that the updates in IES LM-49-2020
would not change final measured values. Therefore, DOE proposes to
update references from the 2001 version of IES LM-49 to the 2020
version in Appendix R.
5. IES LM-20
Sections 3.3, 4.3.1, and 4.3.2 of Appendix R specify that, for
IRLs, test conditions, methods, and measurements must be conducted in
accordance with IESNA LM-20-1994. IESNA LM-20 \36\ provides methods for
taking photometric measurements of reflector-type lamps. DOE's initial
review indicated that IES LM-20-2013, compared to its 1994 version,
included the addition of new definitions and changes to existing
definitions. IES LM-20-2013 also included updates regarding
characteristics of photometers, lamp stabilization, intensity
distribution determination, among other topics; and changes to certain
tolerances (e.g., allowable reflectivity in the integrated sphere). 82
FR 37031, 37035. Specifically, DOE identified the following key changes
in IES LM-20-2013, compared to its 1994 version: (1) Updates to
definitions; (2) updates regarding the integrating sphere method; (3)
updates to referenced industry test standards regarding test
conditions; and (4) inclusion of reference to stabilization procedures.
Regarding updating references to IES LM-20-2013, NEMA and LEDVANCE
stated that adoption of IES LM-20-2013 posed no known issues. (NEMA,
No. 7 at pp. 2,4; LEDVANCE, No. 2 at p. 5; Philips, No. 8 at p. 2)
---------------------------------------------------------------------------

\36\ Note that the 1994 version of this standard was titled
IESNA LM-20 but in the 2013 version titled IES LM-20.
---------------------------------------------------------------------------

Since the publication of the August 2017 RFI, a 2020 version of IES
LM-20 has been published. In this notice, DOE is proposing to update
the currently referenced 1994 version of IES LM-20 to the 2020 version.
DOE has tentatively determined that the updates identified in IES LM-
20-2013 have been retained and no other key changes have been made in
the 2020 version. Compared to the 2013 version, IES LM-20-2020 mainly
updates references to other industry standards.
IES LM-20-2013 adds new definitions (e.g. extraneous light,
undirected light) and makes minor updates to existing definitions (e.g.
beam axis, central cone, stray light). The 2020 version maintains the
definitions in IES LM-20-2013. DOE has tentatively determined these
changes to definitions do not change the essential meaning of the terms
or their usage in the test methods.
Section 8.0 of IES LM-20-2020 provides more updated information
regarding minimizing errors when calibrating the integrating sphere and
directly references IES LM-78-2020, the industry standard for
measurements in an integrating sphere, for basic integrating sphere
photometer calibration and measurements. Because DOE allows use of an
integrating sphere to make necessary photometric measurements of IRLs,
DOE is proposing to incorporate by reference IES LM-78-2020 for
Appendix R and referencing section 8.0 of IES LM-20-2020 directly in
its revisions to Appendix R (see section III.C.b). Further IES LM-20
references IES LM-54, the industry standard for lamp seasoning, with
regard to seasoning lamps. Section 6.0 of IES LM-20-2020 updates its
references of IES LM-54 from the 1991 \37\ version to the 2020 version.
DOE has tentatively determined that referencing the 2020 version of IES
LM-54 will not change final measured values and proposes to incorporate
the standard for Appendix R (see section 7). Because lamp seasoning is
a necessary part of testing IRLs, DOE is proposing to incorporate by
reference IES LM-54-2020 for Appendix R and to reference section 6.2 of
IES LM-20-2020 directly in its revisions to Appendix R (see section
III.C.a).
---------------------------------------------------------------------------

\37\ Illuminating Engineering Society of North America, LM-54
Lamp Seasoning, Approved June 1991.
---------------------------------------------------------------------------

IES LM-20-2020 references IES LM-45-2020 for ambient temperature
and instrumentation conditions and lamp connections and circuits while
IES LM-20-1994 references IES LM-45-1991. Compared to the 1991 version,
IES LM-45-2020 changed the temperature tolerance from +/-1 degree to +/
-10 degrees. IES LM-45-2020 also states that maintaining temperature is
not critical for incandescent filament lamps. Because incandescent
filament lamps are not sensitive to small temperature changes, DOE has
tentatively determined that the change in temperature tolerance would
not impact final measured values. Additionally, IES LM-45-2020 omits
the statement that instruments will have an accuracy of at least 0.25
percent, instead referencing instrument manuals and specifying
instrumentation tolerances; tightens the DC supply voltage tolerance
from 0.1 to 0.02 percent; provides specific impedance tolerances for
supply voltages and currents; and specifies tolerances for detectors to
measure lumens. DOE has tentatively concluded that test labs typically
adhere to the specifications in instrument manuals as a best practice.
Further the changes and addition of tolerances provide greater
specificity in the calibration of instruments, increasing repeatability
and reproducibility. DOE has tentatively concluded that these updates
would not impact final measured values. IES LM-45-2020 also adds basic
lamp connection and circuit information including circuit diagrams for
AC and DC connections to a lamp. Because the

[[Page 29898]]

lamp to instrumentation connections for incandescent lamps are
relatively simple, the circuit information and directions provided are
likely already being followed by test laboratories to test IRLs.
IES LM-20-2020 also references IES LM-45-2020 for lamp
stabilization procedures while IES LM-20-1994 only states that lamps
should be seasoned to provide necessary stabilization. IES LM-45-2020
provides a method commonly used in industry for establishing lamp
stability. The method requires determining the average percent
difference of maximum and minimum measurements at several regular
intervals and ensuring it is within a certain tolerance. Laboratories
are likely already following a method like the one prescribed in IES
LM-45-2020 to ensure stability of IRLs before taking measurements.
Hence, DOE has tentatively concluded that the requirement of a specific
stabilization method only explicitly references a procedure that is
already being followed.
In summary, DOE has tentatively concluded that changes in IES LM-
20-2020 would not change measured values. DOE proposes that
manufacturers would not be required to retest and would be able to
continue to rely upon test data previously conducted in accordance with
the DOE test procedure. Hence, DOE proposes to update references from
the 1994 version of IES LM-20 to the 2020 version in 10 CFR 430.3 for
Appendix R.
6. IES LM-9
Sections 3.1, 4.1.1, and 4.4 of Appendix R specify that, for GSFLs,
test conditions, methods, and measurements must be conducted in
accordance with the 2009 version of IES LM-9. IES LM-9 provides methods
for taking electrical and photometric measurements of fluorescent
lamps. The latest version of the industry standard, IES LM-9-2020 was
not available for analysis and requests for comment in the August 2017
RFI. DOE's initial review of this standard indicates no major changes
in the 2020 version except for relevant updated references.
Section 6.2 of IES LM-9-2020 updates its reference of IES LM-54,
the industry standard for lamp seasoning, from the 1999 version to 2020
version. DOE has tentatively determined that referencing the 2020
version of IES LM-54 will not change final measured values and proposes
to incorporate the standard for Appendix R (see section 7). Because
lamp seasoning is a necessary part of testing GSFLs, DOE is proposing
to incorporate by reference IES LM-54-2020 for appendix R and to
reference section 6.2 of IES LM-9-2020 directly in its revisions to
Appendix R (see section III.C.a). Section 7.0 of IES LM-9-2020 updates
its references of IES LM-78 from the 2007 to the 2020 version. DOE has
tentatively determined that referencing the 2020 version of IES LM-78
will not change final measured values and proposes to incorporate the
standard for Appendix R (see section 7). Because DOE allows use of an
integrating sphere to make necessary photometric measurements of GSFLs,
DOE is proposing to incorporate by reference IES LM-78-2020 for
Appendix R and referencing section 7.0 of IES LM-9-2020 directly in its
revisions to Appendix R (see section III.C.b).
In summary, DOE has tentatively concluded that updates in IES LM-9-
2020 would not change final measured values. Therefore, DOE proposes to
update references from the 2009 version of IES LM-9 to the 2020 version
in Appendix R.
7. IES LM-54
IES LM-54 is the industry standard for lamp seasoning. Appendix R
currently references sections of IES LM-45-2009 and IES LM-9-2009 which
reference IES LM-54-1999; and sections of IES LM-20-1994 which
reference IES LM-54-1991. The 2020 versions of IES LM-45, IES LM-9, and
IES LM-20 proposed for incorporation by reference for Appendix R in
this notice have updated this reference to IES LM-54-2020. The latest
version of the industry standard, IES LM-54-2020 was not available for
analysis and requests for comment in the August 2017 RFI.
Compared to both the 1991 and 1999 versions, the 2020 version of
IES LM-54 adds numerous new sections which codify best practices that
labs are likely already following. The 2020 version adds a section on
physical environment test conditions that covers topics such as keeping
labs clean and within the ambient temperature range; not subjecting
lamps to excessive vibration/shock; and using airflow to cool the
seasoning area. The 2020 version also adds a section on electrical test
conditions which includes instructions on frequency, voltage wave
shape, and voltage regulation; basic lamp connection protocols; and
setting up an adjacent ground for fluorescent lamps. Additionally, the
2020 version includes a new section on test preparation which addresses
how to handle and mark lamps. Finally, the 2020 version adds a
statement expressly stating that the orientation of the lamp during
seasoning should be maintained for the entire test. In this NOPR, DOE
is proposing to specify in Appendix R that lamp orientation be
maintained throughout testing, including seasoning and lamp handling
between tests (see section 2 for further details) for all test methods
in Appendix R. These specifications in IES LM-54-2020 are similar to
test conditions in other industry lamp standards. DOE has tentatively
determined that the additions in IES LM-54-2020 are industry best
practices for taking lamp measurements, and therefore likely are
already being followed by laboratories.
DOE also identified updates to specifications in the 1991 version.
The 1991 version states normal seasoning is generally performed at
rated voltage for a period of 0.5 to 1 percent of rated life. The 2020
version states normal seasoning refers to lamp operation at rated
voltage for 0.5 percent of rated life. Because 0.5 percent was already
part of the range, DOE has tentatively concluded that this change will
negligibly impact the seasoning of the lamp. Additionally, compared to
the 1991 version, IES LM-54-2020 provides new accelerated seasoning
times for lamps with rated life of 100-499 hours and changes the
accelerated seasoning time from 45 minutes to 30 minutes for lamps with
lifetimes of 500-1000 hours. IES LM-54-2020 also provides equations to
calculate more-precise estimates of accelerated seasoning time, which
DOE understands to be minimum seasoning times. The 1991 version did not
include these equations. These changes reflect a more precise
assessment of accelerated seasoning time, requiring less seasoning for
lamps with shorter lifetimes. DOE has tentatively concluded that these
adjustments make the accelerated seasoning method more practical to
follow and would negligibly impact the seasoning of the lamp.
8. IES LM-78
IES LM-78 is the industry standard for taking measurements in an
integrating sphere. Appendix R currently reference sections of IES LM-
45-2009 and IES LM-9-2009 which reference IES LM-78-2007. The 2020
versions of IES LM-45 and IES LM-9 proposed for incorporation by
reference for Appendix R in this notice have updated this reference to
IES LM-78-2020. The latest version of the industry standard, IES LM-78-
2020 was not available for analysis and requests for comment in the
August 2017 RFI.
DOE identified several changes in 2020 version of IES LM-78
compared to the 2007 version. The 2020 version includes a discussion of
spectral

[[Page 29899]]

measurements including a new section on taking measurements with a
spectroradiometer within a sphere. IES LM-78-2020 also provides
specific sections on 2[pi] and 4[pi] geometry. For 4[pi] geometry the
2020 version states the total surface area of the lamp should be less
than 2 percent of the total area of the sphere wall. Regarding
instrumentation, the 2020 version states that detectors other than
silicon photodiodes are not recommended. IES LM-78-2020 adds an
explanation on using sphere angular response distribution function
(``SRDF'') to assess sphere responsivity. Further the equation to
compute luminous flux now includes subtraction of dark/stray light, a
ratio of spectral mismatch correction factor to self-absorption factor,
and the sphere angular non-uniformity correction factor. DOE has
tentatively concluded that the additional information in IES LM-78-2020
is reflective of industry learning in making more accurate and
consistent measurements using the integrating sphere but will not
impact final measured values.
DOE also identified updates to specifications. The 2020 version
states the sphere diameter be 1.5 times the length of a linear lamp
whereas it was 2 times the length in the 2007 version. IES LM-78-2020
also states for the degree of the spectral match to the V([lambda])
function, it is preferable that the value of the photometer be less
than 3 percent whereas it was less than 5 percent in the 2007 version.
Throughout the standard the term spatial luminous intensity is replaced
with angular luminous intensity. Finally, the uncertainty analysis
section has been condensed to a list of potential sources of errors and
references to other industry standards for guidance. DOE has
tentatively concluded that these updates are minimal and will not
impact final measured values.
9. CIE 15
Section 4.4.1 of Appendix R states that for incandescent lamps CCT
shall be determined in accordance with the 2004 version of CIE 15. CIE
15 provides the International Commission on Illumination's
recommendations concerning colorimetry (i.e., the measurement of
color). The latest version of the industry standard, CIE 15-2018 was
not available for analysis and requests for comment in the August 2017
RFI. DOE's initial review indicates that CIE 15-2018, compared to its
2004 version, adds specifications regarding the following: Standard
observer data and cone-fundamental-based colorimetric observer data;
indoor daylight illuminant spectra; smoothed D illuminants; LED
illuminants; and geometry specification of colorimetry. The latest
version also makes updates to tables specifying spectral power
distribution data and colorimetric data of illuminants. DOE has
tentatively determined that the updates in CIE 15-2018 do not
substantially change measurement of CCT for incandescent lamps and
would not change final measured values. DOE requests comment on the
impact on measured CCT values of incandescent lamps using CIE 15-2018
compared to the 2004 version of the standard.

C. Proposed Amendments to Appendix R

DOE proposes changes to Appendix R to improve the organization of
the test procedures, further clarify test conditions and measurement
steps, and cite specific sections of referenced industry test
standards. Note that the proposed section references of industry test
standards are based on the version of the standard proposed for
adoption (see section III.B). Additionally, DOE proposes to remove
references to rounding and sample size from Appendix R, as these
requirements are addressed in 10 CFR 429.27, and also to remove
references to minimum lifetime standards as these are provided in 10
CFR 430.32(x)(1)(iii)(A)-(B). DOE details these proposed changes to
Appendix R in the following sections.
1. Definitions
DOE proposes to define certain new terms and modify certain
existing terms in Appendix R. Specifically, DOE proposes to add ``time
to failure.'' To support the test method in Appendix R for measuring
lifetime of lamps that use incandescent technology, DOE proposes to
define ``time to failure'' as the time elapsed between first use and
the point at which the lamp ceases to produce measurable lumen output.
This definition clarifies the time that must be measured to determine
the lifetime of the lamp.
Additionally, DOE proposes four changes related to the definition
of ``lamp efficacy'': (1) To replace ``lamp efficacy'' with ``initial
lamp efficacy;'' (2) to simplify this definition by referencing lamp
efficacy as defined in 10 CFR 430.2; (3) to specify that the value is
determined after the lamp is stabilized and seasoned; and (4) to remove
references to rounding requirements, which are proposed to be addressed
in 10 CFR 429.27 (see section 4 for details on DOE's proposal to
consolidate rounding requirements in 10 CFR 429.27). DOE also proposes
to replace ``lamp lumen output'' with ``initial lumen output'' and to
specify that it is the initial lumen output measured after the lamp is
stabilized and seasoned. Similarly, DOE proposes to replace ``lamp
electrical power input'' with ``initial input power'' and to specify
that it is the initial input power measured after the lamp is
stabilized and seasoned. These proposed changes more accurately
describe the values being determined and measured by the test methods
in Appendix R.
DOE also proposes to remove the term ``reference condition''
because it is neither referenced in nor necessary for the test
procedure. Additionally, DOE proposes to remove definitions for ``ANSI
Standard,'' ``CIE,'' and ``IESNA'' in Appendix R because 10 CFR 430.3
contains the relevant terms. Further, DOE proposes to remove
definitions for ``CCT'' and ``CRI'' which only reference the
definitions in 10 CFR 430.2.
DOE also proposes to update section references to definitions in
industry test standards to align with the proposed updated versions by
changing references to section 2 of IES LM-58-1994 to be references to
section 3 of IES LM-58-2020 and to delete the reference to Glossary of
IES LM-45-2015 as it no longer exists in the 2020 version.
2. General Instructions
To improve the readability of and streamline the test methods in
Appendix R, DOE proposes to add a ``General Instructions'' section to
specify test practices applicable to all lamps covered by the appendix.
To ensure consistency in measurements, DOE proposes to include in
the ``General Instructions'' section specifications regarding: (1)
Conflicting requirements; (2) lamp orientation; (3) lamp breakage; and
(4) rated voltage. First, DOE proposes that, where there is a conflict
between requirements in referenced industry test standards and those in
the appendix, the latter must take precedence. Second, DOE proposes
that lamp orientation be maintained throughout testing, including
seasoning and lamp handling between tests. Third, DOE proposes that, if
a lamp breaks, becomes defective, fails to stabilize, exhibits abnormal
behavior such as swirling \38\ prior to the end of the seasoning
period, or stops producing light, the lamp must be replaced with a new
unit. DOE has tentatively concluded that these proposals only
explicitly state best practices already being followed by labs for
testing lamps,

[[Page 29900]]

and would not change current requirements of the DOE test procedure.
---------------------------------------------------------------------------

\38\ This term refers to the visual observation that a beam or
line of light appears to be ``swirling'' or ``spiraling'' within a
fluorescent tube lamp.
---------------------------------------------------------------------------

Regarding instructions for rated voltage, in the August 2017 RFI,
DOE noted that currently Appendix R requires that incandescent lamps be
operated at the ``rated voltage as defined in Sec. 430.2.'' This
definition of ``rated voltage with respect to incandescent lamps''
references the term ``design voltage,'' also defined in 10 CFR 430.2.
The terms ``rated voltage with respect to incandescent lamps'' and the
associated ``design voltage with respect to incandescent lamps'' are
defined as follows in 10 CFR 430.2:
Rated voltage with respect to incandescent lamps means:
(1) The design voltage if the design voltage is 115 V, 130 V or
between 115V and 130 V;
(2) 115 V if the design voltage is less than 115 V and greater than
or equal to 100 V and the lamp can operate at 115 V; and
(3) 130 V if the design voltage is greater than 130 V and less than
or equal to 150 V and the lamp can operate at 130 V.
Design voltage with respect to an incandescent lamp means:
(1) The voltage marked as the intended operating voltage;
(2) The mid-point of the voltage range if the lamp is marked with a
voltage range; or
(3) 120 V if the lamp is not marked with a voltage or voltage
range. 10 CFR 430.2.
DOE requested feedback on simplifying the test voltage requirements
in these definitions and aligning them, to the extent possible, with
DOE test procedure requirements for other lamp types such as CFLs and
integrated LED lamps. Those test procedures require that CFLs and
integrated LED lamps be tested at the voltage marked on the lamp as the
intended operating voltage and if no voltage is marked to test at 120
volts (``V''); if multiple voltages are marked including 120 V to test
at 120 V, and if multiple voltages are marked not including 120 V to
test at the highest voltage. 82 FR 37031, 37035. DOE received several
comments on modifying the required test voltage for incandescent lamps.
NEMA and LEDVANCE stated their support for simplifying the test
voltage requirements for incandescent lamps with LEDVANCE adding that
the requirement should also apply to IRLs. It is not clear whether NEMA
intended to include IRLs in ``incandescent lamps,'' as NEMA did not
specifically reference IRLs in its comments on test voltage
requirements. Both parties added that DOE's considered changes to test
voltage specifications in the August 2017 RFI would have little
practical impact on products that meet standards stating that, while
there is a reduction in efficiency when testing 130 V lamps at 120 V,
there are no 130 V lamps on the market. (NEMA, No. 7 at p. 5; LEDVANCE,
No. 5 at p. 5) Philips also posed no objections to modifying the
required test voltage for incandescent lamps and referred to NEMA's
comment on the subject. (Philips, No. 8 at p. 3)
However, CA IOUs expressed concern regarding modifying the
requirement for lamps to be tested at the marked voltage. CA IOUs noted
that GSILs are defined as lamps operating at least partially within 110
to 130 volts and with a minimum light output of 310 lumens (232 lumens
for modified spectrum). Further, the 2017 GSL Definition Rules
specified GSLs, which include GSILs and IRLs, as lamps operating
between 100 to 130 V with a minimum light output of 310 lumens. CA IOUs
argued that testing at the labeled voltage could allow lamps to be
tested at a lower voltage producing less than the minimum lumens to be
considered GSLs. (CA IOUs, No. 6 at p. 2) ASAP stated that for
incandescent lamps an increase in voltage will lead to higher lumens,
and some manufacturers may choose to label their lamps at a lower
voltage than for which it was designed to avoid the minimum lumen
requirements of a GSL. In particular, ASAP expressed concerns regarding
re-rating by manufacturers for incandescent lamps with medium screw
bases. ASAP added that allowing manufacturers to test lamps at labeled
voltages not used in real applications could yield results that are not
representative of actual performance for the vast majority of
consumers. Regarding aligning with the CFL and integrated LED lamp test
procedures, ASAP stated that CFLs and integrated LED lamps are often
designed to maintain uniform power consumption and brightness across a
range of operating voltages and therefore can be tested at the voltage
marked on the lamp. Further ASAP stated that the current definition of
``rated voltage with respect to incandescent lamps'' and the associated
``design voltage'' terminology in 10 CFR 430.2 provides sufficient
flexibility to accommodate different types of incandescent lamps while
avoiding loopholes. (ASAP, No. 9 at pp. 2-3)
Based on feedback in response to the August 2017 RFI and further
review, modifying the test voltage requirements in Appendix R to align
with DOE test procedure requirements for CFLs and LED lamps would
change the rated voltage for certain IRLs and potentially exclude them
from the definition of IRL, which is defined as having a rated voltage
or voltage range that lies at least partially in the range of 115 and
130 volts. Further, because energy conservation standards are in part
determined by the rated voltage of the IRL, changes to rated voltage
may subject lamps to different standards. Therefore, DOE proposes to
maintain the current specifications for determining the test voltage of
incandescent lamps as specified in the definition of ``rated voltage
with respect to incandescent lamps'' in 10 CFR 430.2. DOE proposes to
move this voltage specification currently codified as part of a
definition to the ``General Instructions'' section of Appendix R to
make it clear that it applies to GSIL and IRL test methods in Appendix
R.
3. Test Method for Determining Initial Lamp Efficacy, CRI, and CCT
To improve the organization of the appendix, DOE proposes to create
a section called ``Test Method for Determining Initial Input Power,
Initial Lumen Output, Initial Lamp Efficacy, CRI, and CCT'' and include
existing sections regarding these measurements as subsections.
a. Test Conditions and Setup
The test conditions and setup section of the test procedure
provides specifications regarding the ambient, physical, and electrical
conditions of the test setup. To convey this purpose DOE proposes to
include the term ``setup'' in the title and modify the existing
language to use the phrase ``establish ambient, physical, and
electrical conditions'' consistently.
Additionally, for GSFLs, DOE proposes to move the specifications on
appropriate voltage and current conditions and reference ballast
settings from the ``Test Methods and Measurements'' section to ``Test
Conditions and Setup'' as these requirements are part of the electrical
conditions and setup that should be met prior to taking any
measurements. Further as stated in section 1, DOE proposes to allow
manufacturers to make voluntary representations for GSFLs that are
based on high frequency reference ballast settings in the 2016 versions
of ANSI C78.81 and ANSI C78.901. (These optional representations would
be in addition to the required representations made in accordance with
the DOE test procedure and would not be used to show compliance with
minimum requirements.) In support of this testing,

[[Page 29901]]

DOE proposes that, for voluntary high-frequency measurements, lamps
would be required to operate using high frequency reference ballast
settings in ANSI C78.81-2016 and ANSI C78.901-2016. Voluntary
representations are described in a new section 5.0 in Appendix R.
Further, DOE proposes to clarify existing instructions regarding
operation on low versus high frequency reference ballast settings and
the inclusion of cathode power in measurements. For any lamp with an
ANSI datasheet, if the datasheet includes low frequency settings, the
test would occur using low frequency settings and DOE proposes to
clearly state when to include cathode power. For any lamp with an ANSI
datasheet that does not include low frequency settings, the test would
occur using high frequency settings and cathode power would not be
included. For any lamp with no ANSI datasheet, DOE proposes to add text
that clarifies the frequency of operation and whether to include
cathode power in calculations.
DOE proposes to specify that when operating at low frequency,
cathode power must be included in the measurement if ANSI C78.81 or
ANSI C78.901 classifies the circuit application as ``rapid start.'' If
those industry test standards classify the circuit application as
something other than ``rapid start,'' cathode power would not be
included. DOE also proposes to specify that cathode power must not be
included in measurements when operating at high frequency. DOE seeks
comments on the usefulness of the proposed general clarification
regarding cathode power for lamps found in ANSI C78.81 and ANSI C78.901
and any associated impacts on test burden.
Additionally, for lamps that do not have lamp data sheets in
industry test standards, DOE provides reference ballast settings on
which to test in Appendix R. DOE obtained these reference ballast
settings from existing lamp data sheets of industry test standards for
the lamp type most similar to the lamp type not contained in the
industry test standard. However, Appendix R only specifies the
reference ballast settings and does not indicate whether the test must
be done at low or high frequency or include cathode power. DOE proposes
to specifically state whether lamp types not included in industry test
standards must be tested at low or high frequency to clarify that
manufacturers only need to conduct one test and to indicate the
frequency at which that test must occur. DOE also proposes to specify
for these lamps whether cathode power must be included in the
measurements. DOE bases this proposal on how the lamp types most
similar to the lamp type not contained in the industry test standard
are tested. DOE proposes to specify the following:

Table III.2--Proposed Frequency and Cathode Power Test Specifications
for GSFLs
------------------------------------------------------------------------
Test with cathode
Lamp type Test frequency power?
------------------------------------------------------------------------
4-foot medium bipin (T8, Low................. Yes.
T10, T12).
2-foot U-shaped (T8 and T12) Low................. Yes.
8-foot slimline (T8 and T12) Low................. No.
8-foot high output (T12).... Low................. Yes.
8-foot high output (T8)..... High................ No.
4-foot medium bipin standard High................ No.
output and high output (T5).
------------------------------------------------------------------------

DOE notes that if this proposal were finalized, DOE would expect
manufacturers whose test data was not consistent with the specified
cathode heat provisions would be required to retest. DOE seeks comments
on the usefulness of the proposed clarification regarding the frequency
of operation and inclusion of cathode power for lamps that do not have
lamp data sheets in industry test standards and any associated impacts
on test burden.
Appendix R currently references IES LM-9, IES LM-45, and IES LM-20
in their entirety for test conditions. DOE proposes to specify that
ambient, physical, and electrical conditions be established as
described in sections 4.0, 5.0, 6.1, 6.5 and 6.6 of IES LM-9 for GSFLs;
sections 4.0, 5.0, 6.1, 6.3 and 6.4 in IES LM-45 for GSILs; and
sections 4.0 and 5.0 of IES LM-20 for IRLs.
The proposed updates to test conditions and setup in Appendix R
only reorganize or specify more exact industry reference to current
specifications and would not change current requirements of the DOE
test procedure.
b. Test Methods, Measurements, and Calculations
The section on test methods and measurements in the current
Appendix R, in some cases, references industry test standards in their
entirety. It also does not expressly state when to season and stabilize
the lamps or take measurements or which measurements to take. DOE
proposes to limit references of industry test standards to listed
sections and to reorganize the section to provide a clear, step-by-step
process of seasoning and stabilizing the lamp; taking the appropriate
measurements of initial input power and initial lumen output; and
making necessary calculations to determine values of initial lamp
efficacy, CCT, and CRI.
Seasoning and Stabilization
DOE proposes to state explicitly that lamps must be seasoned and
stabilized according to section 6.2 in IES LM-45 for GSILs and section
6.0 in IES LM-20 for IRLs. These proposed updates only specify more
exact industry reference to current specifications and will not change
current requirements of the DOE test procedure.
In the August 2017 RFI, DOE requested information on the use of the
``peak lumen method,'' which is an alternative stabilization method
referenced in IES LM-9, the industry test standard for non-CFL lamps
that use fluorescent technology. 82 FR 37031, 37035. DOE received
several comments on this method. NEMA and LEDVANCE explained that the
peak lumen method is useful for lamps that have long stabilization
times such as high output lamps. (NEMA, No. 7 at p. 5; LEDVANCE, No. 5
at p. 6) NEMA stated that, while the method is not used often since
such lamps are not high volume, the method should be maintained because
it improves throughput time in the laboratory. (NEMA, No. 7 at p. 5)
LEDVANCE stated it did not employ the peak lumen method but had no
objection to its use. (LEDVANCE, No. 5 at p. 6)
IES LM-9 states that through careful correlation tests it may be
possible to relate peak to stabilized lumens by a constant that would
be unique to each lamp type. IES LM-9 goes on to explain

[[Page 29902]]

that the measured peak lumens of a lamp can be multiplied by this
correction factor to determine stabilized lumens. Although industry
feedback indicates that it is not a popular method, the ``peak lumen
method'' can improve throughput time in the laboratory. Therefore, DOE
proposes to continue to allow the ``peak lumen method'' as an
alternative stabilization method.
For GSFLs, DOE proposes to state that lamps must be seasoned and
stabilized in accordance with sections 6.1, 6.2, 6.3, and 6.4 of IES
LM-9. These proposed updates only specify the exact sections of an
industry standard and would not change current requirements of the DOE
test procedure.
Photometric Measurements
In the August 2017 RFI, DOE requested information on allowing only
the integrating sphere method and no longer allowing the
goniophotometer (the combination of a goniometer and photometer) method
for taking photometric measurements of GSFLs, IRLs, and GSILs. 82 FR
37031, 37035. Additionally, DOE requested comments on how frequently
the industry uses the average intensity distribution curve method,
which is the calculation of total lumen output based on the intensity
measurements taken using the goniophotometer method for determining
lumen output of IRLs. DOE received several comments on these topics.
NEMA supported, and LEDVANCE did not object to, allowing the
goniophotometer and average intensity distribution curve methods in
addition to the integrating sphere method. NEMA preferred to maintain
the option of testing with a goniometer \39\ stating that it was a
better method for testing IRLs and also provided flexibility when the
integrating sphere was otherwise occupied. NEMA also stated that, while
the average intensity distribution curve method is little-used, it
should be maintained as an option. (NEMA, No. 7 at p. 5) LEDVANCE
stated that, while it uses the integrating sphere method for testing
and certifying all the lamps including IRLs, LEDVANCE had no objections
to maintaining the goniophotometer as a test method option because of
the flexibility it provided. LEDVANCE stated that, while it did not use
the average intensity distribution curve method, it had no objection to
allowing it. (LEDVANCE, No. 5 at p. 6)
---------------------------------------------------------------------------

\39\ Industry use the term goniophotometer and goniometer
interchangeably, but both refer to the same method in which a large
mirror attached to an arm-like construction is rotated around the
light source (goniometer) and the light that is reflected is
detected and measured by a photometer.
---------------------------------------------------------------------------

CA IOUs stated their belief that, because GSLs are defined to
include GSILs, CFLs, and general service LED lamps and all three lamp
types will be subject to the same standard DOE should strive to
harmonize test methods, where possible. Because only the integrating
sphere method is allowed for CFLs and integrated LED lamps, the CA IOUs
expressed support for allowing only this method for measuring light
output of GSFLs, IRLs, and GSILs. (CA IOUs, No. 6 at p. 2)
Because alternative methods of measurement may provide logistical
flexibility, even though they are little-used, DOE proposes to continue
to allow the average intensity distribution method for reflector lamps
and goniophotometers for all lamps in addition to the integrating
sphere method. Thus, the proposal makes no change to the current test
procedure. DOE proposes to specify that initial lumen output
measurements be taken in accordance with section 7.0 in IES LM-9 for
GSFLs, section 7.0 in IES LM-45 for GSILs, and section 7.0 or 8.0 in
IES LM-20 for IRLs.
Additionally, for reflector lamps, DOE proposes to require
measuring initial lumen output rather than total forward lumens (as it
is currently described in Appendix R). DOE most recently discussed
measuring an IRL's total forward lumens more than twenty years ago in a
test procedure final rule published on May 29, 1997. 62 FR 29222,
29235. In that rulemaking proceeding, NEMA commented that the light
output for IRLs should be measured as total forward lumens. 62 FR
29222, 29235. In a final rule published June 13, 1995, in response to a
letter from NEMA containing a similar request for measurement in total
forward lumens, the FTC amended its labeling requirements for IRLs to
clarify ``total forward lumens,'' instead of lumens ``at beam spread.''
60 FR 31077, 31079-31080. FTC concluded that light output disclosure
should reflect useable light output reflected forward, and not merely
forward light focused within the more narrow ``beam spread'' of the
particular lamp. 60 FR 31077, 31080. Neither IES LM-20-2013 nor IESNA
LM-20-1994 uses the term ``forward lumens.'' However, based on FTC's
amendment, DOE tentatively finds that, because a reflector lamp is
designed to focus lumens in a specific direction rather than in all
directions, the term ``total forward lumens'' has the same meaning as
``initial lumen output.'' To align terminology with other lamp test
procedures (i.e., GSFLs, GSILs, CFLs, and LED lamps), DOE proposes to
change the term ``total forward lumens'' to ``initial lumen output''
for IRLs in Appendix R.
Determining CRI and CCT
DOE proposes to include a test method for determining CRI for lamps
that use incandescent technology. Because there is a minimum CRI
requirement for GSILs (see 10 CFR 430.32(x)(1)), and manufacturers are
required to certify CRI values for GSILs (see 10 CFR
429.27(b)(2)(iii)), DOE proposes to include a test method for
determining CRI of GSILs in Appendix R. In addition, the Energy
Independence and Security Act (``EISA'') of 2007 established a CRI
requirement for IRLs.\40\ Hence, DOE also proposes to include a test
method for determining CRI of IRLs in Appendix R. Specifically, DOE
proposes to require that CRI of GSILs be determined in accordance with
section 7.4 in IES LM-45 and CIE 13.3 and that CRI of IRLs be
determined in accordance with CIE 13.3. Because CIE 13.3 is the
industry test standard for testing CRI of all lamps, CRI is likely
already being measured in accordance with this standard. Hence, DOE has
tentatively concluded that the proposed test method for CRI is only
establishing procedures already being followed.
---------------------------------------------------------------------------

\40\ Section 321(a) of EISA 2007 established CRI requirements
for lamps that are intended for a general service or general
illumination application (whether incandescent or not); have a
medium screw base or any other screw base not defined in ANSI
C81.61-2006; are capable of being operated at a voltage at least
partially within the range of 110 to 130 volts; and are manufactured
or imported after December 31, 2011.
---------------------------------------------------------------------------

For GSFLs, Appendix R currently requires CRI to be determined in
accordance with CIE 13.3. (Section 4.4.1 of Appendix R). For
completeness, DOE proposes to state that, in addition to CIE 13.3, the
CRI of GSFLs be determined in accordance with section 7.6 in IES LM-9.
Currently Appendix R requires CCT for GSFLs to be determined in
accordance with IES LM-9, and CCT for incandescent lamps to be
determined in accordance with CIE 15. Id. DOE proposes to require that
CCT of GSFLs be determined in accordance with section 7.6 in IES LM-9
and CIE 15; CCT of GSILs be determined in accordance with section 7.4
in IES LM-45 and CIE 15; and CCT of IRLs be determined in accordance
with CIE 15. Section 7.6 of IES LM-9 states that color measurements are
based on chromaticity coordinates and CRI as defined by CIE standards.

[[Page 29903]]

4. Test Methods, Measurements, and Calculations for Determining Time to
Failure
To improve the organization of the appendix, DOE proposes to create
a section called ``Test Method for Determining Time to Failure for
General Service Incandescent Lamps and Incandescent Reflector Lamps''
and subsections, ``Test Conditions and Setup,'' and ``Test Methods,
Measurements, and Calculations.'' To clarify the existing test method
for determining the time to failure of GSILs and adopt the same test
method for determining time to failure of IRLs, DOE proposes to include
information on test conditions, seasoning and stabilization, and remove
information not pertinent to determining the time to failure value of
the lamp.
Currently Appendix R requires measuring lifetime of GSILs in
accordance with IES LM-49 and does not provide a test procedure for
measuring lifetime of IRLs. DOE proposes to measure lifetime of IRLs in
accordance with IES LM-49 and use the same methods as for GSIL lifetime
testing. To improve the clarity of the existing instructions for GSIL
lifetime testing and the proposed instructions for IRL lifetime
testing, DOE proposes to reference specific sections of the industry
standards to execute the steps in determining lifetime for GSILs and
IRLs. To specify the ambient, physical, and electrical conditions, DOE
proposes to reference sections 4.0 and 5.0 of IES LM-49. DOE also
proposes to specify that the lamps must be seasoned and stabilized and
reference section 6.2 of IES LM-45 for these procedures. Also, as
explained in section 1, DOE is proposing to replace ``lifetime'' with
the term ``time to failure,'' which would be defined as the time
elapsed between first use and the point at which the lamp ceases to
produce measurable lumen output (see section 1). This provides more
precision regarding the point at which measurements must be taken.
Further, DOE proposes to require measuring ``time to failure'' in
accordance with section 6.0 of IES LM-49 (see section 1). (DOE is also
proposing to use the term ``time to failure'' to describe the
represented value for lifetime; see section III.D). Additionally,
because accelerated lifetime testing is described in section 6.4 of the
latest version of IES LM-49 proposed for adoption in this notice, DOE
proposes to update the existing reference to section 6.1 to be section
6.4 of IES LM-49 in the provision disallowing accelerated testing.
Finally, because it relates to the standard rather than the test
procedure, DOE proposes to remove language stating that the lamp will
be deemed to meet minimum rated lifetime standards if greater than 50
percent of the sample size meets the minimum rated lifetime from
appendix R.
DOE has tentatively determined that these proposed updates would
not change current requirements for testing lifetime of GSILs, as the
updates only explicitly state certain steps of the referenced industry
standard for determining time to failure for incandescent lamps and
provide the associated section references to an industry test standard
already incorporated by reference. DOE tentatively determines that
because the proposed requirements for testing lifetime of IRLs
reference IES LM-49, the industry standard for testing lifetime of
incandescent lamps, they are not substantively different from those
manufacturers are currently using to conduct this test.
5. References to Industry Test Standards
NEMA recommended DOE adopt industry test standards ``without
modification'' because testing according to both modified industry test
standards in DOE test procedures and to original industry test
standards for other programs such as ENERGY STAR or the State of
California's standards increases burden. NEMA added that following a
single test procedure for all these programs minimizes risk of errors.
(NEMA, No. 7 at p. 2) Philips agreed, citing the test lab costs for
setting up protocols for modified industry test standards and the
potential of erroneously using the modified industry test standard to
test a product for non-DOE purposes. (Philips, No. 8 at p. 2) LEDVANCE
agreed, adding that adopting industry test standards without
modification streamlines and simplifies testing requirements.
(LEDVANCE, No. 5 at p. 6)
In this document, DOE is only updating referenced industry test
standards to the latest versions and including more specific section
references of these industry test standards. Further, the potential of
adopting a test procedure that is different from other programs should
not add to test burden for these lamp types. Because the ENERGY STAR
program does not include lamps that operate on an external ballast, its
test method would not apply to the GSFLs subject to DOE's test
procedures. ENERGY STAR also does not include any incandescent lamp
types.\41\ Manufacturers also do not need to conduct separate tests for
California requirements because the California Energy Commission
regulations refer to the DOE test procedures for testing general
service fluorescent lamps, general service incandescent lamps, and
incandescent reflector lamp types (see 20 California Code of
Regulations 1604 \42\).
---------------------------------------------------------------------------

\41\ ENERGY STAR[supreg] Program Requirements Product
Specification for Lamps (Light Bulbs) Eligibility Criteria Version
2.0. February 2016. <a href="https://www.energystar.gov/sites/default/files/asset/document/ENERGY%20STAR%20Lamps%20V2%20Revised%20Spec.pdf">https://www.energystar.gov/sites/default/files/asset/document/ENERGY%20STAR%20Lamps%20V2%20Revised%20Spec.pdf</a>.
\42\ California Code of Regulations. ``Test Methods for Specific
Applications.'' <a href="https://govt.westlaw.com/calregs/Document/I90BAEA80D44E11DEA95CA4428EC25FA0?viewType=FullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=">https://govt.westlaw.com/calregs/Document/I90BAEA80D44E11DEA95CA4428EC25FA0?viewType=FullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=</a>(sc.Default
).
---------------------------------------------------------------------------

D. Amendments to 10 CFR 429.27, 10 CFR 429.33 and 10 CFR 430.2

DOE proposes to modify language in 10 CFR 429.27, which sets forth
the sampling, certification, and rounding requirements for GSFLs, IRLs,
and GSILs, to improve clarity and organization and ensure it supports
the labeling requirements for lamps established by the FTC. DOE also
proposes changes to definitions in 10 CFR 430.2 to align better with
terminology proposed in Appendix R and 10 CFR part 429. Further, DOE
proposes to separate each lamp type by creating two new sections in 10
CFR part 429. This will add clarity and allow DOE to treat represented
values differently depending on the product. Although the paragraphs
below describe changes to 10 CFR 429.27, the changes for each lamp type
will appear in separate sections in 10 CFR part 429. DOE also proposes
to revise 10 CFR 429.33 to replace references to 10 CFR 429.27 with
references to the proposed, separate sections for each lamp type.
1. Definitions
To provide further clarity to the test procedure DOE is making
several updates to definitions including revising the definition of
``basic model;'' references and definition of ``rated;'' and updating
definitions of different IRL types.
Definitions of ``Basic Model''
DOE proposes to update the definition of ``basic model'' in 10 CFR
430.2 to replace ``lumens per watt (lm/W)'' with ``lamp efficacy.''
This improves clarity by using the name of the metric instead of the
unit of measure. Lamp efficacy is already defined elsewhere in 10 CFR

[[Page 29904]]

430.2 as being expressed in terms of lumens per watt.
Definitions and References of ``Rated''
DOE proposes to replace references of ``rated lumen output'' and
``rated lifetime'' in 10 CFR 429.27 with, respectively, ``initial lumen
output'' and ``lifetime.'' The term ``rated'' can lead to
misunderstanding to the extent a reader interprets it as a standardized
value rather than one that is determined through measurements. DOE
requests comments on replacing ``rated lumen output'' and ``rated
lifetime'' with, respectively, ``initial lumen output'' and
``lifetime.''
The term ``rated lifetime for general service incandescent lamps''
is defined in 10 CFR 430.2 in relevant part as ``the length of
operating time of a sample of lamps,'' as defined in 10 CFR 429.27,
``between first use and failure of 50 percent of the sample size,'' as
determined in accordance with Appendix R. To align with proposed
requirements in 10 CFR 429.27 for determining lifetime, DOE proposes to
remove the term ``rated.'' Additionally, because the term ``lifetime''
rather than ``lifetime for general service incandescent lamps'' is used
in 10 CFR 429.27, DOE also proposes to remove ``for general service
incandescent lamps.'' DOE also proposes to modify the definition to
``the length of operating time between first use and failure of 50
percent of the sample units (as specified in 10 CFR 429.27 of this
chapter), determined in accordance with the test procedures described
in Appendix R to subpart B of this part.''
``Rated wattage'' for GSILs and IRLs is defined in 10 CFR 430.2 as
the electrical power measured according to Appendix R. If there is no
lamp datasheet for a type of GSFL in one of the referenced ANSI
standards, ``rated wattage'' for GSFLs is defined as the electrical
power of a lamp when measured according to the test procedures outlined
in Appendix R. To align with 10 CFR 429.27, DOE proposes to clarify
this definition by replacing the references to Appendix R with
references to the relevant sections in 10 CFR part 429 and replacing
``electrical power'' with ``initial input power.'' DOE requests
comments on the proposed definition of ``lifetime'' and modification to
the definition of ``rated wattage'' in 10 CFR 430.2.
In the provisions for determining the represented value of rated
wattage for GSFLs, GSILs, and IRLs, DOE proposes to change to ``rated
wattage'' in any current references to ``rated lamp wattage,'' for
consistency within 10 CFR part 429 and to conform to the relevant term
used in the energy conservation standards in 10 CFR 430.32.
Finally, in the provisions for determining the rated wattage of
GSILs, DOE proposes to change how to determine the 95-percent upper
confidence limit from using a two-tailed confidence interval to a one-
tailed confidence interval. A two-tailed confidence interval test is
typically utilized to determine whether a set of results could be
either higher or lower while a one-tailed confidence interval test is
typically utilized to determine whether a set of results are going in
one specific direction (i.e., either higher or lower). All represented
values of lamp metrics required by DOE are either the greater of or
lower of the mean or the upper/lower confidence limit of the results--
depending on how the consumer may value that metric. (For example,
where lower values are favored, such as wattage, the represented value
is greater of the mean or upper confidence limit of the results.)
Currently any represented value of rated wattage for a GSIL is the
greater of the mean or the upper 95-percent confidence limit. Because
DOE is interested in the greater value from the tested results for
wattage, a one-tailed confidence interval rather than two-tailed
confidence interval test is appropriate. The proposed change to a one-
tailed confidence interval will also align the represented value
determination of rated wattage of GSILs with all other represented
value determinations of lamp metrics. DOE requests comment on its
proposed changes to the provisions for determining the represented
value of rated wattage for GSFLs, GSILs, and IRLs.
Definitions of IRL Types
On May 1, 2020 DOE published an RFI document seeking comments to
inform its determination of whether the standards for IRLs need to be
amended. 85 FR 25326. In response to the RFI, DOE received several
comments on the definitions of different types of IRLs. CA IOUs
recommended that DOE update the industry references in 10 CFR 430.2 for
the definitions of bulged parabolic reflector (``BPAR''), reflector
(``R'')20, elliptical reflector (``ER''), and bulged reflector (``BR'')
lamps with the latest versions of ANSI C78.21-2011(R2016) \43\ and ANSI
C78.79-2014 (R2020) \44\ to ensure that the latest industry standards
and definitions are reflected. (CA IOUs, No. 8 at p. 4) NEMA supported
the use of ANSI C78.21-2011 (R2016) as the current industry reference
for reflector shape lamps. NEMA stated that colored lamps, lamps
designed for rough or vibration service applications, and lamps that
are R20 short type should remain excluded from the IRL definition.
(Docket No. EERE-2019-BT-STD-0030, NEMA, No. 6 at p. 2)
---------------------------------------------------------------------------

\43\ American National Standards Institute, ANSI C78.21-
2011(R2016) American National Standard for Incandescent Lamps--PAR
and R Shapes, Approved August 23, 2016.
\44\ American National Standards Institute, ANSI C78.79-
2014(R2020) American National Standard for Electric Lamps--
Nomenclature for Envelope Shapes Intended for Use with Electric
Lamps, Approved January 17, 2020.
---------------------------------------------------------------------------

DOE agrees with CA IOUs and NEMA on updating the CFR references
with the latest versions of the currently referenced industry
standards. Therefore, in this notice, DOE proposes to update the
definitions in 10 CFR 430.2 for the BPAR, R20, ER, and BR incandescent
reflector lamps with references to the latest versions of the currently
referenced industry standards. Additionally, DOE is proposing
definitions for R and parabolic aluminized reflector (``PAR'')
incandescent reflector lamps that reference ANSI C78.21-2011 (R2016).
Accordingly, DOE proposes to incorporate by reference ANSI C78.21-2011
(R2016) and ANSI C78.79-2014 (R2020) for 10 CFR 430.2.
2. Sampling Requirements
DOE proposes certain clarifying and organizational modifications to
the sampling provisions in 10 CFR 429.27(a). First, to be consistent
with sampling requirement language for other lamp types (i.e., CFLs and
integrated LED lamps), DOE proposes to state explicitly that
represented values and certified ratings must be determined in
accordance with the sampling provisions described in 10 CFR part 429.
DOE also proposes to require using the same sample of units as the
basis for representations for all metrics for each basic model.
DOE proposes to change the minimum sample size from 21 lamps to 10
lamps and to remove the requirement that a minimum of three lamps be
selected from each month of production for a minimum of 7 out of a 12-
month period. Removing the latter provision would reduce confusion and
burden. First, the 12-month requirement has led to confusion among
manufacturers who interpreted this to mean DOE requires re-testing
every calendar year. Second, selecting a few sample units from multiple
months of the year can be difficult to coordinate and execute. In
particular, if a manufacturer does not initially know the number of
months in

[[Page 29905]]

which it will produce the basic model, it would need to reserve lamps
from each production month and later decide how many to test. In light
of these considerations, DOE proposes to remove this requirement and
instead align the minimum number of sample units with the requirements
for other lighting products. Reflecting this change, DOE also proposes
to eliminate the requirement to identify the production months of
sample units in 10 CFR 429.27(c) by providing the production date codes
and accompanying decoding schemes for all test units. DOE does not
believe this change would require manufacturers to retest products.
Current certifications based on 21 lamps would meet the proposed
requirement to base certification on a minimum of 10 units. However,
manufacturers would likely choose to test fewer lamps when they certify
new products and therefore save testing costs. The expected cost
savings are described in section III.H. DOE requests comments on its
proposal to reduce the minimum sample size and remove the requirement
that a minimum of three lamps be selected from each month of production
for a minimum of 7 months out of a 12-month period.
Because sample units would no longer have to be selected over a 12-
month period, DOE is also proposing to remove the requirement in 10 CFR
429.12(e)(2) to submit an initial certification report prior to or
concurrent with the distribution of a new basic model for GSFLs and
IRLs. Instead, for GSFLs and IRLs, the complete certification report
described in 10 CFR 429.12(b) would be required at that time. In
addition, DOE expects that a manufacturer would complete the testing
needed to submit a certification of compliance with standards prior to
distribution in commerce, so a subsequent report would not be needed to
reflect additional test results. DOE requests comments on its proposal
to remove the submission of an initial certification report for GSFLs
and IRLs.
3. Represented Value Determinations
DOE proposes to add specifications for determining the represented
values of certain metrics. Under the FTC lighting facts labeling
requirement, manufacturers of GSILs and IRLs are required to include on
the lamp packaging basic and consistent information, including lumen
output, wattage, life, CCT, and costs of annual energy consumption. 16
CFR 305.23(b) In support of FTC labeling requirements for GSILs and
IRLs, DOE proposes adding determinations for the represented values of
life (in years), estimated annual energy cost (in dollars per year),
CCT, wattage (for IRLs only), and initial lumen output (for IRLs only).
Specifically, DOE proposes represented values of life (in years)
for GSILs and IRLs be determined by dividing the represented lifetime
of these lamps as determined by DOE requirements in 10 CFR part 429 by
the estimated annual operating hours as specified by FTC in 16 CFR
305.23(b)(3)(iii). To support this calculation, DOE proposes that
lifetime for IRLs be determined as equal to or less than the median
time to failure of the sample. DOE proposes represented values of
estimated annual energy cost (in dollars per year) for GSILs and IRLs
be determined in accordance with FTC requirements (i.e., a usage rate
of 3 hours per day, and 11 cents ($0.11) per kWh) using the average
initial wattage for the tested sample of lamps (see 16 CFR
305.23(b)(3)(ii)). DOE proposes the represented values of CCT for GSILs
and IRLs be determined as the mean of the sample. Because consumers
would favor a higher value for initial lumen output, DOE proposes
represented values of initial lumen output for IRLs be determined as
less than or equal to the lower of the mean or the lower confidence
limit of the sample. DOE proposes the represented value of wattage for
IRLs be determined as the mean of the sample. Because IRL wattage is
used to determine which lamps are subject to DOE standards, the mean
(average) of measured values is appropriate and confidence limits need
not be applied.
Additionally, DOE's current test procedure for GSFLs includes
measurement of wattage and CCT and in this notice DOE is proposing a
test procedure for measuring CRI of IRLs (see section III.C.3). To
support these test procedures, DOE proposes to provide instructions on
determining the represented values for wattage and CCT of GSFLs and CRI
for IRLs. Because consumers would favor a higher value for CRI, DOE
proposes represented values of CRI for IRLs be determined as less than
or equal to the lower of the mean or the lower confidence limit of the
sample. DOE proposes the represented value of wattage and CCT for GSFLs
be determined as the mean of the sample. Because GSFL wattage and CCT
are used to determine which lamps are subject to DOE standards, the
mean (average) of measured values is appropriate and confidence limits
need not be applied.
Further, DOE is proposing revisions to the existing represented
value determinations of initial lumen output for GSILs and CRI for
GSFLs. DOE proposes to revise the current instruction to average the
measurements of lumen output for GSILs. Because GSIL energy
conservation standards are based on initial lumen output and consumers
would favor a higher value for this metric, DOE proposes the
represented initial lumen output be less than or equal to the lower of
the mean or the lower confidence limit. DOE proposes to revise the
current instruction to apply the lower confidence limit to determine
CRI for GSFLs. Because CRI can determine which lamps are subject to DOE
standards, the mean (average) of measured values is appropriate and
confidence limits need not be applied. DOE proposes the represented
value of CRI for GSFLs to be determined as the mean of the sample.
Finally, DOE is proposing changes to clarify the determination of
the represented value of lifetime for GSILs. DOE proposes to remove
language stating that lifetime is the length of operating time between
first use and failure of 50 percent of the sample size. Instead DOE
proposes to state that the represented value of lifetime is equal to or
less than the median time to failure of the sample. For an odd sample
size, the median time to failure is simply the middle unit's time to
failure. For an even sample size, it is the arithmetic mean of the time
to failure of the two middle samples. DOE also proposes this clarified
determination of represented value of lifetime for IRLs.
4. Reporting Requirements
In line with the proposed amendments to sampling requirements (see
section III.D.2), DOE is proposing to remove the requirement to report
production dates of units tested for GSFLs, IRLs, and GSILs.
Additionally, DOE is proposing to clarify currently reported values for
GSFLs, IRLs, and GSILs by removing ``12-month average'' from the
description.
Further to align with the proposed method of referencing wattage
(see section III.D.1), DOE is clarifying the description of ``lamp
wattage'' so that it instead reads as ``rated wattage'' for GSFLs,
IRLs, and GSILs. To align with proposed method of referencing lifetime
(see section III.D.1), DOE is clarifying the description of ``average
minimum rated lifetime'' so that it instead reads as ``lifetime'' for
GSILs.
5. Rounding Requirements
For completeness and clarity, DOE proposes to specify rounding
requirements for all represented values. DOE proposes to require
rounding initial input power to the nearest tenth of a watt, initial
lumen output to three

[[Page 29906]]

significant digits, CRI to the nearest whole number, and lifetime to
the nearest whole hour. DOE proposes to modify the CCT rounding
requirement to the nearest 100 Kelvin. Currently Appendix R requires
rounding lamp efficacy to the nearest tenth of a lumen per watt and CCT
to the nearest 10 Kelvin. These updates to rounding requirements align
with other DOE lamp test procedures such as CFLs and integrated LED
lamps, and DOE has tentatively determined they provide the necessary
level of precision for evaluating compliance with the applicable
metric(s).
DOE proposes to move the rounding requirements for lamp efficacy
and CCT from Appendix R to part 429. DOE also proposes to consolidate
all rounding provisions in a single paragraph in the relevant product-
specific section in part 429, subpart B.

E. Amendments to 10 CFR 430.23(r)

Test procedures and measurements for GSFLs, IRLs, and GSILs are
specified in 10 CFR 430.23(r). This section includes calculations and
appropriate section references to Appendix R for determining annual
energy consumption, lamp efficacy, CRI, and lifetime for GSFLs, GSILs,
and IRLs, as applicable. Because calculations for determining these
metrics are already established in Appendix R, DOE proposes to remove
them from Sec. 430.23(r). Additionally, DOE proposes to reference
Appendix R in general rather than specifying sections, so that any
future amendments to sections in Appendix R do not require changes in
10 CFR 430.23(r). Finally, DOE proposes to remove all references to
annual energy consumption as this metric is not required by DOE. DOE
proposes to replace the current language in 10 CFR 430.23(r) with a
requirement to measure initial lumen output, initial input power,
initial lamp efficacy, CRI, CCT, and time to failure in accordance with
Appendix R.

F. Conforming Amendments to Energy Conservation Standard Text at 10 CFR
430.32

To avoid confusion and align with the proposed new terminology for
Appendix R and 10 CFR 429.27, DOE proposes to modify certain terms
related to the energy conservation standards for GSFLs, IRLs, and
GSILs. The tables in 10 CFR 430.32(n)(6) and 10 CFR 430.32(x) provide
the energy conservation standards for IRLs and GSILs, respectively,
where the wattage terms are measured values. For IRLs, DOE proposes to
change ``rated lamp wattage'' to be ``rated wattage'' in 10 CFR
430.32(n)(6). Also, in existing footnote 1 in the table in 10 CFR
430.32(n)(6), DOE proposes to specify the ``P'' in the minimum standard
equation as ``rated wattage'' rather than ``rated lamp wattage.'' For
GSILs, DOE proposes to change the term ``maximum rate wattage'' to
``maximum rated wattage'' in 10 CFR 430.32(x).
Further, for GSIL standards in 10 CFR 430.32(x), DOE proposes to
remove the term ``rated'' from ``rated lumen ranges'' and add an
explanatory footnote to use the measured initial lumen output to
determine the applicable lumen range. Finally, DOE proposes to remove
the term ``rate'' from ``minimum rate lifetime'' and add an explanatory
footnote stating to use lifetime determined in accordance with 10 CFR
429.27 to assess compliance with this standard. The use of ``initial
lumen output'' and ``lifetime'' aligns with the proposed terminology
for Appendix R and 10 CFR 429.27. DOE tentatively finds that the
proposed changes to terminology in GSFL, IRL and GSIL energy
conservation standards do not change the existing requirements but only
clarify how measured values relate to the requirements in Sec. 430.32.
Additionally, DOE proposes to remove the lamp efficacy requirements
for GSFLs manufactured after May 1, 1994, and November 1, 1995, and on
or before July 14, 2012, listed in 10 CFR 430.32(n)(1) and for IRLs
manufactured after November 1, 1995, and on or before July 14, 2012,
listed in 10 CFR 430.32(n)(5). Eight years ago, new standards
superseded these standards, and there are likely no units on the market
to which they apply.
Finally, DOE proposes to change the subparagraph numbering in 10
CFR 430.32(x) as follows: 10 CFR 430.32(x)(1)(iii)(A) and (B) to
respectively 10 CFR 430.32(x)(2) and (3); and subsequently renumber 10
CFR 430.32(x)(2) and (3) to 10 CFR 430.32(x)(4) and (5). This will
reduce any confusion that standards under these subparagraphs are
applicable only for lamps that fall under 10 CFR 430.32(x)(1)(iii).

G. Test Burden

DOE received several comments regarding the test burden resulting
from updated test procedures for GSFLs, GSILs, and IRLs.
NEMA and LEDVANCE stated that to reduce test burden DOE should
eliminate the annual sampling, testing, and reporting requirement for
GSFL, GSIL, and IRL basic models and require only reporting to CCMS
when products change, or are removed from or introduced into the
market. (NEMA, No. 7 at p. 6; LEDVANCE, No. 5 at p. 6)
DOE does not require manufacturers to retest a basic model
annually. The initial test results used to generate a certified rating
for a basic model remain valid as long as the basic model has not been
modified from the tested design in a way that makes it less efficient
or more consumptive, which would require a change to the certified
rating. 10 CFR 429.12(e). If a manufacturer has modified a basic model
in a way that makes it more efficient or less consumptive, new testing
is required only if the manufacturer wishes to make representations of
the new, more efficient rating. DOE does require that manufacturers
report certified values for a basic model even if the previously
submitted certified value has not changed and retesting is not
required. See 10 CFR 429.12(a). Because this should only entail
resubmitting existing documents, DOE has tentatively concluded that the
test burden of this requirement is minimal.
NEMA, LEDVANCE, and Philips stated that amending test procedures
will not induce manufacturers to undertake any innovation efforts for
these products. NEMA and LEDVANCE added that any amendments to test
procedures could increase, rather than decrease, test burden. LEDVANCE
added that all its research and development is being conducted in SSL
products. Along these lines, NEMA stated that DOE should carefully
consider burden when determining whether to update test procedures for
highly mature products. (NEMA, No. 7 at p. 6, LEDVANCE, No. 5 at p. 7;
Philips, No. 8 at p. 3) CA IOUs stated that, where there are conflicts,
inaccuracies or outdated references, DOE should make updates to test
procedures as needed regardless of perceived test procedure burdens. CA
IOUs asserted that test procedures should be comprehensive and reflect
real-world usage or would become burdensome in the long-term,
particularly as multiple product standards evolve such as the ENERGY
STAR[supreg], California Title 20 requirements, and California Title 24
requirements. (CA IOUs, No. 6 at pp. 1-2)
DOE's proposed updates to its test procedures in Appendix R and
associated sections to update references to industry test standards and
to clarify the language and organization of the test procedures are not
related to product innovation. DOE has tentatively determined that
these proposed updates will not increase test burden. As discussed in
section III.B, updates in the

[[Page 29907]]

latest versions of industry test standards do not substantively impact
test methods. Further, in proposing language that clarifies
definitions, test conditions, measurements/calculations, sampling, and
certification requirements, DOE seeks to make the test procedures
easier and clearer to follow. Additionally, DOE is providing test
methods for measuring the CRI of incandescent lamps to support existing
statutory requirements and for determining the lifetime of incandescent
reflector lamps to support FTC labeling requirements. Written
representations of these values are already required; CRI is a value
reported for GSILs and life (in years) is required on FTC Lighting
Facts labels. Finally, DOE is proposing to revise the sampling
requirements such that fewer lamps need to be tested (see section
III.D) which would result in cost savings for manufacturers as they
certify new products to DOE. DOE has tentatively concluded that the
proposed amendments in this notice clarify existing test procedures and
result in cost savings (see section III.H).
DOE requests comment on its tentative determination that its
proposed updates for GSFLs, IRLs, and GSILs will not increase test
burden because determining these values to ascertain compliance with
applicable DOE standards or FTC labeling requirements is already
required by regulation and/or statute.

H. Test Procedures Costs and Harmonization

1. Test Procedure Costs and Impacts
In this NOPR, DOE proposes to amend the existing test procedures
for GSFLs, IRLs, and GSILs by updating to the latest versions of the
referenced industry test standards and providing cites to specific
sections of these standards; providing further specifications for
definitions, test conditions, test methods, and measurement procedures;
clarifying test frequency and inclusion of cathode power in
measurements; revising the sampling requirements; aligning sampling and
certification requirements with proposed test procedure terminology;
providing a test method for measuring the CRI of incandescent lamps and
for measuring lifetime of incandescent reflector lamps; and allowing
manufacturers to make voluntary (optional) representations of GSFLs at
high frequency settings. DOE has tentatively determined that these
proposed amendments to the GSFL, IRL, and GSIL test procedures, if
finalized, would impact testing costs as shown in Table III.3 and Table
III.4.

Table III.3--Summary of Cost Impacts for GSFLs, IRLs, and GSILs
------------------------------------------------------------------------
Present value Discount rate
Category (thousands 2016$) (percent)
------------------------------------------------------------------------
Cost Savings:
Reduction in Testing Costs.... $8,472 3
3,239 7
Total Net Cost Impacts:
Total Net Cost Savings........ (8,472) 3
(3,239) 7
------------------------------------------------------------------------

Table III.4--Summary of Annualized Cost Impacts for GSFLs, IRLs, and
GSILs
------------------------------------------------------------------------
Annualized value Discount rate
Category (thousands 2016$) (percent)
------------------------------------------------------------------------
Annualized Cost Savings:
Reduction in Testing Costs........ $254 3
227 7
Total Net Annualized Cost Impacts:
Total Net Cost Savings............ (254) 3
(227) 7
------------------------------------------------------------------------

Further discussion of the cost impacts of the proposed test
procedure amendments are presented in the following paragraphs.
The proposed amendments are primarily providing updates and
clarifications for how to conduct the test procedure and do not add
complexity to test conditions/setup or add test steps. For example,
this notice adds references to specific sections of industry test
standards to provide precise direction when conducting the test
procedure. Proposed revisions to definitions and test conditions only
clarify the test method. Further, the proposed reorganization and
alignment of terminology among relevant sections of the CFR improves
readability and provides clarity throughout the sampling requirements,
test procedure, and applicable energy conservation standards.
DOE is proposing to specify the frequency for testing and whether
cathode heat is included in measurements. DOE's proposal reflects the
stated direction in industry test standards referenced by the current
test procedure and also standard industry practice as verified by
product submissions in CCMS. Because DOE is specifying details that are
already required or in use, DOE tentatively concludes that there are no
costs incurred due to this proposal.
Although DOE notes that it has proposed a test method for measuring
the CRI of incandescent lamps and measuring lifetime of incandescent
reflector lamps, testing for these metrics is already required by DOE,
EISA 2007, or FTC. As such, manufacturers already conduct this test for
covered products. The method of measuring CRI has not changed
substantively in over 20 years (the referenced industry test standard
was last updated in 1995) and therefore the method of measurement used
by manufacturers is likely substantively similar to DOE's proposed
method. Further, the data required for CRI can be gathered via an
integrating sphere at the same time the sphere is used to measure lumen
output. Thus, the data to determine CRI can be gathered while measuring
a quantity that is used in a metric already reported to DOE (i.e., lamp
efficacy). Regarding lifetime, the FTC requires manufacturers to report

[[Page 29908]]

life (in years) of IRLs on its Lighting Facts label. The lifetime test
method used in support of the Lighting Facts label is likely
substantively similar to the method proposed by DOE. The industry test
method that describes measuring the lifetime of incandescent filament
lamps is IES-49. Although IES-49 was updated in 2012, DOE tentatively
concluded in section 4 that changes in the updated version are only
explicitly stating what is likely already practiced by test labs.
Further, NEMA and LEDVANCE stated that the adoption of the updated
standard posed no known issues. (NEMA, No. 7 at pp. 2, 4; LEDVANCE, No.
2 at p. 5) Therefore, because industry is already conducting tests for
the CRI of incandescent lamps and the lifetime of incandescent
reflector lamps and using methods that are substantively similar to the
methods in this proposal, DOE concludes that there are no costs
incurred due to these proposed test methods.
DOE is proposing to change the minimum sample size to 10 lamps
instead of 21 lamps. Because current certifications already must be
based on a sample size of more than 10 units, products currently
certified to DOE would not have to be retested as a result of this
change. However, manufacturers would be able to use the new sampling
requirements, if made final, when new products are introduced and
certified to DOE. Based on a review of submission dates for GSFL, IRL,
and GSIL basic models in DOE's CCMS database, DOE determined the number
of new model certifications for 2016-2018, the past three full years of
certification. An average of 196 GSFL, 30 IRL, and 84 GSIL new models
were certified over these years. The cost to test efficacy, CCT, and
CRI at a third party laboratory is $90 per unit for a GSFL and $75 per
unit for an IRL or GSIL. Based on feedback from laboratories, a
reduction in sample size would not change costs for lifetime testing
for GSILs. Thus, DOE estimates the annual savings for GSFLs due to
reduced sample size requirements to be $193,710, for IRLs $24,475 and
for GSILs $69,025.
DOE did not include any administrative cost savings associated with
the removal of the requirement that the sample include a minimum of
three lamps from each month of production for a minimum of 7 out of the
12-month period. DOE requests comments from stakeholders on the
magnitude of savings from such a change, if any.
DOE has also proposed to allow manufacturers to make voluntary
representations of certain GSFLs. DOE proposes that manufacturers can
voluntarily make representations at the high frequency settings
specified in the 2016 versions of ANSI C78.81 and ANSI C78.901 in
accordance with test procedures specified in Appendix R and sampling
requirements in 10 CFR 429.27. These values would not be used for
compliance but rather would be in addition to values obtained for
compliance and used for determining if and how standards for GSFLs
should be amended to accommodate testing at high frequency settings.
While this proposed test method is voluntary and would only be used for
representations of efficacy at high frequency reference ballast
settings, it is unclear how many manufacturers would use it to make
representations. DOE requests comments, data, and information regarding
what percent of industry may choose to make representations at these
conditions.
DOE has initially determined that the proposed amendments discussed
above would not require changes to the designs of GSFLs, IRLs, or
GSILs, and that the proposed amendments would not impact the utility of
such products or impact the availability of GSFL, IRL, or GSIL
products. DOE expects that the proposed amendments would not impact the
representations of GSFL, IRL, or GSIL energy efficiency. DOE expects
that manufacturers would be able to rely on data generated under the
current test procedure should the proposed amendments be finalized. As
such, DOE does not expect retesting of GSFLs, IRLs, or GSILs would be
required solely as a result of DOE's adoption of the proposed
amendments to the test procedure.
DOE requests comment on its understanding of the estimated cost
impact and its finding that manufacturers would experience cost savings
associated with these proposed amendments.
2. Harmonization With Industry Test Standards
DOE's established practice is to adopt relevant industry standards
as DOE test procedures unless such methodology would be unduly
burdensome to conduct or would not produce test results that reflect
the energy efficiency, energy use, water use (as specified in EPCA) or
estimated operating costs of that product during a representative
average use cycle or period of use. Section 8(c) of appendix A of 10
CFR part 430 subpart C; see also 42 U.S.C. 6293(b)(3). In cases where
the industry standard does not meet EPCA statutory criteria for test
procedures, DOE will make modifications through the rulemaking process
to these standards as the DOE test procedure.
DOE is proposing to update to the latest versions of several
industry test standards referenced in Appendix R. For the electrical
and photometric measurements of GSFLs DOE is proposing to incorporate
by reference IES LM-9-2020, ANSI C78.375A-2014 (R2020), ANSI C82.3-
2016, ANSI C78.81-2016 (voluntary representations only) and ANSI
C78.901-2016 (voluntary representations only). For the electrical and
photometric measurements of IRLs, DOE is proposing to incorporate by
reference IES LM-20-2020. For electrical and photometric measurements
of GSILs, DOE is proposing to incorporate IES LM-45-2020 and for
lifetime measurements of GSILs, IES LM-49-2020. For spectroradiometric
measurements of GSFLs, IRLs, and GSILs, DOE is proposing to incorporate
IES LM-58-2020. For CCT measurements for GSFLs, IRLs, and GSILs, DOE is
proposing to incorporate CIE 15:2018. For seasoning instructions for
GSFLs, IRLs, and GSILs, DOE is proposing to incorporate IES LM-54-2020.
For integrated sphere measurements for GSILs and GSFLs, DOE is
proposing to incorporate IES LM-78-2020. In addition to references to
industry test standards, DOE is proposing the following general
instructions: The DOE test procedure takes precedence when there are
conflicting requirements between it and referenced industry test
standards; the same lamp orientation should be maintained throughout
testing; and defective lamps should be replaced with new units.
The industry test standards DOE proposes to incorporate by
reference via amendments described in this notice are discussed in
further detail in section II.B of this NOPR. DOE has tentatively
determined that the proposed amendments in this notice are not unduly
burdensome to conduct. DOE requests comments on the benefits and
burdens of the proposed updates and additions to industry test
standards referenced in the test procedure for GSFLs, IRLs, and GSILs.

I. Compliance Date

EPCA prescribes that all representations of energy efficiency and
energy use, including those made on marketing materials and product
labels, must be made in accordance with an amended test procedure,
beginning 180 days after publication of such a test procedure final
rule in the Federal Register. (42 U.S.C. 6293(c)(2)) If DOE were to
publish amended test procedures, EPCA provides an allowance for
individual manufacturers

[[Page 29909]]

to petition DOE for an extension of the 180-day period if the
manufacturer may experience undue hardship in meeting the 180-day
deadline. (42 U.S.C. 6293(c)(3)) To receive such an extension,
petitions must be filed with DOE no later than 60 days before the end
of the 180-day period and must detail how the manufacturer will
experience undue hardship. (Id.)

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., as amended by
the Small Business Regulatory Enforcement Fairness Act of 1996)
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. A regulatory flexibility analysis examines the impact
of the rule on small entities and considers alternative ways of
reducing negative effects. Also, 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 website: <a href="https://www.energy.gov/gc/office-general-counsel">https://www.energy.gov/gc/office-general-counsel</a>.
DOE reviewed this proposed rule to amend the test procedures for
GSFLs, GSILs, and IRLs under the provisions of the Regulatory
Flexibility Act and the procedures and policies published on February
19, 2003. DOE certifies that the proposed rule, if adopted, would not
have a significant 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. The size standards and codes are established by the 2017
North American Industry Classification System (``NAICS'').
GSFL, GSIL, and IRL manufacturers are classified under NAICS code
335110, electric lamp bulb and part manufacturing. The SBA sets a
threshold of 1,250 employees or fewer for an entity to be considered as
a small business for this NAICS code. DOE conducted a focused inquiry
into small business manufacturers of products covered by this
rulemaking. DOE used DOE's Compliance Certification Database to
identify basic models of GSFLs, IRLs, and GSILs. DOE then used other
publicly available data sources, such as California Energy Commission's
Modernized Appliance Efficiency Database System and company specific
product literature, to create a list of companies that import or
otherwise manufacture the GSFL, IRL, and GSIL models covered by this
rulemaking. Using these sources, DOE identified a total of 20 distinct
companies that import or manufacture GSFLs, IRLs, or GSILs in the
United States.
DOE then reviewed these companies to determine whether the entities
met the SBA's definition of a ``small business'' as it relates to NAICS
code 335110 and screened out any companies that do not offer products
covered by this rulemaking, do not meet the definition of a ``small
business,'' or are foreign owned and operated. DOE did not identify any
small businesses that manufacture GSFLs, IRLs, or GSILs in the United
States.
Because DOE identified no small businesses that manufacture GSFLs,
IRLs, or GSILs in the United States, DOE tentatively concludes that the
impacts of the test procedure amendments proposed in this NOPR would
not have a ``significant economic impact on a substantial number of
small entities,'' and that 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 Small Business
Administration for review under 5 U.S.C. 605(b).
DOE requests comments on its tentative determination that there are
no small businesses that manufacture GSFLs, IRLs, and GSILs in the
United States.

C. Review Under the Paperwork Reduction Act of 1995

Manufacturers of GSFLs, IRLs, and GSILs 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
GSFLs, IRLs, and GSILs. (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 35 hours per response,
including the time for reviewing instructions, searching existing data
sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

DOE is analyzing this proposed regulation in accordance with the
National Environmental Policy Act of 1969 (``NEPA'') and DOE's NEPA
implementing regulations (10 CFR part 1021). DOE's regulations include
a categorical exclusion for rulemakings interpreting or amending an
existing rule or regulation that does not change the environmental
effect of the rule or regulation being amended. 10 CFR part 1021,
subpart D, Appendix A5. DOE anticipates that this rulemaking qualifies
for categorical exclusion A5 because it is an interpretive rulemaking
that does not change the environmental effect of the rule and otherwise
meets the requirements for application of a categorical exclusion. See
10 CFR 1021.410. DOE will complete its NEPA review before issuing the
final rule.

E. Review Under Executive Order 13132

Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999)
imposes certain requirements on agencies

[[Page 29910]]

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 would not have a substantial
direct effect on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. EPCA governs
and prescribes Federal preemption of State regulations as to energy
conservation for the products that are the subject of this proposed
rule. States can petition DOE for exemption from such preemption to the
extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297(d))
No further action is required by Executive Order 13132.

F. Review Under Executive Order 12988

Regarding the review of existing regulations and the promulgation
of new regulations, section 3(a) of Executive Order 12988, ``Civil
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal
agencies the general duty to adhere to the following requirements: (1)
Eliminate drafting errors and ambiguity, (2) write regulations to
minimize litigation, (3) provide a clear legal standard for affected
conduct rather than a general standard, and (4) promote simplification
and burden reduction. Section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation (1) clearly specifies the
preemptive effect, if any, (2) clearly specifies any effect on existing
Federal law or regulation, (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction,
(4) specifies the retroactive effect, if any, (5) adequately defines
key terms, and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
sections 3(a) and 3(b) to determine whether they are met or it is
unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
the proposed rule meets the relevant standards of Executive Order
12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'')
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments and the
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a proposed regulatory action likely to result in a rule that may
cause the expenditure by State, local, and Tribal governments, in the
aggregate, or by the private sector of $100 million or more in any one
year (adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under UMRA. 62 FR 12820; also available
at <a href="https://energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf">https://energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf</a>.
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 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any rule that may affect family well-being.
This proposed 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). Pursuant
to OMB Memorandum M-19-15, Improving Implementation of the Information
Quality Act (April 24, 2019), DOE published updated guidelines which
are available at <a href="https://www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf">https://www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf</a>. DOE has
reviewed this proposed rule under the OMB and DOE guidelines and has
concluded that it is consistent with applicable policies in those
guidelines.

K. Review Under Executive Order 13211

Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OMB,
a Statement of Energy Effects for any proposed significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgated or is expected to lead to promulgation of a
final rule, and that (1) is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any proposed significant energy action,
the agency must give a detailed statement of any adverse effects on
energy supply, distribution, or use should the proposal be implemented,
and of reasonable alternatives to the

[[Page 29911]]

action and their expected benefits on energy supply, distribution, and
use.
The proposed regulatory action to amend the test procedure for
measuring the energy efficiency of GSFLs, IRLs, and GSILs 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
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the
Federal Energy Administration Act of 1974, as amended by the Federal
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA)
Section 32 essentially provides in relevant part that, where a proposed
rule authorizes or requires use of commercial standards, the notice of
proposed rulemaking must inform the public of the use and background of
such standards. In addition, section 32(c) requires DOE to consult with
the Attorney General and the FTC concerning the impact of the
commercial or industry test standards on competition.
The modifications to the test procedure for GSFLs, IRLs, and GSILs
proposed in this document incorporate the following industry standards:
(1) ANSI Standard C78.21, ``American National Standard for Electric
Lamps--PAR and R Shapes,'' 2011 (R2016);
(2) ANSI Standard C78.79, ``American National Standard for Electric
Lamps--Nomenclature for Envelope Shapes Intended for Use with Electric
Lamps,'' 2014 (R2020);
(3) ANSI C78.375A, ``American National Standard for Electric
Lamps--Fluorescent Lamps--Guide for Electrical Measures,'' 2014
(R2020);
(4) ANSI Standard C78.81, ``American National Standard for Electric
Lamps--Double-Capped Fluorescent Lamps--Dimensional and Electrical
Characteristics,'' 2016;
(5) ANSI Standard C78.901, ``American National Standard for
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and
Electrical Characteristics,'' 2016;
(6) ANSI_ANSLG C81.61, ``American National Standard for electrical
lamp bases--Specifications for Bases (Caps) for Electric Lamps,'' 2006;
(7) ANSI C82.3, ``American National Standard for Lamp Ballasts--
Reference Ballasts for Fluorescent Lamps,'' 2016;
(8) IES Test Method LM-9, ``ANSI/IES LM-9-2020--Approved Method:
Electrical and Photometric Measurements of Fluorescent Lamps,'' 2020;
(9) IES LM-20, ``ANSI/IES LM-20-20 Approved Method: Photometry of
Reflector Type Lamps,'' 2020;
(10) IES LM-45, ``ANSI/IES LM-45-20 Approved Method: Electrical and
Photometric Measurement of General Service Incandescent Filament
Lamps,'' 2020;
(11) IES LM-49, ``ANSI/IES LM-49-20 Approved Method: Life Testing
of Incandescent Filament Lamps,'' 2020;
(12) IES Test Method LM-54, ``ANSI/IES LM-54-20 Approved Method:
IES Guide to Lamp Seasoning,'' 2020;
(13) IES LM-58, ``ANSI/IES LM-58-20 Approved Method:
Spectroradiometric Measurements Methods for Lighting Sources,'' 2020;
(14) IESNA LM-78, ``ANSI/IES LM-78-20 Approved Method: Total
Luminous Flux Measurement of Lamps Using an Integrating Sphere
Photometer,'' 2020; and
(15) CIE 15:2018, ``Colorimetry, 4th Edition,'' 2018.
DOE has evaluated these standards and is unable to conclude whether
they fully comply with the requirements of section 32(b) of the FEAA
(i.e., whether they were developed in a manner that fully provides for
public participation, comment, and review). DOE will consult with both
the Attorney General and the Chairman of the FTC concerning the impact
of these test procedures on competition, prior to prescribing a final
rule.

M. Description of Materials Incorporated by Reference

In this NOPR, DOE proposes to incorporate by reference the test
standard published by ANSI, titled ``ANSI C78.21-2011 (R2016) Revision
of ANSI C78.21-2011, American National Standard for Incandescent
Lamps--PAR and R Shapes,'' ANSI Standard ANSI C78.21-2011 (R2016). ANSI
C78.21-2011 (R2016) is an industry accepted test standard that provides
physical and electrical characteristics of the group of incandescent
lamps that have PAR and R bulb shapes. The test procedure proposed in
this NOPR references sections of ANSI C78.21-2011 (R2016) for
definitions of incandescent reflector lamps. ANSI C78.21-2011 (R2016)
is readily available on ANSI's website at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
In this NOPR, DOE proposes to incorporate by reference the test
standard published by ANSI, titled ``ANSI C78.79-2014 (R2020) Revision
of ANSI C78.79-2014, American National Standard for Electric Lamps--
Nomenclature for Envelope Shapes Intended for Use with Electric
Lamps,'' ANSI Standard ANSI C78.79-2014 (R2020). ANSI C78.79-2014
(R2020) is an industry accepted test standard that describes a system
of nomenclature that provides designations for envelope shapes used for
all electric lamps. The test procedure proposed in this NOPR references
sections of ANSI C78.79-2014 (R2020) for definitions of incandescent
reflector lamps. ANSI C78.79-2014 (R2020) is readily available on
ANSI's website at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
In this NOPR, DOE proposes to incorporate by reference the test
standard published by ANSI, titled ``ANSI_ANSLG C81.61-2006, Revision
of ANSI C81.61-2005, American National Standard for electric lamp
bases--Specifications for Bases (Caps) for Electric Lamps,'' ANSI
Standard C81.61-2006. ANSI C81.61-2006 is an industry accepted standard
that sets forth the specification for bases (caps) used on electric
lamps. The standard is currently used to specify GSILs with certain
bases that are not subject to standards in 10 CFR 430.32. In this NOPR
ANSI C81.61-2006 is being approved for use in 10 CFR 430.32. ANSI
C81.61-2006 is readily available on ANSI's website at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
In this NOPR, DOE proposes to incorporate by reference the test
standard published by ANSI, titled ``ANSI C78.375A-2014 (R2020)
Revision of ANSI C78.375-2014, American National Standard for Electric
Lamps-Fluorescent Lamps-Guide for Electrical Measures,'' ANSI Standard
C78.375A-2014 (R2020). ANSI C78.375A-2014 (R2020) is an industry
accepted test standard that describes procedures for measuring the
electrical characteristics of fluorescent lamps. The test procedure
proposed in this NOPR references sections of ANSI C78.375A-2014 (R2020)
for voltage and current conditions when testing performance of
fluorescent lamps. ANSI C78.375A-2014 (R2020) is readily available on
ANSI's website at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
In this NOPR, DOE proposes to incorporate by reference the test
standard published by ANSI, titled ``American National Standard for
Lamp Ballasts--Reference Ballasts for Fluorescent Lamps,'' ANSI
Standard C82.3-2016. ANSI C82.3 is an industry accepted standard that
describes characteristics and requirements of

[[Page 29912]]

fluorescent lamp reference ballasts. The test procedure proposed in
this NOPR references ANSI C82.3 for setting up the reference circuit
when testing the performance of fluorescent lamps. ANSI C82.3 is
readily available on ANSI's website at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
In this NOPR, DOE proposes to incorporate by reference the test
standard published by ANSI, titled ``American National Standard for
Electric Lamps--Double-Capped Fluorescent Lamps--Dimensional and
Electrical Characteristics,'' ANSI Standard C78.81-2016. ANSI C78.81 is
an industry accepted standard that provides electrical characteristics
for double base fluorescent lamps and reference ballasts. The test
procedure proposed in this NOPR references ANSI C78.81 for reference
ballast settings to test the performance of fluorescent lamps using
high frequency reference ballast settings for making voluntary
representations to DOE. ANSI C78.81 is readily available on ANSI's
website at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
In this NOPR, DOE proposes to incorporate by reference the test
standard published by ANSI, titled ``American National Standard for
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and
Electrical Characteristics,'' ANSI Standard C78.901-2016. ANSI C78.901
is an industry accepted standard that provides electrical
characteristics for single base fluorescent lamps and reference
ballasts. The test procedure proposed in this NOPR references ANSI
C78.901 for reference ballast settings to test the performance of
fluorescent lamps using high frequency reference ballast settings for
making voluntary representations to DOE. ANSI C78.901 is readily
available on ANSI's website at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
In this NOPR, DOE proposes to incorporate by reference the test
method published by IES, titled ``ANSI/IES LM-9-2020--Approved Method:
Electrical and Photometric Measurements of Fluorescent Lamps,'' IES
Test Method LM-9. IES LM-9 is an industry accepted standard that
describes methods for taking electrical and photometric measurements of
fluorescent lamps. The test procedure proposed in this NOPR references
IES LM-9 for testing the performance of general service fluorescent
lamps. IES LM-9 is readily available on IES's website at <a href="https://www.ies.org/store">https://www.ies.org/store</a>.
In this NOPR, DOE proposes to incorporate by reference the test
method published by IES, titled ``ANSI/IES LM-20-20 Approved Method:
Photometry of Reflector Type Lamps,'' IES Test Method LM-20. IES LM-20
is an industry accepted standard that describes methods for taking
electrical and photometric measurements of reflector lamps. The test
procedure proposed in this NOPR references IES LM-20 for testing the
performance of incandescent reflector lamps. IES LM-20 is readily
available on IES's website at <a href="https://www.ies.org/store">https://www.ies.org/store</a>.
In this NOPR, DOE proposes to incorporate by reference the test
method published by IES, titled ``Approved Method: Electrical and
Photometric Measurement of General Service Incandescent Filament
Lamps,'' IES Test Method LM-45-2020. IES LM-45 is an industry accepted
standard that describes methods for taking electrical and photometric
measurements of general service incandescent filament lamps. The test
procedure proposed in this NOPR references IES LM-45 for testing the
performance of incandescent lamps. IES LM-45 is readily available on
IES's website at <a href="https://www.ies.org/store">https://www.ies.org/store</a>.
In this NOPR, DOE proposes to incorporate by reference the test
method published by IES, titled ``ANSI/IES LM-49-20 Approved Method:
Life Testing of Incandescent Filament Lamps,'' IES Test Method LM-49.
IES LM-49 is an industry accepted standard that describes the method
for determining the lifetime of an incandescent filament lamp. The test
procedure proposed in this NOPR references IES LM-49 for testing the
lifetime of incandescent lamps. IES LM-49 is readily available on IES's
website at <a href="https://www.ies.org/store">https://www.ies.org/store</a>.
In this NOPR, DOE proposes to incorporate by reference the test
method published by IES, titled ``ANSI/IES LM-58-20 Approved Method:
Spectroradiometric Measurements Methods for Lighting Sources,'' IES
Test Method LM-58. IES LM-58 is an industry accepted standard that
describes methods for taking spectroradiometric measurements for light
sources. The test procedure proposed in this NOPR references IES LM-58
for determining the CRI and CCT of fluorescent lamps and incandescent
lamps and CRI of incandescent reflector lamps. IES LM-58 is readily
available on IES's website at <a href="https://www.ies.org/store">https://www.ies.org/store</a>.
In this NOPR, DOE proposes to incorporate by reference the test
method published by IESNA, titled ``ANSI/IES LM-78-20 Approved Method:
Total Luminous Flux Measurement of Lamps Using an Integrating Sphere
Photometer,'' IES Test Method LM-78. IES LM-78 is an industry accepted
test standard that specifies a method for measuring lumen output in an
integrating sphere. The test procedure proposed in this NOPR references
IES LM-20 for testing the performance of incandescent reflector lamps,
which in turn references IES LM-78 for integrating sphere photometer
calibration and measurements. IES LM-78 is readily available on IES's
website at <a href="https://www.ies.org/store">https://www.ies.org/store</a>.
In this NOPR, DOE proposes to incorporate by reference the test
method published by IES, titled ``ANSI/IES LM-54-20 Approved Method:
IES Guide to Lamp Seasoning,'' IES Test Method LM-54. IES LM-54 is an
industry accepted test standard that specifies a method for seasoning
lamps. The test procedure proposed in this NOPR references IES LM-9,
IES LM-20, and IES LM-45 for testing the performance of respectively,
GSFLs, IRLs, and GSILs, which in turn references IES LM-54 for
seasoning lamps. IES LM-54 is readily available on IES's website at
<a href="https://www.ies.org/store">https://www.ies.org/store</a>.
In this NOPR, DOE proposes to incorporate by reference the test
method published by CIE, titled ``Colorimetry, 4th edition,'' CIE
15:2018. CIE 15:2018 is an industry accepted test standard that
specifies methods for taking color measurements. The test procedure
proposed in this NOPR references CIE 15:2018 for testing CCT. CIE
15:2018 is readily available on CIE's website at <a href="https://cie.co.at/publications">https://cie.co.at/publications</a>.
In this NOPR, DOE included proposed revisions to the regulatory
text of Sec. 430.32 that contained a reference to ANSI C78.3. That
standard was previously approved for incorporation by reference; no
changes are proposed.

V. Public Participation

A. Participation in the Webinar

The time and date of the webinar are listed in the DATES section at
the beginning of this document. If no participants register for the
webinar then it will be cancelled. Webinar registration information,
participant instructions, and information about the capabilities
available to webinar participants will be published on DOE's website:
<a href="https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=22">https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=22</a>. Participants are responsible for ensuring
their systems are compatible with the webinar software.

B. Procedure for Submitting Prepared General Statements for
Distribution

Any person who has an interest in the topics addressed in this
notice, or who is representative of a group or class of persons that
has an interest in these issues, may request an opportunity to

[[Page 29913]]

make an oral presentation at the webinar. Such persons may submit to
<a href="/cdn-cgi/l/email-protection#8ccdfcfce0e5ede2efe9dff8ede2e8edfee8ffddf9e9fff8e5e3e2ffcce9e9a2e8e3e9a2ebe3fa">[email&#160;protected]</a>. Persons who wish to speak
should include with their request a computer file in WordPerfect,
Microsoft Word, PDF, or text (ASCII) file format that briefly describes
the nature of their interest in this rulemaking and the topics they
wish to discuss. Such persons should also provide a daytime telephone
number where they can be reached.

C. Conduct of the Webinar

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

D. Submission of Comments

DOE will accept comments, data, and information regarding this
proposed rule no later than the date provided in the DATES section at
the beginning of this proposed rule. Interested parties may submit
comments using any of the methods described in the ADDRESSES section at
the beginning of this proposed rule.
Submitting comments via <a href="https://www.regulations.gov">https://www.regulations.gov</a>. The <a href="https://www.regulations.gov">https://www.regulations.gov</a> web page will require you to provide your name and
contact information. Your contact information will be viewable to DOE
Building Technologies staff only. Your contact information will not be
publicly viewable except for your first and last names, organization
name (if any), and submitter representative name (if any). If your
comment is not processed properly because of technical difficulties,
DOE will use this information to contact you. If DOE cannot read your
comment due to technical difficulties and cannot contact you for
clarification, DOE may not be able to consider your comment.
However, your contact information will be publicly viewable if you
include it in the comment or in any documents attached to your comment.
Any information that you do not want to be publicly viewable should not
be included in your comment, nor in any document attached to your
comment. Persons viewing comments will see only first and last names,
organization names, correspondence containing comments, and any
documents submitted with the comments.
Do not submit to <a href="https://www.regulations.gov">https://www.regulations.gov</a> 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 <a href="https://www.regulations.gov">https://www.regulations.gov</a> cannot be claimed as CBI. Comments
received through the website 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 <a href="https://www.regulations.gov">https://www.regulations.gov</a>
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 <a href="https://www.regulations.gov">https://www.regulations.gov</a> provides after you have successfully uploaded your
comment.
Submitting comments via email. Comments and documents submitted via
email also will be posted to <a href="https://www.regulations.gov">https://www.regulations.gov</a>. 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.
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 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. DOE will make its own
determination about the confidential status of the information and
treat it according to its determination.

[[Page 29914]]

It is DOE's policy that all comments may be included in the public
docket, without change and as received, including any personal
information provided in the comments (except information deemed to be
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

Although DOE welcomes comments on any aspect of this proposal, DOE
is particularly interested in receiving comments and views of
interested parties concerning the following issues:
(1) DOE requests comments on its proposal to incorporate by
reference the latest versions of ANSI C78.375, ANSI C82.3, IES LM-58,
IES-LM-9, IES LM-45, IES LM-49, IES LM-20, IES LM-54, and IES LM-78,
and CIE 15 for Appendix R. See section III.B.
(2) DOE requests comments on its proposal to maintain the currently
referenced 2010 versions of ANSI C78.81 and ANSI C78.901 for purposes
of demonstrating compliance with standards. DOE also requests comments
on its proposal to allow manufacturers to make voluntary
representations of certain GSFLs in accordance with the 2016 versions
of ANSI C78.81 and ANSI C78.901. See section 1.
(3) DOE seeks comments on the usefulness of the proposed general
clarifications regarding the frequency of operation and inclusion of
cathode power and any associated impacts on test burden. DOE also seeks
comments on whether the proposed changes are perceived as affecting the
compliance of an existing product.
(4) DOE requests comment on its proposed definitions for ``time to
failure,'' ``initial lamp efficacy,'' ``initial lumen output,''
``initial input power,'' and updates to definitions of IRL lamp shapes
and removal of definitions for ``CCT,'' ``CRI,'' ``ANSI Standard,''
``CIE,'' and ``IESNA.'' See section 1.
(5) DOE requests comments on its proposed general instructions
regarding conflicting requirements, lamp orientation, and lamp
breakage. See section 2.
(6) DOE requests comments on its proposed section references in IES
LM-9, IES LM-20, and IES LM-45 for establishing ambient, physical, and
electrical conditions; and seasoning and stabilization. See section
III.C.a.
(7) DOE requests comments on its proposed industry test standard
references for measuring CCT and CRI. See section III.C.b.
(8) DOE requests comments on its proposed section references in IES
LM-49 for establishing ambient, physical, and electrical conditions and
measuring time to failure; and its proposed section references in IES
LM-45 for seasoning and stabilization. See section 4.
(9) DOE requests comments on its proposed rounding requirements for
initial input power, initial lumen output, CRI, CCT, and lifetime. See
section 4.
(10) DOE requests comment on its tentative determination that its
proposed updates for GSFLs, IRLs, and GSILs will not increase test
burden because determining these values to ascertain compliance with
applicable DOE standards or FTC labeling requirements is already
required by regulation and/or statute.
(11) DOE requ

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