```

[Federal Register Volume 76, Number 178 (Wednesday, September 14, 2011)]
[Proposed Rules]
[Pages 56661-56678]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-23249]

========================================================================
Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of 
the proposed issuance of rules and regulations. The purpose of these 
notices is to give interested persons an opportunity to participate in 
the rule making prior to the adoption of the final rules.

========================================================================


Federal Register / Vol. 76, No. 178 / Wednesday, September 14, 2011 / 
Proposed Rules

[[Page 56661]]

DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2011-BT-TP-0012]
RIN 1904-AC45

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

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

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

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

SUMMARY: The U.S. Department of Energy (DOE) is proposing to revise its 
test procedures for general service fluorescent lamps (GSFLs) and 
general service incandescent lamps (GSILs) established under the Energy 
Policy and Conservation Act (EPCA). DOE is not proposing changes to the 
existing test procedure for incandescent reflector lamps (IRLs) 
established under EPCA. For GSFLs and GSILs, DOE is proposing to update 
several citations and references to the industry standards currently 
referenced in DOE's test procedures. DOE is also proposing to establish 
a lamp lifetime test procedure for GSILs. Additionally, in this NOPR, 
DOE is requesting comments on all aspects of the GSFL, GSIL, and IRL 
test procedures and whether any further amendments are necessary. DOE's 
review of the GSFL, GSIL, and IRL test procedures fulfills the EPCA 
requirement that DOE review test procedures for all covered products at 
least once every seven years. Finally, DOE is proposing to extend the 
compliance certification date for GSILs so as to be consistent with the 
compliance date of the amended test procedure. DOE is also announcing a 
public meeting to discuss and receive comments on the issues presented 
in this rulemaking.

DATES: Meeting: DOE will hold a public meeting on October 4, 2011, from 
9 a.m. to 5 p.m., in Washington, DC, for both this rulemaking on test 
procedures for GSFLs, GSILs, and IRLs, as well as the rulemaking on 
GSFL and IRL energy conservation standards. The meeting will also be 
broadcast as a Webinar. See section V, ``Public Participation,'' for 
Webinar registration information, participant instructions, and 
information about the capabilities available to Webinar participants.
    Comments: DOE will accept comments, data, and information regarding 
this notice of proposed rulemaking (NOPR) before and after the public 
meeting, but no later than November 28, 2011. See section V, ``Public 
Participation,'' for details.

ADDRESSES: The public meeting will be held at the U.S. Department of 
Energy, Forrestal Building, Room 1E-245, 1000 Independence Avenue, SW., 
Washington, DC 20585. To attend, please notify Ms. Brenda Edwards at 
(202) 586-2945. Please note that foreign nationals visiting DOE 
Headquarters are subject to advance security screening procedures. Any 
foreign national wishing to participate in the meeting should advise 
DOE as soon as possible by contacting Ms. Brenda Edwards at the phone 
number above to initiate the necessary procedures.
    Any comments submitted must identify the NOPR for Test Procedures 
for General Service Fluorescent Lamps, General Service Incandescent 
Lamps, and Incandescent Reflector Lamps and provide docket number EERE-
2011-BT-TP-0012 and/or regulatory information number (RIN) 1904-AC45. 
Comments may be submitted using any of the following methods:
    1. Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    2. E-mail: Lamps-2011-TP-0012@ee.doe.gov. Include the docket number 
and/or RIN 1904-AC45 in the subject line of the message.
    3. Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy, 
Building Technologies Program, Mailstop EE-2J, 1000 Independence 
Avenue, SW., Washington, DC 20585-0121. If possible, please submit all 
items on a compact disc (CD), in which case it is not necessary to 
include printed copies.
    4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, 950 L'Enfant Plaza, SW., Suite 
600, Washington, DC 20024. Telephone: (202) 586-2945. If possible, 
please submit all items on a CD, in which case it is not necessary to 
include printed copies.
    No telefacsimilies (faxes) will be accepted. For detailed 
instructions on submitting comments and additional information on the 
rulemaking process, see section V of this document (Public 
Participation).
    Docket: The docket is available for review at http://www.regulations.gov, including Federal Register notices, public meeting 
attendee lists and transcripts, comments, and other supporting 
documents/materials. All documents in the docket are listed in the 
http://www.regulations.gov index. However, not all documents listed in 
the index may be publicly available, such as information that is exempt 
from public disclosure.
    A link to the docket Web page on the regulations.gov site can be 
found at: http://www1.eere.energy.gov/buildings/appliance_standards/residential/incandescent_lamps.html. The http://www.regulations.gov 
Web page contains simple instructions on how to access all documents, 
including public comments, in the docket. See section V, ``Public 
Participation,'' for information on how to submit comments through 
http://www.regulations.gov.
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the public meeting, 
please contact Ms. Brenda Edwards at (202) 586-2945 or e-mail: 
Brenda.Edwards@ee.doe.gov.

FOR FURTHER INFORMATION CONTACT:

Dr. Tina Kaarsberg, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 
1000 Independence Avenue, SW., Washington, DC, 20585-0121. Telephone: 
(202) 287-1393. E-mail: Tina.Kaarsberg@ee.doe.gov.
Mr. Eric Stas, U.S. Department of Energy, Office of the General 
Counsel, GC-71, 1000 Independence Avenue, SW., Washington, DC 20585-
0121. Telephone: (202) 586-9507. E-mail: Eric.Stas@hq.doe.gov.

    For information on how to submit or review public comments, contact 
Ms. Brenda Edwards, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 
1000

[[Page 56662]]

Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 
586-2945. E-mail: Brenda.Edwards@ee.doe.gov.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Authority and Background
II. Summary of the Notice of Proposed Rulemaking
III. Discussion
    A. Seven-Year Test Procedure Review
    B. Updates to Industry Standards Incorporated by Reference
    1. ANSI C78.81-2010 for General Service Fluorescent Lamps
    2. IES LM-9-2009 for General Service Fluorescent Lamps
    3. IES LM-45-2009 for General Service Incandescent Lamps
    C. Test Procedures for Incandescent Reflector Lamps
    D. General Service Incandescent Lamp Lifetime Testing
    1. Selection of Industry Standard
    2. Summary of IESNA LM-49-2001
    3. Accelerated Lifetime Testing
    4. Sample Size
    5. ``Rated Lifetime'' Definition
    6. Certification Requirements and Laboratory Accreditation
    7. Effective Date and Compliance Date for the Amended Test 
Procedures and Compliance Date for Submitting GSIL Certification 
Reports
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
V. Public Participation
    A. Attendance at the Public Meeting
    B. Procedure for Submitting Requests To Speak and Prepared 
General Statements for Distribution
    C. Conduct of Public Meeting
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    Title III, Part B \1\ of the Energy Policy and Conservation Act of 
1975 (EPCA or the Act), Public Law 94-163 (42 U.S.C. 6291-6309, as 
codified) sets forth a variety of provisions designed to improve energy 
efficiency and established the Energy Conservation Program for Consumer 
Products Other Than Automobiles, a program covering most major 
household appliances. These include general service fluorescent lamps 
(GSFLs), general service incandescent lamps (GSILs), and incandescent 
reflector lamps (IRLs), the subject of today's notice (referred to 
below as one of the ``covered products'').\2\ (42 U.S.C. 6292(a)(14) 
and 6295(i))
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    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated Part A.
    \2\ All references to EPCA in this rulemaking refer to the 
statute as amended through the Energy Independence and Security Act 
of 2007, Public Law 110-140.
---------------------------------------------------------------------------

    Under the Act, this program generally consists of four parts: (1) 
Testing; (2) labeling; and (3) establishing Federal energy conservation 
standards and (4) certification and enforcement procedures. The testing 
requirements consist of test procedures that manufacturers of covered 
products must use: (1) As the basis for certifying to DOE that their 
products comply with the applicable energy conservation standards 
adopted pursuant to EPCA, and (2) for making representations about the 
efficiency of those products. (42 U.S.C. 6293(c); 42 U.S.C. 6295(s)) 
Similarly, DOE must use these test requirements in determining whether 
covered products comply with any relevant energy conservation standards 
promulgated under EPCA. (42 U.S.C. 6295(s))
    Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures 
that DOE must follow when prescribing or amending test procedures for 
covered products. EPCA provides in relevant part that any test 
procedures prescribed or amended under this section must 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))
    In addition, if DOE determines that a test procedure amendment is 
warranted, it must publish proposed test procedures and offer the 
public an opportunity to present oral and written comments on them. (42 
U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test 
procedure, DOE must determine the extent to which the proposed test 
procedure would alter the measured energy efficiency. (42 U.S.C. 
6293(e)(1)) If DOE determines that the amended test procedure would 
alter significantly the measured efficiency of a covered product, DOE 
must amend the applicable energy conservation standard accordingly. (42 
U.S.C. 6293(e)(2))
    Relevant to this rulemaking, EPCA, as codified, directs DOE to 
prescribe test procedures for GSFLs and IRLs to which energy 
conservation standards are applicable, taking into consideration the 
applicable standards of the Illuminating Engineering Society of North 
America \3\ (IESNA) or the American National Standards Institute \4\ 
(ANSI). (42 U.S.C. 6293(b)(6))
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    \3\ Illuminating Engineering Society of North America (IESNA) 
standards can be purchased on the IESNA Web site at: http://www.ies.org/store/.
    \4\ American National Standards Institute (ANSI) standards can 
be purchased on the ANSI Web site at: http://www.webstore.ansi.org/.
---------------------------------------------------------------------------

    In addition, on December 19, 2007, the Energy Independence and 
Security Act of 2007 (EISA 2007), Public Law 110-140, was enacted. 
Section 321 of EISA 2007 amended EPCA, in relevant part, to prescribe 
energy conservation standards for GSILs that included maximum rated 
wattage and minimum rated lifetime requirements for several different 
lumen ranges; these standards will be phased in between 2012 and 2014. 
(42 U.S.C. 6295(i)) Section 302 of EISA 2007 also amended EPCA to 
require DOE to review test procedures for all covered products at least 
once every seven years. DOE must either amend the test procedures or 
publish notice in the Federal Register of any determination not to 
amend a test procedure. (42 U.S.C. 6293(b)(1)(A))
    Accordingly, to fulfill these statutory requirements for periodic 
review, in this NOPR, DOE invites comment on all aspects of the 
existing test procedures for GSFLs, GSILs, and IRLs that appear at 
Title 10 of the Code of Federal Regulations (CFR): 10 CFR 429.27 
(``General service fluorescent lamps, general service incandescent 
lamps, and incandescent reflector lamps''), 10 CFR 430.2 
(``Definitions''), 10 CFR 430.3 (``Materials incorporated by 
reference''), 10 CFR 430.23 (``Test procedures for the measurement of 
energy and water consumption''), 10 CFR 430.25 (``Laboratory 
Accreditation Program''), and 10 CFR part 430 subpart B, Appendix R 
(``Uniform Test Method for Measuring Average Lamp Efficacy (LE), Color 
Rendering Index (CRI), and Correlated Color Temperature (CCT) of 
Electric Lamps'').
    To address prior EPCA requirements for GSFLs, GSILs, and IRLs, DOE 
has undertaken a number of rulemaking actions pertaining to the test 
procedures for these products. On September 28, 1994, DOE published in 
the Federal Register an Interim Final Rule on Test Procedures for 
Fluorescent and Incandescent Lamps that established

[[Page 56663]]

test procedures for GSFLs, medium-base compact fluorescent lamps 
(CFLs), IRLs, and GSILs. 59 FR 49468 (establishing 10 CFR part 430, 
subpart B, Appendix R). On May 29, 1997, DOE published a final rule in 
the Federal Register on Test Procedures for Fluorescent and 
Incandescent Lamps that revised some definitions and calculation 
methods and updated several references to industry standards adopted in 
the September 1994 Interim Final Rule. 62 FR 29222.
    Subsequently, DOE amended its GSFL, GSIL, and IRL test procedures 
in a final rule published in the Federal Register on July 6, 2009 
(hereinafter referred to as the 2009 Lamps Test Procedure). 74 FR 
31829. This final rule made the following technical modifications to 
the test procedures: (1) Required testing of GSFLs to be based on low-
frequency reference ballasts, except for those lamps that can only be 
tested on high-frequency ballasts; (2) required lamp efficacy for GSFLs 
to be rounded to the nearest tenth of a lumen per watt, rather than the 
nearest whole number; (3) adopted a test method for measuring and 
calculating correlated color temperature (CCT) for fluorescent lamps 
and incandescent lamps; and (4) updated citations and references to 
industry standards referenced in DOE's test procedures. Additionally, 
because EISA 2007 promulgated energy conservation standards for certain 
GSILs, DOE also amended its test procedures for GSILs by: (1) 
Specifying the units to be tested; (2) defining the ``basic model'' for 
GSILs; and (3) providing a method for calculating annual energy 
consumption and efficacy of GSILs.
    In a separate rulemaking that amended GSFL and IRL energy 
conservation standards, DOE adopted standards for additional general 
service fluorescent lamp types and also established test procedures for 
those lamps. These test procedure amendments included specific 
reference ballast settings for testing those additional GSFLs. 74 FR 
34080, 34095-96 (July 14, 2009).
    The current test procedures for GSFLs, GSILs, and IRLs are 
specified in various sections of the CFR and are based on the 1997 and 
2009 final rules addressing test procedures for fluorescent and 
incandescent lamps. 62 FR 29222 (May 29, 1997); 74 FR 31829 (July 6, 
2009); 74 FR 34080 (July 14, 2009). Calculations for lamp efficacy of 
GSFLs, GSILs, and IRLs and for color rendering index of GSFLs are 
discussed in 10 CFR 430.23, which references 10 CFR part 430, subpart 
B, Appendix R. Appendix R also specifies several IESNA and ANSI 
standards to use for test conditions and procedures. For GSFLs, it 
references measurement procedures set forth in IESNA LM-9-1999.\5\ 
Additionally, GSFL are to be operated according to general procedures 
for taking electrical measurements described in ANSI C78.375-1997,\6\ 
and at the voltage and current conditions described in ANSI C78.81-2005 
(double-based lamps) \7\ or ANSI C78.901-2005 (single-based lamps),\8\ 
and using the reference ballast at input voltage specified by the 
reference circuit in ANSI C82.3-2002.\9\ Appendix R also notes that the 
measurement procedures for GSILs and IRLs are set forth in IESNA LM-45-
2000 \10\ and IESNA LM-20-1994,\11\ respectively.
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    \5\ ``IESNA Approved Method for the Electrical and Photometric 
Measurements of Fluorescent Lamps'' (approved Dec. 4, 1999).
    \6\ ``American National Standard for electric lamps: Fluorescent 
Lamps-Guide for Electrical Measurements'' (approved Sept. 25, 1997).
    \7\ ``American National Standard for Electric Lamps Double-
Capped Fluorescent Lamps--Dimensional and Electrical 
Characteristics'' (approved August 11, 2005).
    \8\ ``American National Standard for Electric Lamps Double-
Capped Fluorescent Lamps--Dimensional and Electrical 
Characteristics'' (approved March 23, 2005).
    \9\ ``American National Standard For Lamp Ballasts-Reference 
Ballasts for Fluorescent Lamps'' (approved Sept. 4, 2002).
    \10\ ``IESNA Approved Method for Electrical and Photometric 
Measurements of General Service Incandescent Filament Lamps'' 
(approved May 8, 2000).
    \11\ ``IESNA Approved Method for Photometric Testing Of 
Reflector-Type Lamps'' (approved Dec. 3, 1994).
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II. Summary of the Notice of Proposed Rulemaking

    In overview, in addition to requesting comment on all aspects of 
the current GSFL, GSIL, and IRL test procedures, this NOPR proposes to 
amend DOE's current test procedures for GSFLs and GSILs based on DOE's 
review of the existing test procedures. These amendments would achieve 
two objectives: (1) To update test procedures by incorporating certain 
lighting industry standards by reference in order to adopt current best 
practices and technological developments and (2) to adopt a new test 
procedure for determining GSIL rated lifetime. If the revisions and 
additions proposed by this test procedure NOPR were adopted, their use 
would be required for standards compliance purposes upon the effective 
date of the test procedure final rule (i.e., 30 days after its 
publication).
    Regarding the first objective (i.e., updating references in DOE's 
existing test procedures to incorporate current best practices and 
technological developments), today's notice proposes updating 
references for the industry standards incorporated by reference to the 
latest versions of those documents. For GSFLs, DOE is proposing to 
update references ANSI C78.81-2005 to ANSI C78.81-2010 \12\ and from 
IESNA LM-9-1999 to IES LM-9-2009 \13\ for measuring the electrical and 
photometric attributes. For GSILs, DOE proposes updating references 
from IESNA LM-45-2000 to IES LM-45-2009 \14\ for measuring their 
electrical and photometric attributes. This NOPR is not proposing 
changes to the current IRL test procedures, because no updated version 
of the relevant industry standard, IESNA LM-20-1994, has been 
published, nor do current best practices and technological developments 
appear to warrant such an update.
---------------------------------------------------------------------------

    \12\ ``American National Standard for Electric Lamps-Double-
Capped Fluorescent Lamps-Dimensional and Electrical 
Characteristics'' (approved Jan. 14, 2010).
    \13\ ``IES Approved Method for the Electrical and Photometric 
Measurement of Fluorescent Lamps'' (approved Jan. 31, 2009).
    \14\ ``IES Approved Method for the Electrical and Photometric 
Measurement of General Service Incandescent Filament Lamps'' 
(approved Dec. 14, 2009).
---------------------------------------------------------------------------

    DOE has identified and outlined in section III.B the modifications 
and clarifications found in the most recent versions of the industry 
standards for GSFLs and GSILs, as compared to the versions of those 
same standards currently incorporated by reference in DOE's test 
procedures. These changes will not, in DOE's view, significantly alter 
reported lamp efficacy values.
    Regarding the second objective (i.e., adoption of a GSIL rated 
lifetime test procedure), today's notice proposes incorporating by 
reference industry standard, IESNA LM-49-2001.\15\ As noted above, EISA 
2007 amended EPCA, in part, by establishing energy conservation 
standards for GSILs which include for the first time minimum rated 
lifetime requirements that are to be phased in between January 2012 and 
January 2014. DOE must now address GSIL lifetimes in an amended test 
procedure for GSILs. EPCA's definition of lamp ``life'' and 
``lifetime'' requires that DOE make this amendment in accordance with 
test procedures described in the IES Lighting Handbook--Reference 
Volume. (42 U.S.C. 6291(30)(P))
---------------------------------------------------------------------------

    \15\ ``IESNA Approved Method for Life Testing of Incandescent 
Filament Lamps'' (approved Dec. 1, 2001).
---------------------------------------------------------------------------

    To initiate the development of a test procedure for determining 
GSIL rated lifetime, DOE conducted literature research and interviews 
with several GSIL lifetime testing facilities and

[[Page 56664]]

determined that IESNA LM-49-2001 aligns with guidance in the IESNA 
Lighting Handbook, and is also the industry standard for GSIL lifetime 
testing. Additionally, DOE has tentatively concluded this industry 
standard adequately covers the test setup, conditions, and procedures 
for GSIL lifetime testing. Therefore, in order to meet the EISA 2007 
requirements for GSIL lifetimes that will begin going into effect in 
January 2012, this notice proposes to incorporate by reference IESNA 
LM-49-2001 to establish the test procedure for determining rated 
lifetime of GSILs.
    The following sections detail changes associated with the revised 
versions of the applicable industry standards incorporated by reference 
(IES LM-9-2009 and IES LM-45-2009) and summarize DOE's proposed test 
procedure for the GSIL rated lifetime.
    Lastly, DOE discusses the compliance date for use of the amended 
test procedure and certifying compliance with DOE's energy conservation 
standards.

III. Discussion

A. Seven-Year Test Procedure Review

    In undertaking this rulemaking, DOE is fulfilling its statutory 
obligation under section 302 of EISA 2007 to review its test procedures 
for all covered products, including GSFL, GSIL, and IRL, at least once 
every seven years. (42 U.S.C. 6293(b)(1)(A)) DOE must either: (1) Amend 
the test procedure to improve its measurement representativeness or 
accuracy or reduce its burden, or (2) determine that such amendments 
are unnecessary. Id. Although DOE is proposing revisions to only 
certain parts of the existing test procedures (see sections III.A.1, 
III.A.2, and III.A.3), DOE invites comments on all aspects of DOE's 
test procedures for GSFL, GSIL, and IRL, including those provisions 
appearing at 10 CFR 429.27, 10 CFR 430.2, 10 CFR 430.23, 10 CFR 430.25, 
and 10 CFR 430, subpart B, Appendix R. (See Issue 1 in section V.E), as 
well as comments on current best practices and technological 
developments that may warrant amendments.

B. Updates to Industry Standards Incorporated by Reference

    Because the current GSFL, GSIL, and IRL test procedures are based 
mainly on references to industry standards, this review, in part, 
consists of determining whether or not to adopt the updated version of 
these standards. Industry periodically updates its test procedure 
standards to account for changes in product lines and/or developments 
in test methodology and equipment. In its review of these industry 
standards, DOE compared updated and current versions to determine, as 
directed by EPCA, whether adopting the latest industry standards would 
alter measured energy efficiency. (42 U.S.C. 6293(e)(1)) In addition, 
in considering whether to adopt an updated standard, DOE must ensure 
that a revision to DOE's regulations would not result in a test 
procedure that is unduly burdensome to conduct. (42 U.S.C. 6293(b)(3))
    After reviewing the industry standards incorporated by reference 
for the existing GSFL, GSIL, and IRL test procedures as well as current 
best practices and technological developments, DOE tentatively 
identified appropriate updates for the GSFL and GSIL test procedures, 
but no updates for the IRL test procedure. For GSFLs, DOE is proposing 
to update references to the 1999 version of IES LM-9 to the 2009 
version and references to the 2005 version of ANSI C78.81 to the 2010 
version. For GSILs, DOE proposes to update references to the 2000 
version of IES LM-45 to the 2009 version. DOE is proposing to adopt the 
latest versions of IES LM-9 and IES LM-45, as they include requirements 
that will increase the precision of measurements and clarifications of 
existing test setup and methodology. The updated version of ANSI C78.81 
provides lamp specifications for additional lamp types that may become 
useful in the future. Adoption of these latest versions will also 
better align DOE test procedures with industry practice, thereby 
potentially reducing testing burden.
    Generally, DOE has determined that the changes associated with 
adoption of the updated versions of industry standards referenced in 
the existing test procedures for the products that are the subject of 
this NOPR would not be unduly burdensome for manufacturers, nor would 
they result in a change in measured lamp efficacy values, as they are 
not making substantive changes to test setup and methodology. In its 
review of the updated versions of industry standards, DOE identified 
some provisions in the revised industry test procedures that could 
potentially result in small changes in lamp efficacy values (e.g., 
modifications to impedance thresholds, voltage and current 
regulations). However, DOE tentatively determined that these potential 
changes in lamp efficacy values from the modified provisions would not 
be significant.\16\ Nevertheless, DOE requests comments on its 
assessment (see Issues 2 and 3 in section V.E). The following sections 
discuss in more detail each of the updated industry standards and their 
provisions that could potentially result in small changes in lamp 
efficacy values.
---------------------------------------------------------------------------

    \16\ In this document, changes in efficacy that are described as 
``not significant'' are considered to be within measurement error or 
variation. DOE tentatively concludes that these amendments do not 
affect reported efficacy values to the extent that would warrant 
modifications to energy conservation standards.
---------------------------------------------------------------------------

1. ANSI C78.81-2010 for General Service Fluorescent Lamps
    The existing GSFL test procedure at 10 CFR part 430, subpart B, 
Appendix R incorporates by reference ANSI C78.81-2005, addressing 
dimensional and electrical characteristics for double-capped 
fluorescent lamps. This 2005 standard, a revision to ANSI C78.81-2003, 
is also referenced in DOE's definitions of ``cold-temperature 
fluorescent lamp'' and ``rated wattage.'' (See 10 CFR 430.2) In 
addition, ANSI C78.81-2003 is currently referenced in parts of DOE's 
test procedure for fluorescent lamp ballasts. (See 10 CFR part 430, 
subpart B, Appendix Q) In this NOPR, DOE proposes to update all 
reference to ANSI C78.81 (both 2003 and 2005) to now reference ANSI 
C78.81-2010 in DOE's test procedures and definitions relating to GSFLs 
and fluorescent lamp ballasts. The 2010 version adds high-frequency and 
low-frequency lamp specifications for reduced-wattage 4-foot T8 medium 
bipin lamps. While DOE's current test procedures do not require the use 
of these specifications, they may become relevant in DOE's ongoing 
assessment of whether industry has provided high-frequency lamps 
specifications for all GSFL covered by standards and subsequently, if 
DOE should consider requiring GSFLs be tested using high-frequency 
ballasts. Furthermore, if upcoming GSFL energy conservation standards 
rulemakings adopt additional lamp types, incorporating the latest 
version of ANSI C78.81 may necessitate little or no changes to DOE test 
procedures in terms of specifications for the new lamp types.
    Section 1 (``Definitions'') of Appendix Q (``Uniform Test Method 
for Measuring Energy Consumption of Fluorescent Lamp Ballasts'') to the 
DOE test procedure refers to specific datasheets in ANSI C78.81-2003 to 
identify dimensional and electrical characteristics for the following 
lamps: F40T12, F96T12, F96T12HO, F34T12, F96T12ES, F96T12HO/ES. DOE has

[[Page 56665]]

determined that 2003 datasheets referenced in Appendix Q are identical 
to the corresponding datasheets in the 2010 version of ANSI C78.81. As 
updating references to ANSI C78.81-2003 to ANSI C78.81-2010 in Appendix 
Q does not constitute a substantive change to the fluorescent lamp 
ballast test procedure, DOE concludes that such amendments would not 
result in any changes in testing burden or a change in measured energy 
consumption as compared to the current DOE test procedure.
    In comparing ANSI C78.81-2010 to the 2005 version of the standard, 
DOE notes that the only change is to include high-frequency and low-
frequency lamp specifications for 25W, 28W, and 30W, reduced-wattage 4-
foot T8 medium bipin lamps. These lamps, commonly used as replacements 
for a 32W 4-foot T8 medium lamp, are newer products and only recently 
have been added to the ANSI standard. The low-frequency reference 
ballast specifications in ANSI C78.81-2010 for these lamps are 
identical to the specifications DOE currently directs manufacturers to 
use for those fluorescent lamps in section 4.1.2.1 of Appendix R.\17\ 
Therefore, neither measured efficacy nor testing burden would be 
affected by updating the current references in the DOE test procedure 
to ANSI C78.81-2010. Thus, DOE proposes to update all references to 
ANSI C78.81 (both the 2003 and 2005 version) in 10 CFR part 430 to the 
2010 version of the standard.
---------------------------------------------------------------------------

    \17\ DOE's current test procedure for 4-foot medium bipin lamps 
specifies that testing be done using low-frequency reference ballast 
specifications.
---------------------------------------------------------------------------

2. IES LM-9-2009 for General Service Fluorescent Lamps
    IESNA LM-9-1999 specifies procedures for measuring the efficacy of 
GSFLs. As discussed above, this industry standard has been updated with 
a 2009 edition. DOE is proposing to update references to IESNA LM-9-
1999 to the more recent 2009 version of the standard.\18\ A review 
indicates that incorporating the 2009 edition of IES LM-9 could provide 
further clarification of the test procedure and improve the test 
methodology and test instrumentation setup and specifications. DOE has 
identified the following four key updates in the 2009 edition of IES 
LM-9 and discusses them in greater detail below. Specifically, IES LM-
9-2009:
---------------------------------------------------------------------------

    \18\ The 2009 version of the standard is labeled as IES instead 
of IESNA
---------------------------------------------------------------------------

     Adds information on conducting tests under high-frequency 
conditions;
     Modifies the lamp stabilization method;
     Specifies temperature and orientation for stabilization of 
T5 lamps; and
     Specifies impedance \19\ thresholds for the multipurpose 
volt, amperes, and watts (VAW) meter and power source, where previously 
only general guidance was provided.
---------------------------------------------------------------------------

    \19\ A measure of the total opposition to current flow in an 
alternating current (AC) circuit made up of resistance and 
reactance, ``reactance'' is the opposition of a circuit element to a 
change of electric current or voltage, due to the element's 
capacitance or inductance. For a direct current (DC) circuit, the 
impedance is just the resistance.
---------------------------------------------------------------------------

    One of the key updates in IES LM-9-2009 is the addition of guidance 
on taking measurements under high-frequency conditions when using high-
frequency ballasts. Because high-frequency test specifications are not 
available for all lamp types and in order to maintain consistency and 
comparability across testing, DOE required testing of GSFLs using low-
frequency ballasts where possible in the 2009 Lamps Test Procedure 
final rule.\20\ 74 FR 31829, 31835 (July 6, 2009). This NOPR does not 
propose to change this requirement. Because 8-foot T8 recessed double-
contact high-output and 4-foot T5 miniature bipin standard and high-
output lamps only have high-frequency reference ballasts specifications 
available, the DOE test procedure directs manufacturers to use high-
frequency test conditions for these lamps.
---------------------------------------------------------------------------

    \20\ One exception to this rule would be 8-foot T8 recessed 
double-contact high-output and 4-foot T5 miniature bipin standard 
and high-output lamps, which only have high-frequency reference 
ballasts specifications listed in ANSI C78.81-2005.
---------------------------------------------------------------------------

    IES LM-9-2009 now provides some guidance for testing in high-
frequency situations, specifically regarding instrument thresholds and 
circuit setup. As noted above, DOE requires GSFLs testing using low-
frequency ballasts where possible. However, the high-frequency guidance 
in IES LM-9-2009 would be applicable for lamps that only have high-
frequency ballast specifications available and, therefore, cannot be 
tested using low-frequency ballasts. IES LM-9-2009 specifies for high-
frequency measurements that root mean square (RMS) voltage applied to 
the test lamp be regulated to within  1.0 percent of the 
reference ballast voltage setting and that instruments have a frequency 
response \21\ of at least 100 kilohertz (kHz). For measurements under 
high-frequency operation, the industry standard specifies that lamps be 
operated in series with a non-inductive reference resistor ballast,\22\ 
as specified in ANSI C78.81-2010. IES LM-9-2009 also states that when 
the impedance is not specified in a standard, the value is to be set to 
one half of the lamp impedance under high-frequency conditions. High-
frequency-specific impedance, along with current and input voltage for 
reference ballasts, are necessary parameters for testing under high-
frequency conditions. The industry standard also clarifies that for 
high-frequency circuits, cathode heating should not be used when the 
lamp is in operation. DOE has tentatively concluded that for lamps that 
can only be tested at high frequency, the impact of the new guidance 
provided in IES LM-9-2009 regarding high-frequency testing would be 
useful, and it would not significantly impact lamp efficacy 
measurements (which would likely be within the margin of measurement 
error). Furthermore, DOE's analyses indicate that most modern equipment 
would accommodate the thresholds specified in IES LM-9-2009 for high-
frequency testing, and, thus, they would not impose an additional 
testing burden on manufacturers since new testing instruments would not 
be required to run the test. DOE requests comment on whether the 
clarification on high-frequency testing provided would affect lamp 
efficacy values and/or significantly increase the testing burden (see 
Issue 2 in section V.E).
---------------------------------------------------------------------------

    \21\ ``Frequency response'' is the measure of a system's output 
frequency spectrum in response to an input signal.
    \22\ A high-frequency reference ballast has only resistive 
elements, while a low-frequency reference ballast includes 
inductors.
---------------------------------------------------------------------------

    In addition, IES LM-9-2009 includes modifications to the lamp 
stabilization methodology. IES LM-9-2009 now prescribes six (instead of 
four) measurements at one-minute intervals for a total of five (instead 
of three) minutes. It also removes the requirement that the stability 
percentage be two percent for lamps with cold spots/chambers, leaving 
only the general one-percent stability threshold. Additionally, IES LM-
9-2009 requires that stabilization measurements continue until six 
consecutive measurements meet the stabilization criteria. These 
modifications to the lamp stabilization method allow for more accurate 
and consistent measurements of lamp efficacy. After review, DOE has 
tentatively concluded that the 2009 version provides a stricter 
stabilization method, but one that is consistent with industry 
standards. DOE requests comments on the impact of these proposed 
changes in stabilization methodology on lamp efficacy values (see Issue 
2 in section V.E).

[[Page 56666]]

    IES LM-9-2009 also prescribes lamp stabilization characteristics 
unique to T5 linear fluorescent lamps. To obtain stable photometric 
results in 25 [deg]C (77 [deg]F) air, it recommends keeping the mercury 
dose in the test lamp close to the equilibrium temperature and vapor 
pressure. IES LM-9-2009 also specifies that T5 lamps are to be seasoned 
\23\ in the vertical orientation, even though they are measured 
horizontally. Stable light output is reached when all the liquid 
mercury is in the cold spot, which by industry convention is at the 
monogrammed end of the lamp. Therefore, T5 lamps are operated in a 
vertical position to keep the mercury dose at one end of the lamp. IES 
LM-9-2009 references IESNA LM-54-1999 \24\ for further guidance on this 
procedure. Upon review, DOE has tentatively concluded that the addition 
of the T5 lamp stabilization method, as proposed, would address 
stability characteristics specific to these lamp types, but it would 
not be expected to alter measured lamp efficacy.
---------------------------------------------------------------------------

    \23\ ``Seasoned'' or ``seasoning'' refers to the initial burning 
or operation of a lamp with the goal of minimizing time-related 
changes in lamp operating characteristics.
    \24\ ``IESNA Guide to Lamp Seasoning'' (approved May 10, 1999).
---------------------------------------------------------------------------

    IES LM-9-2009 also specifies impedance thresholds for the 
multipurpose volt, amperes, and watts (VAW) meter and power source. The 
VAW meter voltage input must have input impedance greater than one 
megaohm; and the electrical current input impedances may not exceed 10 
milliohms.\25\ IES LM-9-2009 also prohibits power source impedance 
greater than two percent of the ballast impedance. For high-frequency 
power supplies, the 2009 version adds the note that it is impossible to 
meet this power source impedance limit internally, so external control 
circuits are used to keep the output voltage at the desired level. This 
modification addresses the need for low impedance in order to ensure 
accurate measurements, but DOE does not expect that it would 
significantly affect lamp efficacy measurements. DOE has tentatively 
concluded that because the updates to impedance limitations mainly 
affect error correction and ensure accurate measurements, these changes 
would not be expected to affect lamp efficacy values. In addition, 
DOE's research indicates that manufacturers' existing instrument setups 
should meet the impedance thresholds prescribed and, therefore, would 
not pose an additional testing burden.
---------------------------------------------------------------------------

    \25\ The 2009 version also removes Annex A, Corrections to 
Compensate for Presence of Test Instruments in the Lamp Circuit. 
This annex addresses how to account for the change in the circuit 
caused by the test instruments. IES LM-9-2009 notes, however, that 
the error introduced to the circuit is negligible when using high-
input-impedance (one megaohm or greater) instruments. Because IES 
LM-9-2009 has been modified to require that voltage input of a 
multifunction meter have input impedance greater than one megaohm, 
this annex is no longer relevant.
---------------------------------------------------------------------------

    In addition to the above mentioned updates, IES LM-9-2009 provides 
recommendations and further guidance that remove a number of 
ambiguities in the previous version (e.g., updates to sources of 
measurement errors, definitions, and references). Because these 
proposed updates do not involve substantive changes to the test setup 
and methodology, but rather just clarification, DOE has tentatively 
concluded they would not affect lamp efficacy measurements or pose an 
additional testing burden.
    For the reasons discussed above, DOE has tentatively concluded that 
substituting the 2009 version of IES LM-9 for the version (1999) 
currently incorporated in the DOE test procedure for GSFLs would 
generally result in more precise measurements and provide further 
clarification to the DOE test procedures. It would also align DOE's 
requirements with current industry standards, thereby potentially 
reducing testing burden. The proposed amendments would not be expected 
to significantly affect measured lamp efficacy. DOE requests comments 
on its proposed incorporation of IES LM-9-2009 and its tentative 
conclusion that the update would have an insignificant impact on lamp 
efficacy values (see Issue 2 in section V.E).
3. IES LM-45-2009 for General Service Incandescent Lamps
    The existing GSIL test procedure at 10 CFR part 430, subpart B, 
Appendix R incorporates by reference IESNA LM-45-2000 and specifies its 
use for measuring efficacy of GSILs. As discussed above, this industry 
standard has been updated with a 2009 edition which is labeled as IES 
instead of IESNA. DOE is considering updating references from IESNA LM-
45-2000 to the 2009 version of the standard. A review indicates that 
incorporating the 2009 edition of IES LM-45 could provide further 
clarification of the test procedure and improvements in test 
methodology. DOE has identified the following five key updates in the 
2009 edition of LM-45 and discusses them in greater detail below:
     Modifies the lamp stabilization method;
     Modifies voltage and current regulation tolerances of the 
alternating current (AC) power source;
     Modifies instrument tolerance for AC voltage, current, and 
wattage;
     Specifies impedance tolerances for instruments;
     Specifies the tolerance of the spectral response of the 
photo detector;
    The first key update in IES LM-45-2009 is clarification of the lamp 
stabilization methodology. IES LM-45-2009 specifies that the stability 
percentage should be calculated by dividing the difference between the 
maximum and minimum of the five consecutive measurements by the average 
value of the measurements. IES LM-45-2009 also states that measurements 
must continue at 15-second intervals until five consecutive 
measurements meet the stability criteria. These additional 
specifications in IES LM-45-2009 provide a more precise definition of 
stabilization, which may improve consistency of test results.
    IES LM-45-2009 also contains modified requirements for voltage and 
current regulation of the AC power source. It specifies that RMS 
voltage or current is to be regulated to within  0.1 
percent instead of  0.02 percent. The revised standard also 
changed the instrument tolerances for voltage, current, and wattage 
measurements for AC, specifying  0.5 percent or less for 
voltage and current and  0.75 percent or less for wattage 
as allowable accuracies. IES LM-45-2000 had stated that uncertainty of 
voltage and current shall not exceed  0.05 for both DC and 
AC circuits. All else held equal, uncertainty for AC measurements tends 
to be higher than DC measurements, due to the time-varying properties 
of AC signals.
    While the above mentioned changes in power source regulation and in 
instrument tolerances could introduce slightly more variation in lamp 
efficacy measurements, DOE does not expect that these proposed changes 
would have a significant impact on reported lamp efficacy values, which 
are based on testing of 21 samples. Additionally, the revised 
tolerances are closer to those achievable by today's commercially-
available equipment being used industry-wide, and, therefore, they 
would not pose an additional testing burden.
    IES LM-45-2009 also adds upper and lower input impedance thresholds 
for the voltage and the current inputs of the multimeter used for 
measurements. Under the revised version of the industry standard, the 
input impedance for the voltage input to the multifunction meter must 
exceed one megaohm, and the input impedance for the current inputs must 
be less than 10 milliohms. DOE has tentatively

[[Page 56667]]

concluded that these changes would have an insignificant impact on lamp 
efficacy values. The updates to impedance thresholds mainly affect 
error correction and ensure accurate measurements. In addition, this 
change would not pose an additional testing burden, as DOE's research 
indicates that manufacturers' existing instrument setups should meet 
the impedance thresholds prescribed.
    Both versions of IES LM-45 include a requirement that the photo-
detector have a relative spectral responsivity which approximates 
V([lambda]), the photopic luminous efficiency function.\26\ The 
V([lambda]) function represents the response curve of a standard 
observer, which quantifies the visual sensitivity of the human eye to 
light at different wavelengths. IES LM-45-2009 adds the specification 
that the V([lambda]) parameter, f1', be less than five percent. The 
parameter f1' describes the degree of spectral match of the photo-
detector measurements to the V([lambda]) function. DOE's research 
indicates that industry commonly considers a value for f1' of less than 
five percent good commercial quality and a value of less than three 
percent good laboratory/research quality. DOE has tentatively concluded 
that the additional specification of the spectral response tolerance of 
the photo-detector would not affect lamp efficacy measurements. In 
addition, DOE research shows that manufacturers already employ at least 
commercial-grade instruments, and, therefore, this specification would 
not pose an additional test burden. However, it is useful to explicitly 
specify the allowable error in spectral response to ensure a certain 
accuracy of photometric measurements.
---------------------------------------------------------------------------

    \26\ The Commission International de l'Eclairage (CIE) 
established the photopic luminous efficiency function as the 
response curve of a standard observer. IESNA Lighting Handbook, 
Ninth Edition (2000) p. 1-6.
---------------------------------------------------------------------------

    For the reasons discussed above, DOE has tentatively concluded that 
substituting the 2009 version of IES LM-45 for the 2000 version 
currently incorporated in the DOE test procedure for GSILs would result 
in more precise measurements and provide further clarification to the 
DOE test procedures. Updating to the latest version would also better 
align DOE's requirements with current industry standards and best 
practices. The proposed amendments would not be expected to 
significantly affect measured lamp efficacy. DOE requests comments on 
its proposed incorporation of LM-45-2009 and its tentative conclusion 
that the update would have an insignificant impact on lamp efficacy 
values and testing burden (see Issue 3 in section V.E).

C. Test Procedures for Incandescent Reflector Lamps

    The existing IRL test procedure at 10 CFR part 430, subpart B, 
Appendix R incorporates by reference IESNA LM-20-1994 \27\ for 
measuring efficacy of IRLs. At the time of publication of this NOPR, a 
revised edition of this standard had not been published. Upon review 
DOE has determined that existing test procedures for IRLs are 
appropriate for measuring efficacy and continue to not impose an undue 
testing burden. Further, DOE is not aware of any current best practice 
or technical development that necessitates modifications to the 
existing test procedure. Therefore, no amendments to IRL test 
procedures are proposed. DOE requests comment on its assessment that no 
updates to the IRL test procedure are needed and welcomes any 
suggestions for amendments (see Issue 4 in section V.E).
---------------------------------------------------------------------------

    \27\ ``IESNA Approved Method for Photometric Testing of 
Reflector-Type Lamp,'' (approved Dec. 3, 1994).
---------------------------------------------------------------------------

D. General Service Incandescent Lamp Lifetime Testing

    Section 321 of EISA 2007 amended EPCA by prescribing for the first 
time for GSILs, minimum rated lifetime \28\ requirements to be phased 
in between January 2012 and January 2014 (codified at 42 U.S.C. 
6295(i)(1)). EPCA defines ``life'' and ``lifetime'' as the length of 
operating time of a statistically large group of lamps between first 
use and failure of 50 percent of the group, in accordance with test 
procedures described in the IESNA Lighting Handbook Reference Volume. 
(42 U.S.C. 6291(30)(P))
---------------------------------------------------------------------------

    \28\ DOE is proposing to use the term ``rated lifetime'' rather 
than ``rate lifetime,'' which is the term used in the statutory 
standards for GSILs prescribed by EISA 2007. (42 U.S.C. 6295(i)) DOE 
believes ``rated'' is more commonly used in industry.
---------------------------------------------------------------------------

    The rated lifetime of a general service incandescent lamp depends 
mainly on the rate of vaporization of the surface of the tungsten 
filament due to the high filament temperatures required during lamp 
operation. The tungsten filament generates the light in incandescent 
lamps when a current is passed through it, which heats the filament by 
electrical resistance. As the filament evaporates and shrinks, its 
resistance increases, thereby reducing current, power, and light in 
multiple circuits.\29\ Light output is also reduced by the deposit of 
light-absorbing tungsten particles on the bulb surface. When the 
filament breaks, it interrupts the electrical circuit, thereby 
resulting in an inoperable lamp.
---------------------------------------------------------------------------

    \29\ IESNA Lighting Handbook, Ninth Edition (2000) p. 6-13.
---------------------------------------------------------------------------

1. Selection of Industry Standard
    As stated above, EPCA defines the term ``lifetime'' in part by 
referencing test procedures in the IESNA Lighting Handbook.\30\ The 
IESNA Lighting Handbook provides guidance on two methods of testing 
GSIL lifetime: (1) At rated voltage; and (2) at overvoltage (also known 
as accelerated lifetime testing). DOE notes that the rated voltage 
testing guidance in the IESNA Lighting Handbook generally coincides 
with IESNA LM-49-2001. (See discussion in section III.D.3 below for 
further details on accelerated lifetime testing.) In light of its 
common usage in the industry and its similarity to the test procedure 
in the IESNA Lighting Handbook, DOE is proposing to incorporate by 
reference IESNA LM-49-2001, ``IESNA Approved Method for Life Testing of 
Incandescent Filament Lamps'' (approved Dec. 1, 2001), into the DOE 
test procedure for measuring GSIL lifetime, in order for there to be an 
appropriate test method in place by the compliance date for the GSIL 
minimum lifetime standard levels established by EISA 2007.
---------------------------------------------------------------------------

    \30\ IESNA Lighting Handbook, Ninth Edition (2000) p. 2-24.
---------------------------------------------------------------------------

    DOE notes, however, that the IESNA Lighting Handbook test 
procedures depart from those described in IESNA LM-49-2001 in one way: 
the IESNA Lighting Handbook requires test voltage or current be held 
within  0.25 percent of rated voltage/current, whereas 
IESNA LM-49-2001 requires test voltage or current be held within  0.5 percent of rated RMS values. As IESNA LM-49-2001 is the more 
commonly used reference for GSIL lifetime testing, DOE is proposing to 
stay with the voltage/current regulation prescribed in IESNA LM-49-
2001. DOE also has tentatively concluded that this difference in 
voltage regulation specification would have an insignificant impact on 
lifetime testing and would reduce testing burden by providing a 
somewhat wider tolerance.
    DOE also considered IEC 60064-2005 \31\ which contains similar test 
conditions and procedures as IESNA LM-49-2001. After speaking to 
representatives from major lighting testing facilities, however, DOE 
found that IESNA LM-49-2001 is the more common reference for GSIL 
lifetime testing, which suggests it is the more workable approach. 
Further evidence of the IESNA standard's usage is the

[[Page 56668]]

Federal Trade Commission (FTC) reference to IESNA LM-49 in its 
regulations for product labeling of GSILs. 16 CFR 305.5(b). By adopting 
the same industry standard for purposes of compliance with energy 
conservation standards and FTC labeling, DOE would minimize the need 
for additional testing. IESNA LM-49-2001 adequately covers ambient 
conditions, test setup (lamp orientation, power supply specifications, 
instrumentation), and operating cycle methodology, thereby providing a 
comprehensive test procedure for testing GSIL lifetime. DOE requests 
comments on its proposal to adopt IESNA LM-49-2001 as the standard for 
GSIL lifetime testing (see Issue 5 in section V.E). The following 
section describes the test procedures laid out in IESNA LM-49-2001.
---------------------------------------------------------------------------

    \31\ ``International Standard: Tungsten filament lamps for 
domestic and similar general lighting purposes--Performance 
requirements'' (approved 2005).
---------------------------------------------------------------------------

2. Summary of IESNA LM-49-2001
    Similar to EPCA, section 1.2 of IESNA LM-49-2001 defines ``rated 
lifetime'' as the statistically-determined estimate of median 
operational lifetime, where median is the total operating time under 
which, at normal operating conditions, 50 percent of a large group of 
initially installed lamps is expected to be still operating. IESNA LM-
49-2001 prescribes testing lifetime of an incandescent lamp at its 
rated voltage, and it requires the lamp to be checked for failure at 
certain intervals and to be cooled on a daily basis.
    Section 3.2 of IESNA LM-49-2001 provides instrument specifications 
that require lamps to be operated at their rated voltage for voltage-
rated lamps or at their rated current for current-rated lamps, and at 
60 Hertz (Hz). When using an AC power supply, the voltage wave shape is 
to be such that total harmonic distortion does not exceed three percent 
of the fundamental. As mentioned previously, the referenced industry 
standard also specifies that regardless of whether AC or DC power 
supply is used, voltage or current must be regulated to within  0.5 percent of its rated RMS value for the duration of the 
lifetime test as a design consideration for the lifetime test system. 
IESNA LM-49-2001 specifies test conditions for vibration, temperature, 
and airflow. It addresses orientation, spacing, handling, and marking 
of the lamps, as well as specifications for the lamp holders.
    The method for lamp lifetime testing detailed in IESNA LM-49-2001 
allows for an elapsed time meter to monitor operating time. The 
referenced industry standard further states that it is permissible to 
use video monitoring, current monitoring, or other means that are 
designed to provide sufficient temporal accuracy. The procedure 
specifies that lamp failure is determined by either visual observation 
or automatic monitoring at intervals of no more than 0.5 percent of the 
rated lifetime. It requires that for normal lifetime testing, lamps be 
cooled to ambient temperature once per day and specifies cooling time 
as usually 15 to 30 minutes per day.
3. Accelerated Lifetime Testing
    IESNA LM-49-2001 permits accelerated lifetime testing for non-
halogen GSILs. In principle, an accelerated lifetime test measures a 
shortened lamp lifetime and scales it to determine the full lifetime of 
the lamp, thereby reducing total testing time required and overall test 
burden. DOE has tentatively determined, however, that industry lacks a 
consistent methodology for developing GSIL scaling factors for halogen 
lamps (which are expected to comprise the vast majority of compliant 
GSILs). Thus, as detailed in the next section, DOE has tentatively 
decided not to allow the use of accelerated lifetime testing for GSILs 
as part of this test procedure.
    Accelerated lifetime testing involves operating lamps at higher 
than rated voltage, thereby forcing the lamp to fail faster. A scaling 
factor is used to correlate the measured accelerated lifetime to the 
lifetime at the rated voltage. The appropriate scaling factor, critical 
in obtaining accurate accelerated lifetime results, is determined by 
conducting a certain number of comparison parallel lifetime tests at 
rated voltage and overvoltage. The IESNA Lighting Handbook notes that 
scaling factors are empirical and that their determination requires 
many comparison tests at rated voltages.\32\
---------------------------------------------------------------------------

    \32\ IESNA Lighting Handbook, Ninth Edition (2000) pp. 2-24.
---------------------------------------------------------------------------

    Additionally, IESNA LM-49-2001 limits accelerated lifetime testing 
methodology to non-halogen lamps. Accurate accelerated lifetime testing 
can be difficult to conduct for halogen lamps due to the tungsten-
halogen regenerative cycle. This cycle, intended to increase lamp 
lifetime by redepositing evaporated tungsten back onto the filament, is 
designed around certain operating temperatures; deviations from the 
rated voltage would change the operating temperature and potentially 
alter or introduce new modes of lamp failure. Even if accurate scaling 
factors (to relate overvoltage lifetime testing to rated voltage 
lifetime testing) could be empirically derived for halogen lamps, 
unique scaling factors would likely need to be developed for each lamp 
design. Alterations in filament or halogen capsule designs could affect 
the tungsten-halogen regenerative cycle and, therefore, the scaling 
factor. Due to the extensive testing necessary to develop these scaling 
factors for each basic model, DOE tentatively concludes that 
accelerated lifetime testing for halogen lamps would not significantly 
reduce testing burden.
    Since few non-halogen GSILs will meet the 2012 energy conservation 
standards, and given the minimal impact on testing burden and potential 
inaccuracies introduced, DOE has tentatively decided to disallow the 
use of accelerated lifetime testing for GSILs as part of this test 
procedure. DOE requests comments on its assessment that accelerated 
lifetime test should not be incorporated as part of the DOE test 
procedure (see Issue 6 in section V.E).
4. Sample Size
    For GSIL lifetime measurements, DOE is proposing a minimum sampling 
size of 20 lamps: a minimum of two lamps per month for seven months of 
production out of a 12-month period. If lamp production occurs in fewer 
than seven months out of the year, two or more lamps will be selected 
for each month that production exists as evenly as possible to meet the 
minimum 20 sample requirement. These seven months do not need to be 
consecutive and can be any combination of seven months out of the 
twelve available. DOE has tentatively concluded that 20 samples is 
consistent with the statutory definition of ``lifetime,'' that requires 
that such sample be based on ``statistically large group of lamps.'' 
This selection of 20 lamps as the sample size is also consistent with 
DOE's regulations for measuring lamp efficacy, which currently specify 
a sampling size of a minimum of three lamps for each month of 
production for a minimum of seven months (not necessarily consecutive) 
out of the 12-month period, totaling a minimum of 21 lamps. 10 CFR 
429.27 This 21-lamp sample size was selected to promote statistically 
valid results without imposing an undue testing burden on 
manufacturers. 62 FR 29222, 29229 (May 29, 1997) DOE has chosen 20 
samples (an even number) instead of 21 samples in order to facilitate 
the calculation of the 50 percent failure rate. This sample size also 
allows manufacturers the opportunity to test the same sample set for 
measurements of lumen output, wattage, and lifetime, thereby 
potentially reducing testing burden. DOE requests comments on this 
assessment and whether alternative

[[Page 56669]]

sample sizes should be used instead (see Issue 7 in section V.E).
5. ``Rated Lifetime'' Definition
    In addition to incorporating by reference IESNA LM-49-2001 as the 
test procedure for GSIL lifetime testing, DOE is also proposing to 
define ``rated lifetime'' as the parameter that should be used to 
determine whether the lamp meets minimum rated lifetime standards. The 
rated lifetime for general service incandescent lamps will be defined 
as the length of operating time between first use and failure of 50 
percent of the sample size in accordance with test procedures described 
in IESNA LM-49-2001. This proposed definition of ``rated lifetime'' is 
consistent with the existing statutory definition of ``life'' or 
``lifetime,'' which describes this parameter as the length of operating 
time of a statistically large group of lamps between first use and 
failure of 50 percent of the group in accordance with test procedures 
described in the IES Lighting Handbook. (42 U.S.C. 6291(30)(P)) Since 
DOE is proposing to adopt IESNA LM-49-2001 as the standard industry 
reference for GSIL lifetime testing, the GSIL ``rated lifetime'' 
definition will reference IESNA LM-49-2001 rather than the IES Lighting 
Handbook.
6. Certification Requirements and Laboratory Accreditation
    10 CFR 429.12(e) specifies that for most covered products, 
including GSILs, certification reports of new models must be submitted 
before products are distributed into commerce. However, for GSFLs and 
IRLs, because reported values are based on testing of samples over a 
12-month period of production, DOE requires manufacturers to submit an 
initial certification report prior to or concurrent with distribution 
of the new model. This initial certification report filing, describing 
how the manufacturer has determined that the new model meets or exceeds 
energy conservation standards, allows manufacturers to distribute new 
models while completing the 12-month sampling requirement for 
certification of GSFLs and IRLs. This initial report is then followed 
by a final certification report, based on the full sampling provisions, 
to be submitted a year after the first date of manufacture of the new 
model.
    Since DOE also requires a 12-month sampling period for 
certification of GSILs, today's notice is proposing to implement new 
model filing requirements, similar to those for GSFLs and IRLs, for 
GSILs. Just as with GSFLs and IRLs, DOE is proposing to require that 
the final certification report be submitted one year following the 
start of manufacturing of the new model. DOE proposes this time period 
for final certification for GSIL testing to account for the time it 
takes to measure lamp lifetime as part of GSIL testing. Lifetime 
testing of a 1000-hour rated lamp (the minimum rated lifetime standard) 
would require lamp operation for a minimum of 42 days. Since the sample 
is taken over a 12-month span and only requires sampling from 7 months 
of the year, DOE believes that several months after the last month of 
the sampling period are necessary to complete testing, given that some 
GSILs have rated lifetimes longer than 1000 hours. Consequently, DOE is 
proposing a total of 12 months after the date of manufacture of the new 
model, allowing manufacturers sufficient time to conduct lifetime 
testing for all GSILs manufactured in a 12-month production period. DOE 
requests comment on its proposal regarding GSIL certification filing 
requirements. (See Issue 8 in section V.E).
    Additionally, when conducting compliance testing for GSIL lifetime, 
DOE proposes to require that such testing be conducted by a facility 
accredited by the National Volunteer Laboratory Accreditation Program 
(NVLAP) \33\ or by an organization recognized by NVLAP. NVLAP 
accreditation is a finding of laboratory competence, certifying that a 
laboratory operates in accordance with NVLAP management and technical 
requirements. The NVLAP program is described in 15 CFR part 285, and it 
encompasses the requirements of ISO/IEC 17025.\34\ DOE has determined 
that NVLAP imposes fees of $9,000 and $8,000 on years one and two of 
accreditation. For the years following, the fees alternate between 
$5,000 and $8,000, with the $8,000 fee corresponding to the on-site 
evaluation required every other year. Fees for other accreditation 
organizations are expected to be similar. DOE does not expect this 
requirement for GSIL lifetime testing to impose a significant burden 
for most manufacturers, because efficacy testing of GSILs is already 
required to take place at a laboratory that is accredited by either 
NVLAP or an NVLAP-recognized organization. Accordingly, manufacturers 
should be able to meet this requirement with minimal change or 
incremental burden.
---------------------------------------------------------------------------

    \33\ NVLAP is a program administered by the National Institute 
of Standards and Technology (NIST).
    \34\ International Organization for Standardization/
International Electrotechnical Commission, General requirements for 
the competence of testing and calibration laboratories. ISO/IEC 
17025 (available at:-- http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=39883).
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7. Effective Date and Compliance Date for the Amended Test Procedures 
and Compliance Date for Submitting GSIL Certification Reports
    The effective date for these test procedure amendments would be 30 
days after publication of the test procedure final rule in the Federal 
Register. At that time, manufacturers and importers of covered GSFLs, 
IRLs, and GSILs may use the amended test procedure for making 
representations of the energy efficiency of each basic model. 
Additionally for GSFLs and IRLs, manufacturers may use the amended test 
procedure or the existing test procedures to certify compliance with 
DOE's test procedure. Should manufacturers or importers elect to use 
the new test procedure and applicable sampling plans prior to the 
compliance date of the amended test procedure, this would need to be 
noted on the certification report.
    The compliance date for certifying compliance with the Department's 
regulations and for making any representations of the energy efficiency 
derived from the revised version of the test procedure for GSFLs, IRLs, 
and GSILs is 180 days from the date of publication of the test 
procedure final rule in the Federal Register. On or after that date, 
any such representations, including those made on marketing materials 
and product labels, must be based upon results generated under these 
amended test procedures and the applicable sampling plans. At that 
time, manufacturers and importers of covered GSFLs, IRLs, and GSILs 
must use the amended test procedures when certifying compliance to the 
Department. For example, for GSFLs and IRLs after the compliance date, 
if the test procedure amendments in conjunction with the applicable 
sampling plans proposed today alter the energy use in a manner which 
results in the basic model being less efficient, then the manufacturer 
or importer would be required to revise the existing certification. 
Otherwise, any changes to the certified ratings for GSFLs and IRLs may 
be submitted in the next annual certification filing due on the 1st of 
March.
    To reduce confusion, DOE is proposing to amend the initial 
compliance date for submitting GSIL certification reports for those 
products subject to standards on January 1, 2012, by approximately 5 
months so as to be concurrent with the compliance date of

[[Page 56670]]

the amended test procedure. Thus, under this proposal, for GSILs that 
have energy conservation standards effective January 1, 2012, 
certification would not be required until 180 days after publication of 
the test procedure final rule in the Federal Register. At that time, 
these test procedure amendments and sampling plans, including the new 
lifetime requirements, would need to be used to develop the certified 
ratings in order to certify compliance 180 days after publication of 
the test procedure final rule in the Federal Register.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget 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 
regulatory action was not subject to review under the Executive Order 
by the Office of Information and Regulatory Affairs (OIRA) in the 
Office of Management and Budget (OMB).

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IFRA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site: http://www.gc.doe.gov.
    Today's proposed rule would adopt test procedure provisions for 
GSFLs and GSILs, primarily through updates to current active industry 
testing standards, as well as specification of a procedure for testing 
GSIL lifetime. In referencing the updated versions of the industry test 
method, DOE anticipates that there would be no incremental increase in 
testing cost or burden for covered products, because the updated 
versions are not making substantial changes to test setup or 
methodology. In this NOPR, DOE is also proposing to establish a test 
procedure for GSIL lifetime testing and recommending the incorporation 
by reference of IESNA LM-49-2001 as the basis for this test procedure. 
The proposed GSIL lifetime test procedure will provide an appropriate 
test method for the purposes of compliance with the GSIL minimum 
lifetime standard levels established by EISA 2007. DOE has tentatively 
determined that the proposed GSIL lifetime test procedure would not 
pose undue testing costs or burdens on manufacturers of covered 
products. DOE has reviewed the proposed rule under the provisions of 
the Regulatory Flexibility Act and the policies and procedures 
published on February 19, 2003. For the reasons explained below, DOE 
concludes and certifies that this test procedure rulemaking would not 
have a significant economic impact on a substantial number of small 
entities.
    The Small Business Administration (SBA) has set a size threshold 
for manufacturers of GSFLs, GSILs, and IRLs that defines those entities 
classified as ``small businesses'' for the purposes of the Regulatory 
Flexibility Analysis. DOE used the SBA's small business size standards 
to determine whether any small manufacturers of GSFLs, GSILs, and IRLs 
would be subject to the requirements of the rule. 65 FR 30836, 30849 
(May 15, 2000), as amended at 65 FR 53533, 53545 (Sept. 5, 2000) and 
codified at 13 CFR part 121. The size standards are listed by North 
American Industry Classification System (NAICS) code and industry 
description and are available at http://www.sba.gov/sites/default/files/Size_Standards_Table.pdf. GSFL, GSIL, and IRL manufacturing is 
classified under NAICS 335110, ``Electric Lamp Bulb and Part 
Manufacturing.'' The SBA sets a threshold of 1,000 employees or less 
for an entity to be considered as a small business for this category.
    In the 2009 rulemaking that set standards for GSFLs and IRLs, DOE 
identified 12 companies as potential small business manufacturers of 
GSFLs and IRLs covered by standards. After further research including 
interviews with companies, DOE identified only one company as a small 
business manufacturer of covered GSFLs and no company as a small 
business manufacturer of covered IRLs. 74 FR 34080, 34174 (July 14, 
2009) Through an analysis conducted in this rulemaking, DOE identified 
six small business manufacturers of covered GSILs (see below for 
further details). Since DOE does not anticipate the proposed 
incorporation of updated versions of the industry test methods for 
GSFLs, GSILs, and IRLs would result in significant changes in test 
setup and methodology, DOE does not expect a significant economic 
impact on small business manufacturers of GSFLs, GSILs and IRLs.
    DOE conducted further analysis to determine that the proposed new 
test procedure provisions for testing GSIL lifetime would not have a 
significant impact on small business manufacturers of GSILs. DOE 
compiled a preliminary list of potential small business manufacturers 
of GSILs by searching Hoover's and the SBA databases and referencing a 
list of small business manufacturers for GSILs identified in the 2009 
rulemaking for GSFLs and IRLs.\35\ DOE then determined if the companies 
actually manufactured GSILs by reviewing the company Web site and/or 
calling the company. Through this process, DOE was able to identify six 
small business U.S. manufacturers of GSILs.
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    \35\ The list had been compiled in the advanced notice of 
proposed rulemaking (ANOPR) stage of the rulemaking for GSFLs and 
IRLs, at which point proposing standards for GSILs was within the 
scope of the rulemaking. (See Chapter 3 of the ANOPR TSD; available 
at: http://www1.eere.energy.gov/buildings/appliance_standards/residential/pdfs/lamps_anopr_tsd/lamps_tsd_chap3.pdf.)
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    DOE then estimated the cost of testing GSIL lifetime for a certain 
number of lamps. The initial setup for lamp lifetime testing can take 
from one day (if using sockets attached to an Edison plug and power 
strips) to two weeks (for a custom-built rack). The cost for a custom-
built rack that can accommodate up to 100 lamps could be about $3,000. 
DOE understands that manufacturers of GSILs would already have the 
other necessary testing instrumentation, because this same equipment is 
used for determination of GSIL efficacy.
    In addition to materials, labor also contributes to the overall 
testing burden of GSIL lifetime testing. The GSIL lifetime test 
procedure requires accurate monitoring of operating time and checking 
for lamp failure at intervals of 0.5 percent of the rated lifetime 
(e.g., five-hour intervals for a lamp with a rated lifetime of 1000 
hours). Rather than have a technician inspect the lamp at the end of 
each interval, a still camera with a programmable snapshot system to 
record lamp operation can reduce the labor cost. Alternatively, a test 
lab could monitor operating time using a baffled photodiode pointing at 
each lamp location with a software program reading photodiode signals 
at regular intervals. This method would increase initial costs by 
requiring equipment costing about $18,000 to $20,000 per

[[Page 56671]]

100 lamps and a one-time setup that could take at least a month with 
three full-time staff, but which would reduce overall labor costs.
    DOE based its estimates of labor costs on the still camera method, 
as it expects more laboratories to have this capability. About three 
hours per week would be required to review images of 100 lamps, and 
assuming the typical average rated lifetime of 1,000 hours, it would 
require six weeks to conduct a lifetime test of a lamp. Therefore, a 
total of 18 hours would be required to conduct lifetime testing for 100 
lamps. DOE used the labor rate of $100 per hour and a sampling size of 
20 lamps (see section III.D). DOE surveyed small manufacturers of GSILs 
to determine a number of models produced per year by a typical small 
business. Based on the six responses received, DOE determined that 
small manufacturers are producing anywhere from four to 50 models of 
GSILs, with an average of 30 models.\36\ Based on these parameters, the 
labor costs of GSIL lifetime testing for one reporting period is 
estimated to be $1,800 for four models, $10,800 for 30 models, and 
$18,000 for 50 models. In addition, if manufacturers need to build 100-
lamp custom test racks, the initial cost setup is estimated to be 
$3,000 for four models (one test rack), $18,000 for 30 models (six test 
racks), and $30,000 for 50 models (10 test racks). However, DOE 
believes that most GSIL manufacturers would already have sufficient 
testing racks for their own internal uses and for FTC labeling 
requirement testing.
---------------------------------------------------------------------------

    \36\ As noted, these findings were based on a survey of six 
small manufacturers of GSIL. Only a few manufacturers had models 
that would meet these standards at this time. However, the survey 
accounted for all covered GSIL models regardless of whether or not 
they would meet the EISA 2007 standards for GSIL, under the 
assumption that manufacturers will eventually be producing a 
comparable number of compliant models.
---------------------------------------------------------------------------

    For the maximum number of 50 models, assuming testing apparatus is 
already available, the labor costs to carry out testing to demonstrate 
all products comply with standards would be approximately $18,000. In 
subsequent years, testing costs would be much smaller, likely less than 
10 percent of the initial cost, because only new products or redesigned 
products would need to be tested. Assuming a conservative estimate of 
$1 million in revenue for a small business, initial testing costs would 
represent about two percent of revenue, but when amortized over 
subsequent years with little or no testing, testing costs would 
represent less than one percent of revenue. In addition, some 
businesses may already have lifetime data that could be used for 
compliance purposes from previously completed FTC labeling testing. 
Based upon its comparison of estimated revenue to estimated testing 
costs, DOE has tentatively concluded that labor costs would not be 
significant enough to pose a substantial burden on small manufacturers. 
DOE requests comments on its analysis of initial setup and labor costs 
for conducting lifetime testing of GSILs (see Issue 9 in section V.E).
    In this NOPR, DOE is also proposing to require test facilities 
conducting GSIL lifetime and efficacy compliance testing to be NVLAP 
accredited or accredited by an organization recognized by NVLAP. If 
accreditation were sought for the first time, DOE has determined that 
NVLAP imposes fees of $9,000 and $8,000 on years one and two of 
accreditation. For the years following, the fees alternate between 
$5,000 and $8,000, with the $8,000 fee corresponding to the on-site 
evaluation required every other year. However, DOE does not expect this 
requirement to impose a significant burden for most manufacturers, 
because efficacy testing of GSILs is already required to take place at 
a laboratory accredited either by NVLAP or a NVLAP-recognized 
organization (see section III.D.6).
    Accordingly, DOE has not prepared a regulatory flexibility analysis 
for this rulemaking. DOE's certification and supporting statement of 
factual basis will be provided to the Chief Counsel for Advocacy of the 
SBA for review under 5 U.S.C. 605(b). DOE certifies that this rule 
would have no significant impact on a substantial number of small 
entities. DOE seeks comment regarding whether the proposed amendments 
in today's rule would have a significant economic impact on any small 
entities (see Issue 9 in section V.E).

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of GSFLs, GSILs, and IRLs must certify to DOE that 
their products comply with any applicable energy conservation standard. 
In certifying compliance, manufacturers must test their products 
according to the DOE test procedure for GSFLs, GSILs, or IRLs, 
including any amendments adopted for that test procedure. DOE has 
established regulations for the certification and recordkeeping 
requirements for all covered consumer products and commercial 
equipment, including GSFLs, GSILs, and IRLs. 76 FR 12422 (March 7, 
2011). 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. Public reporting burden for the certification is estimated to 
average 20 hours per response, including the time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    In this proposed rule, DOE proposes test procedure amendments that 
it expects would be used to develop and implement future energy 
conservation standards for GSFLs, GSILs, and IRLs. DOE has determined 
that this rule falls into a class of actions that are categorically 
excluded from review under the National Environmental Policy Act of 
1969 (Pub. L. 91-190, codified at 42 U.S.C. 4321 et seq.) and DOE's 
implementing regulations at 10 CFR part 1021. Specifically, this 
proposed rule would amend the existing test procedures without 
affecting the amount, quality, or distribution of energy usage, and, 
therefore, would not result in any environmental impacts. Thus, this 
rulemaking is covered by Categorical Exclusion A5 under 10 CFR part 
1021, subpart D, Appendix A, which applies to any rulemaking that 
interprets or amends an existing rule without changing the 
environmental effect of that rule. Accordingly, neither an 
environmental assessment nor an environmental impact statement is 
required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 10, 
1999), imposes certain requirements on agencies formulating and 
implementing policies or regulations that preempt State law or that 
have Federalism implications. The Executive Order requires agencies to 
examine the constitutional and statutory authority supporting any 
action that would limit the policymaking discretion of the States and 
to carefully assess the necessity for such actions. The Executive Order 
also requires agencies to have an accountable process to ensure 
meaningful and timely input by State and local officials in the 
development of regulatory policies that have Federalism implications. 
On March 14, 2000, DOE published a

[[Page 56672]]

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 today's 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, 
this 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) (Pub. 
L. 104-4, codified at 2 U.S.C. 1501, et seq.) requires each Federal 
agency to assess the effects of Federal regulatory actions on State, 
local, and Tribal governments and the private sector. 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)) Section 204 of 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 them. On March 18, 1997, DOE 
published a statement of policy on its process for intergovernmental 
consultation under UMRA. 62 FR 12820; also available at http://www.gc.doe.gov. DOE examined today's 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. Accordingly, no 
further assessment or analysis is required under the Unfunded Mandates 
Reform Act of 1995.

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 to amend DOE test procedures 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 proposed 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 (Pub. L. 106-554, codified at 44 U.S.C. 3516 note) provides 
for agencies to review most disseminations of information to the public 
under guidelines established by each agency pursuant to general 
guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 
(Feb. 22, 2002), and DOE's guidelines were published at 67 FR 62446 
(Oct. 7, 2002). DOE has reviewed today's proposed rule under the OMB 
and DOE guidelines and has concluded that it is consistent with 
applicable policies in those guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated or is expected to lead to promulgation of a 
final rule, and that: (1) Is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    Today's regulatory action to amend the test procedure for measuring 
the energy efficiency of GSFLs, GSILs, and IRLs is not a significant 
regulatory action under Executive Order 12866 or any successor order. 
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, DOE 
has tentatively determined that this rule is not a significant energy 
action, and, accordingly, DOE has not prepared a Statement of Energy 
Effects.

[[Page 56673]]

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 et seq.), DOE must comply with all laws 
applicable to the former Federal Energy Administration, including 
section 32 of the Federal Energy Administration Act of 1974, as amended 
by the Federal Energy Administration Authorization Act of 1977. (15 
U.S.C. 788; FEAA) Section 32 essentially provides in relevant part 
that, where a proposed rule authorizes or requires use of commercial 
standards, the notice of proposed rulemaking must inform the public of 
the use and background of such standards. In addition, section 32(c) 
requires DOE to consult with the Attorney General and the Chairman of 
the Federal Trade Commission (FTC) concerning the impact of the 
commercial or industry standards on competition.
    The proposed rule would incorporate testing methods contained in 
the following commercial standards: IES LM-9-2009, ``IES Approved 
Method for Electrical and Photometric Measurements of Fluorescent 
Lamps;'' IES LM-45-2009, ``IES Approved Method for Electrical and 
Photometric Measurement of General Service Incandescent Filament 
Lamps;'' IESNA LM-49-2001, ``IESNA Approved Method for Life Testing of 
Incandescent Filament Lamps;'' and ANSI C78.81-2010, ``American 
National Standard for Electric Lamps--Double-Capped Fluorescent Lamps--
Dimensional and Electrical Characteristics.'' The Department has 
evaluated these standards and is unable to conclude whether they fully 
comply with the requirements of section 32(b) of the FEAA, (i.e., that 
they were developed in a manner that fully provides for public 
participation, comment, and review). DOE will consult with the Attorney 
General and the Chairman of the FTC concerning the impact of these test 
procedures on competition, prior to prescribing a final rule.

V. Public Participation

A. Attendance at the Public Meeting

    The time, date, and location of the public meeting are listed in 
the DATES and ADDRESSES sections at the beginning of this document. If 
you plan to attend the public meeting, please notify Ms. Brenda Edwards 
at (202) 586-2945 or Brenda.Edwards@ee.doe.gov. Please also note that 
those wishing to bring laptops into the Forrestal Building will be 
required to obtain a property pass. Visitors should avoid bringing 
laptops, or allow an extra 45 minutes. As explained in the ADDRESSES 
section, foreign nationals visiting DOE Headquarters are subject to 
advance security screening procedures.
    In addition, you can attend the public meeting via webinar. Webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants will be 
published on DOE's Web site at: http://www1.eere.energy.gov/buildings/appliance_standards/residential/incandescent_lamps.html. Participants 
are responsible for ensuring their systems are compatible with the 
webinar software.

B. Procedure for Submitting Requests To Speak and Prepared General 
Statements for Distribution

    Any person who has an interest in the topics addressed in this 
notice, or who is a representative of a group or class of persons that 
has an interest in these issues, may request an opportunity to make an 
oral presentation at the public meeting. Such persons may hand-deliver 
requests to speak to the address shown in the ADDRESSES section at the 
beginning of this notice between 9 a.m. and 4 p.m., Monday through 
Friday, except Federal holidays. Requests may also be sent by mail or 
email to Ms. Brenda Edwards, U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121, or Brenda.Edwards@ee.doe.gov. Persons who 
wish to speak should include with their request a computer diskette or 
CD-ROM 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.
    DOE requests persons selected to make an oral presentation to 
submit an advance copy of their statements at least one week before the 
public meeting. DOE may permit persons who cannot supply an advance 
copy of their statement to participate, if those persons have made 
advance alternative arrangements with the Building Technologies 
Program. As necessary, requests to give an oral presentation should ask 
for such alternative arrangements.
    Any person who has plans to present a prepared general statement 
may request that copies of his or her statement be made available at 
the public meeting. Such persons may submit requests, along with an 
advance electronic copy of their statement in PDF (preferred), 
Microsoft Word or Excel, WordPerfect, or text (ASCII) file format, to 
the appropriate address shown in the ADDRESSES section at the beginning 
of this notice. The request and advance copy of statements must be 
received at least one week before the public meeting and may be 
emailed, hand-delivered, or sent by mail. DOE prefers to receive 
requests and advance copies via email. Please include a telephone 
number to enable DOE staff to make a follow-up contact, if needed.

C. Conduct of Public Meeting

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

[[Page 56674]]

of the above procedures that may be needed for the proper conduct of 
the public meeting.
    A transcript of the public meeting will be posted on the DOE Web 
site and will be included in the docket, which can be viewed as 
described in the Docket section at the beginning of this notice. In 
addition, any person may buy a copy of the transcript from the 
transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule before or after the public meeting, but no later than the 
date provided in the DATES section at the beginning of this proposed 
rule. Interested parties may submit comments using any of the methods 
described in the ADDRESSES section at the beginning of this notice.
    Submitting comments via http://www.regulations.gov. The http://www.regulations.gov Web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to http://www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (CBI)). Comments submitted through 
http://www.regulations.gov cannot be claimed as CBI. Comments received 
through the Web site will waive any CBI claims for the information 
submitted. For information on submitting CBI, see the Confidential 
Business Information section.
    DOE processes submissions made through http://www.regulations.gov 
before posting. Normally, comments will be posted within a few days of 
being submitted. However, if large volumes of comments are being 
processed simultaneously, your comment may not be viewable for up to 
several weeks. Please keep the comment tracking number that http://www.regulations.gov provides after you have successfully uploaded your 
comment.
    Submitting comments via email, hand delivery, or mail. Comments and 
documents submitted via email, hand delivery, or mail also will be 
posted to http://www.regulations.gov. If you do not want your personal 
contact information to be publicly viewable, do not include it in your 
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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. Email submissions are 
preferred. If you submit via mail or hand delivery, please provide all 
items on a compact disc (CD), if feasible, in which case it is not 
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    Comments, data, and other information submitted to DOE 
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    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
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into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. Pursuant to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery two well-marked copies: one copy 
of the document marked confidential including all the information 
believed to be confidential, and one copy of the document marked non-
confidential with the information believed to be confidential deleted. 
Submit these documents via email or on a CD, if feasible. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
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obligation concerning its confidentiality; (5) an explanation of the 
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public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

    Although 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 all aspects of DOE's test procedures 
for GSFL, GSIL, and IRL See section III.A for further detail.
    2. For GSFL test procedures, DOE requests comments on its proposed 
incorporation of IES LM-9-2009, and its tentative conclusion that the 
update would neither significantly affect measured lamp efficacy nor 
increase testing burden. In particular, DOE requests comments on the 
impact on lamp efficacy of high-frequency testing amendments and 
modifications to the lamp stabilization procedure in LM-9-2009. See 
section III.B.2 for further detail.
    3. For GSIL test procedures, DOE requests comments on its proposed 
incorporation of IES LM-45-2009, and its tentative conclusion that the 
update would neither significantly affect lamp efficacy values nor 
impose undue testing burden. See section III.B.3 for further detail.
    4. DOE requests comment on whether any amendments to the IRL test

[[Page 56675]]

procedure are necessary. See section III.C for further detail.
    5. For GSIL lifetime test procedures, DOE requests comments on its 
proposal to incorporate by reference IESNA LM-49-2001 as the basis for 
GSIL lifetime testing. See section III.D.1 for further detail.
    6. For GSIL lifetime test procedures, DOE requests comments on its 
proposal to disallow accelerated lifetime testing as part of the GSIL 
test procedure. See section III.D.2 for further detail.
    7. DOE requests comments on its proposal to require a minimum 
sample size of 20 lamps for GSIL lifetime measurements. See section 
III.D.4 for further detail.
    8. For GSIL lifetime test procedures, DOE requests comment on its 
proposal regarding GSIL certification filing requirements. See section 
III.D.6 for further detail.
    9. DOE seeks comment regarding whether the proposed amendments in 
today's rule would have a significant economic impact on any small 
entities. In particular, DOE requests comments on its preliminary 
analysis of initial setup and labor costs for conducting lifetime 
testing of GSILs. See section IV.B for further detail.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this notice of 
proposed rulemaking.

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Buildings and facilities, 
Business and industry, Energy conservation, Grants programs--energy, 
Housing, Reporting and recordkeeping requirements, Technical 
assistance.

10 CFR Part 430

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

    Issued in Washington, DC, September 6, 2011.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Office of Technology 
Development, Energy Efficiency and Renewable Energy.

    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 430 of Chapter II of Title 10, Subchapter D of the Code 
of Federal Regulations to read as set forth below:

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

    1. The authority citation for part 429 continues to read as 
follows:

    Authority:  42 U.S.C. 6291-6317.

    2. Section 429.12 is amended by:
    a. Revising paragraph (e)(2); and
    b. Adding new paragraph (i)(7).

    The revisions and additions read as follows:

Sec.  429.12  General requirements applicable to certification reports.

* * * * *
    (e) * * *
    (2) For general service fluorescent lamps, incandescent reflector 
lamps, or general service incandescent lamps: Prior to or concurrent 
with the distribution of a new basic model, each manufacturer shall 
submit an initial certification report listing the basic model number, 
lamp wattage, and date of first manufacture (i.e., production date) for 
that basic model. The certification report must also state how the 
manufacturer determined that the lamp meets or exceeds the energy 
conservation standards, including a description of any testing or 
analysis the manufacturer performed. Manufacturers of general service 
fluorescent lamps, incandescent reflector lamps, and general service 
incandescent lamps must submit the certification report required by 
paragraph (b) of this section within one year after the first date of 
new model manufacture.
* * * * *
    (i) * * *
    (7) General service incandescent lamps, [date to be inserted 180 
days from publication of test procedure final rule].
    3. Section 429.27 is amended by
    a. Removing in paragraph (a)(2)(i), first sentence, ``, general 
service incandescent lamp,'';
    b. Adding in paragraph (a)(2)(ii) ``and general service 
incandescent lamp'' after ``general service fluorescent lamp''; and 
removing the words, ``paragraph (a)(2)(i)'' and adding in their place, 
the words, ``paragraphs (a)(2)(i) and (a)(2)(iii)'';
    c. Adding new paragraphs (a)(2)(iii) and (a)(2)(iv); and
    d. Revising paragraph (b)(2)(iii).
    The revisions and additions read as follows:

Sec.  429.27  General service fluorescent lamps, general service 
incandescent lamps, and incandescent reflector lamps.

    (a) * * *
    (2) * * *
    (iii) For each basic model of general service incandescent lamp, 
for measurements of rated wattage and rated lumen output, samples of 
production lamps shall be obtained from a 12-month period, tested, and 
the results averaged. A minimum sample of 21 lamps shall be tested. The 
manufacturer shall randomly select a minimum of three lamps from each 
month of production for a minimum of 7 out of the 12-month period. In 
the instance where production occurs during fewer than 7 of such 12 
months, the manufacturer shall randomly select 3 or more lamps from 
each month of production, where the number of lamps selected for each 
month shall be distributed as evenly as practicable among the months of 
production to attain a minimum sample of 21 lamps. Any represented 
value of rated wattage of a basic model shall be based on the sample 
and shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TN14SE11.000
    
    and, x is the sample mean; n is the number of samples; and 
xi is the ith sample; Or,
    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.03, where:
[GRAPHIC] [TIFF OMITTED] TN14SE11.001

and
[GRAPHIC] [TIFF OMITTED] TN14SE11.002

is the sample mean; s is the sample standard deviation; n is the number 
of samples; and t0.95 is the t statistic for a 95% two-
tailed confidence interval with n-1 degrees of freedom (from Appendix A 
to this subpart).
    (iv) For each basic model of general service incandescent lamp, for 
measurements of rated lifetime, a minimum sample of 20 lamps shall be 
tested. The manufacturer shall randomly select a minimum of two lamps 
from each month of production for a minimum of 7 out of the 12-month 
period. In the instance where production occurs during fewer than 7 of 
such 12 months, the manufacturer shall randomly select two or more 
lamps from each month of production, where the number of lamps selected 
for each month shall be distributed as evenly as practicable among the 
months of production to attain a minimum sample of 20 lamps. The 
lifetime shall be represented as the length of operating

[[Page 56676]]

time between first use and failure of 50 percent of the sample size, in 
accordance with test procedures described in section 4.2 of Appendix R 
to subpart B of part 430 of this chapter.
    (b) * * *
    (2) * * *
    (iii) General service incandescent lamps: The testing laboratory's 
National Voluntary Laboratory Accreditation Program (NVLAP) 
identification number or other NVLAP-approved accreditation 
identification, production dates of the units tested, the rated wattage 
in watts (W), the rated lifetime (hours), and the Color Rendering Index 
(CRI).
* * * * *

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

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

    5. Section 430.2 is amended by:
    a. Removing in paragraph (2) of the definition of ``colored 
fluorescent lamp'' the words ``IESNA LM-9'' and adding in their place 
``IES LM-9''; and
    b. Adding in alphabetical order the definition of ``Rated lifetime 
for general service incandescent lamps''.
    The addition reads as follows:

Sec.  430.2  Definitions.

* * * * *
    Rated lifetime for general service incandescent lamps means the 
length of operating time of a sample of lamps (as defined in Sec.  
429.27(a)(2)(iv) of this chapter) between first use and failure of 50 
percent of the sample size in accordance with test procedures described 
in IESNA LM-49, (incorporated by reference; see Sec.  430.3), as 
determined in section 4.2 of Appendix R to subpart B of this part.
* * * * *
    6. Section 430.3 is amended by:
    a. Removing paragraph (c)(5) and redesignating paragraphs (c)(6) 
through (c)(17) as paragraphs (c)(5) through (c)(16);
    b. Revising the newly redesignated paragraph (c)(5);
    c. Revising paragraphs (k)(2) and (k)(5); and
    d. Redesignating paragraph (k)(6) as paragraph (k)(7) and adding 
new paragraph (k)(6).
    The revisions and additions read as follows:

Sec.  430.3  Materials incorporated by reference.

* * * * *
    (c) ANSI. * * *
    (5) ANSI--ANSLG C78.81-2010, Revision of ANSI--IEC C78.81-2005 
(``ANSI C78.81''), American National Standard for Electric Lamps--
Double-Capped Fluorescent Lamps-- Dimensional and Electrical 
Characteristics, approved January 14, 2010, IBR approved for Sec.  
430.2, Sec.  430.32, Appendix Q, Appendix Q1, and Appendix R to Subpart 
B.
* * * * *
    (k) IESNA. * * *
    (2) IES LM-9-09, Revision of IESNA LM-9-99 (``LM-9''), IES Approved 
Method for the Electrical and Photometric Measurement of Fluorescent 
Lamps, approved January 31, 2009; IBR approved for Sec.  430.2 and 
Appendix R to Subpart B.
* * * * *
    (5) IES LM-45-09, Revision of IESNA LM-45-00 (``LM-45''), IES 
Approved Method for the Electrical and Photometric Measurement of 
General Service Incandescent Filament Lamps, approved December 14, 
2009; IBR approved for Appendix R to Subpart B.
    (6) IESNA LM-49-01 (``LM-49''), IESNA Approved Method for Life 
Testing of Incandescent Filament Lamps, approved December 1, 2001, IBR 
approved for Appendix R to Subpart B.
* * * * *
    7. Section 430.23 is amended by adding paragraph (r)(6) to read as 
follows:

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

* * * * *
    (r) * * *
    (6) The rated lifetime for general service incandescent lamps shall 
be equal to the length of operating time of a sample of lamps (as 
defined in Sec.  429.27(a)(2)(iv) of this chapter) between first use 
and failure of 50 percent of the sample size in accordance with test 
procedures described in section 4.2 of Appendix R of this subpart.
* * * * *
    8. Section 430.25 is revised to read as follows:

Sec.  430.25  Laboratory Accreditation Program.

    Testing for fluorescent lamp ballasts performed in accordance with 
appendix Q1 to this subpart shall comply with this Sec.  430.25. The 
testing for general service fluorescent lamps, general service 
incandescent lamps, and incandescent reflector lamps shall be performed 
in accordance with Appendix R to this subpart. The testing for medium 
base compact fluorescent lamps shall be performed in accordance with 
Appendix W of this subpart. This testing shall be conducted by test 
laboratories accredited by the National Voluntary Laboratory 
Accreditation Program (NVLAP) or by an accrediting organization 
recognized by NVLAP. NVLAP is a program of the National Institute of 
Standards and Technology, U.S. Department of Commerce. NVLAP standards 
for accreditation of laboratories that test for compliance with 
standards for fluorescent lamp ballast luminous efficiency (BLE), lamp 
efficacy, lamp lifetime, and fluorescent lamp CRI are set forth in 15 
CFR part 285. A manufacturer's or importer's own laboratory, if 
accredited, may conduct the applicable testing. Testing for BLE may 
also be conducted by laboratories accredited by Underwriters 
Laboratories or Council of Canada. Testing for fluorescent lamp 
ballasts performed in accordance with Appendix Q to this subpart is not 
required to be conducted by test laboratories accredited by NVLAP or an 
accrediting organization recognized by NVLAP.
    9. Appendix Q to subpart B of part 430 is amended by revising 
sections 1.5 through 1.10 and 2.1 to read as follows:

Appendix Q to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Fluorescent Lamp Ballasts

    1. Definitions
* * * * *
    1.5 F40T12 lamp means a nominal 40 watt tubular fluorescent lamp 
which is 48 inches in length and one and a half inches in diameter, 
and conforms to ANSI C78.81 (Data Sheet 7881-ANSI-1010-1) 
(incorporated by reference; see Sec.  430.3).
    1.6 F96T12 lamp means a nominal 75 watt tubular fluorescent lamp 
which is 96 inches in length and one and one-half inches in 
diameter, and conforms to ANSI C78.81 (Data Sheet 7881-ANSI-3007-1) 
(incorporated by reference; see Sec.  430.3).
    1.7 F96T12HO lamp means a nominal 110 watt tubular fluorescent 
lamp that is 96 inches in length and 1\1/2\ inches in diameter, and 
conforms to ANSI C78.81 (Data Sheet 7881-ANSI-1019-1) (incorporated 
by reference; see Sec.  430.3).
    1.8 F34T12 lamp (also known as a ``F40T12/ES lamp'') means a 
nominal 34 watt tubular fluorescent lamp that is 48 inches in length 
and 1\1/2\ inches in diameter, and conforms to ANSI C78.81 (Data 
Sheet 7881-ANSI-1006-1) (incorporated by reference; see Sec.  
430.3).
    1.9 F96T12/ES lamp means a nominal 60 watt tubular fluorescent 
lamp that is 96 inches in length and 1\1/2\ inches in diameter, and 
conforms to ANSI C78.81 (Data Sheet 7881-ANSI-3006-1) (incorporated 
by reference; see Sec.  430.3).
    1.10 F96T12HO/ES lamp means a nominal 95 watt tubular 
fluorescent lamp that is 96 inches in length and 1\1/2\ inches in 
diameter, and conforms to ANSI C78.81 (Data

[[Page 56677]]

Sheet 7881-ANSI-1017-1) (incorporated by reference; see Sec.  
430.3).
* * * * *
    2. Test Conditions
    2.1 Measurement of Active Mode Energy Consumption, BEF. The test 
conditions for testing fluorescent lamp ballasts shall be done in 
accordance with ANSI C82.2 (incorporated by reference; see Sec.  
430.3). Any subsequent amendment to this standard by the standard 
setting organization will not affect the DOE test procedures unless 
and until amended by DOE. The test conditions for measuring active 
mode energy consumption are described in sections 4, 5, and 6 of 
ANSI C82.2. The test conditions described in this section (2.1) are 
applicable to section 3.1 of section 3, Test Method and 
Measurements. For section 2.1 and 3, ANSI C78.81 (incorporated by 
reference; see Sec.  430.3), ANSI C82.1 (incorporated by reference; 
see Sec.  430.3), ANSI C82.11 (incorporated by reference; see Sec.  
430.3), and ANSI C82.13 (incorporated by reference; see Sec.  430.3) 
shall be used when applying ANSI C82.2 instead of the versions 
listed as normative references in ANSI C82.2.
* * * * *
    10. Appendix Q1 to subpart B of part 430 is amended by revising 
sections 2.1, 2.3.1, and 2.4.1 to read as follows:

Appendix Q1 to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Fluorescent Lamp Ballasts

* * * * *
    2. Active Mode Procedure
    2.1 Where ANSI C82.2 (incorporated by reference; see Sec.  
430.3) references ANSI C82.1-1997, the operator shall use ANSI C82.1 
(incorporated by reference; see Sec.  430.3) for testing low-
frequency ballasts and shall use ANSI C82.11 (incorporated by 
reference; see Sec.  430.3) for testing high-frequency ballasts. In 
addition, ANSI C78.81 (incorporated by reference; see Sec.  430.3), 
ANSI C82.1 (incorporated by reference; see Sec.  430.3), ANSI C82.11 
(incorporated by reference; see Sec.  430.3), and ANSI C82.13 
(incorporated by reference; see Sec.  430.3) shall be used when 
applying ANSI C82.2 instead of the versions listed as normative 
references in ANSI C82.2.
* * * * *
    2.3 Test Setup
    2.3.1 The ballast shall be connected to a main power source and 
to the fluorescent lamp load according to the manufacturer's wiring 
instructions and ANSI C82.1 (incorporated by reference; see Sec.  
430.3) and ANSI C78.81 (incorporated by reference; see Sec.  430.3).
* * * * *
    2.4 Test Conditions
    2.4.1 The test conditions for testing fluorescent lamp ballasts 
shall be done in accordance with ANSI C82.2 (incorporated by 
reference; see Sec.  430.3). DOE further specifies that the 
following revisions of the normative references indicated in ANSI 
C82.2) should be used in place of the references directly specified 
in ANSI C82.2: ANSI C78.81 (incorporated by reference; see Sec.  
430.3), ANSI C82.1 (incorporated by reference; see Sec.  430.3), 
ANSI C82.3 (incorporated by reference; see Sec.  430.3), ANSI C82.11 
(incorporated by reference; see Sec.  430.3), and ANSI C82.13 
(incorporated by reference; see Sec.  430.3). All other normative 
references shall be as specified in ANSI C82.2.
* * * * *
    11. Appendix R to subpart B of part 430 is amended by:
    a. Revising the appendix heading;
    b. Revising sections 2.1, 2.9, 3.1, 3.2, 4.1.1, 4.2.1, 4.2.2, and, 
4.4.1;
    c. Adding new section 4.2.3 and 4.2.3.1; and
    d. Removing section 4.5.
    The revisions and additions read as follows:

Appendix R to Subpart B of Part 430--Uniform Test Method for Measuring 
Average Lamp Efficacy (LE), Color Rendering Index (CRI), Correlated 
Color Temperature (CCT), and Lamp Lifetime of Electric Lamps

* * * * *
    2. Definitions
    2.1 To the extent that definitions in the referenced IESNA and 
CIE standards do not conflict with the DOE definitions, the 
definitions specified in section 3.0 of IES LM-9 (incorporated by 
reference; see Sec.  430.3), section 3.0 of IESNA LM-20 
(incorporated by reference; see Sec.  430.3), section 3.0 and the 
Glossary of IES LM-45 (incorporated by reference; see Sec.  430.3), 
section 2 of IESNA LM-58 (incorporated by reference; see Sec.  
430.3), and Appendix 1 of CIE 13.3 (incorporated by reference; see 
Sec.  430.3) shall be included.
* * * * *
    2.9 Reference condition means the test condition specified in 
IES LM-9 (incorporated by reference; see Sec.  430.3) for general 
service fluorescent lamps, in IESNA LM-20 (incorporated by 
reference; see Sec.  430.3) for incandescent reflector lamps, and in 
IES LM-45 for general service incandescent lamps (incorporated by 
reference; see Sec.  430.3).
    3. Test Conditions
    3.1 General Service Fluorescent Lamps: For general service 
fluorescent lamps, the ambient conditions of the test and the 
electrical circuits, reference ballasts, stabilization requirements, 
instruments, detectors, and photometric test procedure and test 
report shall be as described in the relevant sections of IES LM-9 
(incorporated by reference; see Sec.  430.3).
    3.2 General Service Incandescent Lamps: For general service 
incandescent lamps, the selection and seasoning (initial burn-in) of 
the test lamps, the equipment and instrumentation, and the test 
conditions shall be as described in IES LM-45 (incorporated by 
reference; see Sec.  430.3).
* * * * *
    4. Test Methods and Measurements * * *
    4.1.1 The measurement procedure shall be as described in IES LM-
9 (incorporated by reference; see Sec.  430.3), except that lamps 
shall be operated at the appropriate voltage and current conditions 
as described in ANSI C78.375 (incorporated by reference; see Sec.  
430.3) and in ANSI C78.81 (incorporated by reference; see Sec.  
430.3) or ANSI C78.901 (incorporated by reference; see Sec.  430.3), 
and lamps shall be operated using the appropriate reference ballast 
at input voltage specified by the reference circuit as described in 
ANSI C82.3 (incorporated by reference; see Sec.  430.3). If, for a 
lamp, both low-frequency and high-frequency reference ballast 
settings are included in ANSI C78.81 or ANSI C78.901, the lamp shall 
be operated using the low-frequency reference ballast.
* * * * *
    4.2 General Service Incandescent Lamps
    4.2.1 The measurement procedure shall be as described in IES LM-
45 (incorporated by reference; see Sec.  430.3). Lamps shall be 
operated at the rated voltage as defined in Sec.  430.2.
    4.2.2 The test procedure shall conform to sections 6 and 7 of 
IES LM-45 (incorporated by reference; see Sec.  430.3), and the 
lumen output of the lamp shall be determined in accordance with 
section 7 of IES LM-45. Lamp electrical power input in watts shall 
be measured and recorded. Lamp efficacy shall be determined by 
computing the ratio of the measured lamp lumen output and lamp 
electrical power input at equilibrium for the reference condition. 
The test report shall conform to section 8 of IES LM-45.
    4.2.3 The measurement procedure for testing the lifetime of 
general service incandescent lamps shall be as described in IESNA 
LM-49 (incorporated by reference; see Sec.  430.3). The lifetime 
measurement shall be taken by measuring the operating time of a lamp 
until failure, expressed in hours, not including any off time. The 
measured operating time shall be used to determine the rated 
lifetime, which is equal to the length of operating time between 
first use and failure of 50 percent of the sample size specified in 
Sec.  429.27 of this chapter. The rated lifetime shall be used to 
determine whether the lamp meets minimum rated lifetime standards 
(see Sec.  430.32(x)(1)(i)(A) and (B)).
    4.2.3.1 Accelerated lifetime testing is not allowed. The second 
paragraph of section 6.1 of IESNA LM-49 (incorporated by reference; 
see Sec.  430.3) is to be disregarded.
* * * * *
    4.4 Determination of Color Rendering Index and Correlated Color 
Temperature
    4.4.1 The CRI shall be determined in accordance with the method 
specified in CIE 13.3 (incorporated by reference; see Sec.  430.3) 
for general service fluorescent lamps. The CCT shall be determined 
in accordance with the method specified in IES LM-9 (incorporated by 
reference; see Sec.  430.3) and rounded to the nearest 10 kelvin for 
general service fluorescent lamps. The CCT shall be determined in 
accordance with the CIE 15 (incorporated by reference; see Sec.  
430.3) for incandescent lamps. The required spectroradiometric 
measurement and characterization shall be conducted in accordance 
with the methods set forth in

[[Page 56678]]

IESNA LM-58 (incorporated by reference; see Sec.  430.3)
* * * * *
[FR Doc. 2011-23249 Filed 9-13-11; 8:45 am]
BILLING CODE 6450-01-P
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