[Federal Register Volume 79, Number 211 (Friday, October 31, 2014)]
[Proposed Rules]
[Pages 64688-64705]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-25935]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2014-BT-TP-0007]
RIN: 1904-AD17


Energy Conservation Program: Test Procedures for Ceiling Fan 
Light Kits

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

ACTION: Notice of proposed rulemaking.

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

SUMMARY: In this notice of proposed rulemaking (NOPR), the U.S. 
Department of Energy (DOE) proposes to revise its test procedures for 
ceiling fan light kits (CFLKs). DOE proposes to update the current test 
procedures (appendix V) by replacing references to ENERGY STAR test 
procedures with references to DOE lamps test procedures for medium 
screw base lamps and to industry test procedures for pin-based 
fluorescent lamps. DOE also proposes to establish new test procedures 
(appendix V1) that would support amendments to CFLK energy conservation 
standards that are currently being considered by DOE. Specifically, 
these new test procedures would establish an efficacy-based metric for 
all lamps packaged with CFLKs and for CFLKs with integrated solid-state 
lighting circuitry. DOE proposes that CFLKs with lamp types without 
corresponding DOE test procedures would be tested using current 
industry test procedures for those lamp types. This NOPR also clarifies 
the energy conservation standards for ceiling fan light kits by 
replacing references to ENERGY STAR with tables that contain the 
specific performance requirements from the ENERGY STAR documents. 
Finally, DOE also addresses standby and off-mode power consumption and 
provides updated guidance related to accent lighting in CFLKs. DOE is 
also announcing a public meeting to discuss and receive comments on the 
content presented in this rulemaking.

DATES: 
    Meeting: DOE will hold two public meetings on November 18, 2014 and 
November 19, 2014, from 9:00 a.m. to 4:00 p.m., in Washington, DC. 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 January 14, 2015. See section V, ``Public 
Participation,'' for details.

ADDRESSES: The public meeting on November 18 will be held at the U.S. 
Department of Energy, Forrestal Building, Room 8E-089, 1000 
Independence Avenue SW., Washington, DC 20585-0121. The public meeting 
on November 19 will be held at the U.S. Department of Energy, Forrestal 
Building, Room 6E-069, 1000 Independence Avenue SW., Washington, DC 
20585-0121.
    For additional information about attending the meeting, see section 
V of this document, ``Public Participation.''
    Any comments submitted must identify the NOPR for Test Procedures 
for CFLKs and provide docket number EE-2014-BT-TP-0007 and/or 
regulatory information number (RIN) number 1904-AD17. Comments may be 
submitted using any of the following methods:
    1. Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    2. Email: <a href="/cdn-cgi/l/email-protection#8ac9ccc6c1b8babbbededababababdcaefefa4eee5efa4ede5fc"><span class="__cf_email__" data-cfemail="94d7d2d8dfa6a4a5a0c0c4a4a4a4a3d4f1f1baf0fbf1baf3fbe2">[email protected]</span></a>. Include the docket number and/
or RIN in the subject line of the message.
    3. Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy, 
Building Technologies Program, Mailstop EE-5B, 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. It is not necessary to include printed 
copies.
    For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section V of this document, 
``Public Participation.''
    Docket: The docket is available for review at 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 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 can be found at: http://www.regulations.gov/#!docketDetail;D=EERE-2014-BT-TP-0007. This Web 
page will contain a link to the docket for this notice on the 
www.regulations.gov Web site. The 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 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, 
contact Ms. Brenda Edwards at (202) 586-2945 or by email: 
<a href="/cdn-cgi/l/email-protection#652717000b01044b200112041701162500004b010a004b020a13"><span class="__cf_email__" data-cfemail="fdbf8f9893999cd3b8998a9c8f998ebd9898d3999298d39a928b">[email protected]</span></a>.

FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-5B, 1000 Independence Avenue SW., Washington, 
DC, 20585-0121. Telephone: (202) 287-1604. Email: 
<a href="/cdn-cgi/l/email-protection#1c7f79757075727b437a7d724370757b7468437775686f5c797932787379327b736a"><span class="__cf_email__" data-cfemail="a0c3c5c9ccc9cec7ffc6c1ceffccc9c7c8d4ffcbc9d4d3e0c5c58ec4cfc58ec7cfd6">[email protected]</span></a>.
    Ms. Jennifer Tiedeman, U.S. Department of Energy, Office of the 
General Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC, 
20585-0121. Telephone: (202) 287-6111. Email: 
<a href="/cdn-cgi/l/email-protection#7238171c1c1b1417005c261b1716171f131c321a035c161d175c151d04"><span class="__cf_email__" data-cfemail="357f505b5b5c5350471b615c50515058545b755d441b515a501b525a43">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Authority and Background
II. Summary of the Notice of Proposed Rulemaking
III. Discussion

[[Page 64689]]

    A. Amendments to Existing Test Procedures
    1. Test Procedures for CFLKs Packaged With Medium Screw Bases
    2. Test Procedures for CFLKs Packaged With Pin-Based 
Fluorescents
    3. Clarifications to Energy Conservation Standard Text at 10 CFR 
430.32(s)
    4. Clarifications for Accent Lighting
    B. Amendments To Implement Efficacy Metric For All CFLKs
    1. Proposed Metric
    2. Proposed Test Procedure
    C. Standby Mode and Off Mode
    D. Effective Date and Compliance Date for Amended Test 
Procedures
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 the 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), Public Law 94-163 (42 U.S.C. 6291-6309, as codified), 
established the Energy Conservation Program for Consumer Products Other 
Than Automobiles, a program covering the ceiling fan light kits (CFLKs) 
that are the focus of this notice.\2\ (42 U.S.C. 6291(5), 
6293(b)(16)(A)(ii), 6295(ff)(2)-(5))
---------------------------------------------------------------------------

    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part B was re-designated Part A.
    \2\ All references to EPCA in this document refer to the statute 
as amended through the American Energy Manufacturing Technical 
Corrections Act (AEMTCA), Pub. L. 112-210 (Dec. 18, 2012).
---------------------------------------------------------------------------

    Under EPCA, the energy conservation program consists essentially of 
four parts: (1) Testing, (2) labeling, (3) energy conservation 
standards, and (4) certification and enforcement procedures. The 
testing requirements consist of test procedures that manufacturers of 
covered products must follow in order to produce data that is used for 
(1) certifying to DOE that their products comply with the applicable 
energy conservation standards adopted under EPCA, and (2) 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 to determine whether products comply with any relevant 
standards established under EPCA. (42 U.S.C. 6295(s))

General Test Procedure Rulemaking Process

    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 must not 
be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3))
    In addition, if DOE determines that a test procedure amendment is 
warranted, it must publish proposed test procedures and offer the 
public an opportunity to present oral and written comments on them. (42 
U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test 
procedure, DOE must determine to what extent, if any, the proposed test 
procedure would alter the product's measured energy efficiency as 
determined under the existing test procedure. (42 U.S.C. 6293(e)(1)) If 
DOE determines that the amended test procedures would alter the 
measured efficiency of a covered product, DOE must amend the applicable 
energy conservation standard accordingly. (42 U.S.C. 6293(e)(2))
    The existing energy conservation standards for CFLKs were 
established by EPACT 2005 and later amended by EPCA. (42 U.S.C. 
6295(ff)) Specifically, EPACT 2005 established and set separate energy 
conservation standards for three groups of CFLKs: (1) those with medium 
screw base sockets (hereafter ``product class 1''), (2) those with pin-
based sockets for fluorescent lamps (hereafter ``product class 2''), 
and (3) all other CFLKs not included in product class 1 or 2 (hereafter 
``product class 3''). (42 U.S.C. 6295(ff)(2)-(4)) In a technical 
amendment published on October 18, 2005, DOE codified the statute's 
requirements for the first two groups of CFLKs, those with medium screw 
base sockets and with pin-based sockets for fluorescent lamps. 70 FR 
60413. For the third group of CFLKs, EPACT 2005 specified that the 
prescribed standard for these CFLKs would become effective only if DOE 
failed to issue a final rule on energy conservation standards for CFLKs 
by January 1, 2007. (42 U.S.C. 6295(ff)(4)(C)) Because DOE did not 
issue a final rule on standards for CFLKs by the statutory deadline, on 
January 11, 2007, DOE published a technical amendment that codified the 
statute's requirements for product class 3 CFLKs. 72 FR 1270. Another 
technical amendment to reflect the statutory requirements on March 3, 
2009 (74 FR 12058) added a provision that CFLKs with sockets for pin-
based fluorescent lamps must be packaged with lamps to fill all 
sockets.
    EPCA allows DOE to amend energy conservation standards for CFLKs 
any time after January 1, 2010. (42 U.S.C. 6295(ff)(5)) In a separate 
rulemaking proceeding, DOE is considering amending energy conservation 
standards for CFLKs (hereafter the ``ECS rulemaking for CFLKs'').\3\ 
DOE initiated that rulemaking by publishing a Federal Register notice 
announcing a public meeting and availability of the framework document 
on March 15, 2013. 78 FR 16443. DOE held a public meeting to discuss 
the framework document for the CFLK standards rulemaking on March 22, 
2013.\4\
---------------------------------------------------------------------------

    \3\ DOE has published a framework document and preliminary 
analysis for amending energy conservation standards for CFLKs. 
Further information is available at www.regulations.gov under Docket 
ID: EERE-2012-BT-STD-0045.
    \4\ The framework document and public meeting information are 
available online at regulations.gov, docket number EERE-2012-BT-STD-
0045 at http://www.regulations.gov/#!documentDetail;D=EERE-2012-BT-
STD-0045-0001.
---------------------------------------------------------------------------

    Additionally, the Energy Independence and Security Act of 2007 
(EISA 2007), Pub. L. 110-140, amended EPCA to require that at least 
once every 7 years, DOE conduct an evaluation of all covered products 
and either amend the test procedures (if the Secretary determines that 
amended test procedures would more accurately or fully comply with the 
requirements of 42 U.S.C. 6293(b)(3) or publish a determination in the 
Federal Register not to amend them. (42 U.S.C. 6293(b)(1)(A))) Pursuant 
to this requirement, DOE must review the test procedures for CFLKs not 
later than December 19, 2014 (i.e., 7 years after the enactment of EISA 
2007). Thus, the final rule resulting from this rulemaking will satisfy 
the requirement to review the test procedures for CFLKs within 7 years 
of the enactment of EISA 2007.
    For test procedures of covered products that do not fully account 
for standby mode and off mode energy

[[Page 64690]]

consumption, EISA 2007 directs DOE to amend its test procedures to 
account for standby mode and off mode energy consumption, if 
technically feasible. (42 U.S.C. 6295(gg)(2)(A)) If integrated test 
procedures are technically infeasible, DOE must prescribe separate 
standby mode and off mode test procedures for the covered product, if 
technically feasible. Id. EISA 2007 also amended EPCA to require that 
any new or amended energy conservation standard adopted after July 1, 
2010, incorporate standby mode and off mode energy use into a single 
standard if feasible, or otherwise adopt a separate standard for such 
energy use for that product, pursuant to 42 U.S.C. 6295(o). (42 U.S.C. 
6295(gg)(3))

II. Summary of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes to amend DOE's current test procedures 
for CFLKs contained in 10 CFR part 430, subpart B, appendix V; 10 CFR 
429.33; and 10 CFR 430.23.\5\ DOE proposes to (1) clarify that lamp 
efficacy measurements to meet existing CFLK energy conservation 
standards should be made according to DOE lamp test procedures, where 
they exist; (2) replace references to outdated ENERGY STAR \6\ 
requirements in appendix V with references to the latest versions of 
industry standards; and (3) replace references to ENERGY STAR 
requirements in existing CFLK standards contained in 10 CFR 430.32(s) 
with the specific requirements. DOE has tentatively concluded that 
these proposed amendments will not affect any measurements required to 
comply with existing standards. DOE also proposes to modify previously 
issued guidance regarding accent lighting in CFLKs to specify that such 
light sources in CFLKs must be tested and are subject to standards.
---------------------------------------------------------------------------

    \5\ On December 8, 2006, DOE published a final rule in the 
Federal Register for test procedures for CFLKs. 71 FR 71340.
    \6\ ENERGY STAR is a joint program of the U.S. Environmental 
Protection Agency (EPA) and DOE that establishes a voluntary rating, 
certification, and labeling program for highly energy efficient 
consumer products and commercial equipment. Information on the 
program is available at: http://www.energystar.gov.
---------------------------------------------------------------------------

    In order to support the ongoing ECS rulemaking for CFLKs, DOE also 
proposes to adopt a single efficiency metric measured in lumens per 
watt (hereafter, ``efficacy''), that would be applicable to all product 
classes. DOE proposes, where possible, to determine the CFLK efficiency 
by measuring the efficacy of the lamp(s) packaged with the CFLK 
(hereafter, ``lamp efficacy'') and require using existing DOE lamp test 
procedures. Where it is technically infeasible to measure lamp efficacy 
(e.g., for CFLKs with integrated solid-state lighting \7\ circuitry), 
DOE proposes to determine CFLK efficiency by measuring the efficacy of 
the CFLK itself (hereafter, ``luminaire efficacy''). For those lamp 
types used in CFLKs that do not have corresponding DOE test procedures, 
DOE proposes to incorporate by reference current industry standard test 
procedures. Further, DOE proposes to establish a new appendix V1 that 
will specify test procedures for CFLKs packaged with lamp types for 
which DOE test procedures do not exist and for CFLKs packaged with 
inseparable light sources that require luminaire efficacy. Because 
these proposed amendments will likely change the measured values 
required to comply with the existing CFLK standards for CFLKs in 
product classes 2 and 3, DOE proposes the use of the new appendix V1 
and associated updates to the regulations be required concurrent with 
the compliance date of standards established by the ongoing ECS 
rulemaking for CFLKs. 78 FR 16443.
---------------------------------------------------------------------------

    \7\ Solid-state lighting or ``SSL'' refers to a class of 
lighting technologies based on semiconductor materials. Light 
emitting diodes (LEDs) are the most common type of SSL on the market 
today.
---------------------------------------------------------------------------

    This notice also addresses DOE's requirement to account for standby 
mode and off-mode power consumption in test procedures that support 
energy conservation standards. (42 U.S.C. 6295(gg)(2)(A) and (3)) DOE 
believes that CFLKs do not consume power in off mode and consume power 
in standby mode only if they are controlled via remote control. DOE 
proposes that the standby mode energy consumption of CFLKs be accounted 
for under the efficiency metric for ceiling fans rather than under the 
CFLK efficiency metric. The rationale for this approach is that control 
of the CFLK is initiated through the ceiling fan because the standby 
sensor and controller are nearly always shared between the ceiling fan 
and the CFLK, and the remote control receiver is essentially always 
installed in the ceiling fan housing.

III. Discussion

A. Amendments To Existing Test Procedures

    The current DOE standards for CFLKs in product class 1 (those with 
medium base sockets) (42 U.S.C. 6295(ff)(2)) use the efficacy of the 
lamp(s) packaged with the CFLK (lumens emitted per watt consumed [lm/
W]) as the measure of CFLK efficiency. The current DOE standards for 
CFLKs in product class 2 (pin-based sockets for fluorescent lamps) (42 
U.S.C. 6295(ff)(3)) use the efficacy of the lamp and ballast system(s) 
(lm/W) (hereafter ``system efficacy'') packaged with the CFLK as the 
measure of CFLK efficiency. The standard for product class 3 is based 
on maximum allowable operating wattage, which is regulated as a design 
standard that requires including a wattage limiter in these products. 
Accordingly, DOE has not established test procedures for product class 
3 CFLKs. 72 FR 1270.
    The current DOE test procedures for product class 1 CFLKs 
incorporate by reference sections 3 and 4 of the ``CFL Requirements for 
Testing'' of the ``ENERGY STAR Program Requirements for Compact 
Fluorescent Lamps,'' Version 3.0, which in turn references the 
Illuminating Engineering Society of North America (IES) LM-66-00 test 
procedures for lamp efficacy testing (IES LM-66-00, ``Electrical and 
Photometric Measurements of Single-Ended Compact Fluorescent Lamps''). 
The current DOE test procedures for product class 2 CFLKs incorporate 
by reference sections 3 and 4 of the ``ENERGY STAR Program Requirements 
for Residential Light Fixtures,'' Version 4.0, which also reference IES 
LM-66-00 and IES LM-9-99 for system efficacy testing, depending on lamp 
type. Table 1 summarizes the current metrics and test procedures for 
CFLKs.

                Table 1--CFLKs Efficiency Metrics and Reference Test Procedures by Product Class
----------------------------------------------------------------------------------------------------------------
                                   Efficiency or design      Industry test procedures incorporated into DOE's
          Product class                   metric                               regulations
----------------------------------------------------------------------------------------------------------------
1 (CFLKs with medium screw base    Lamp efficacy (lm/W)  ``CFL Requirements for Testing'' of the ``ENERGY STAR
 sockets).                                                Program Requirements for Compact Fluorescent Lamps,''
                                                          Version 3.0, which references IES LM-66-00 for lamp
                                                          efficacy measurements.

[[Page 64691]]

 
2 (CFLKs with pin-based            System efficacy (lm/  ``ENERGY STAR Program Requirements for Residential
 fluorescent sockets).              W).                   Light Fixtures,'' Version 4.0, which references IES LM-
                                                          66-00 and IES LM-9-99 for system efficacy
                                                          measurements.
3 (All other CFLKs)..............  Wattage.............  N/A.
----------------------------------------------------------------------------------------------------------------

    The ENERGY STAR program procedures incorporated into the DOE test 
procedures for CFLKs, and the IES test procedures referenced therein, 
are no longer current. DOE's regulations incorporate Version 3.0 of the 
``ENERGY STAR Program Requirements for Compact Fluorescent Lamps,'' 
which was replaced by Version 4.3. Further, on September 30, 2014, 
Version 4.3 was replaced by ``ENERGY STAR Program Requirements for 
Lamps Version 1.0'' (finalized on August 28, 2013). Version 4.0 of the 
``ENERGY STAR Program Requirements for Residential Light Fixtures'' has 
been replaced by the ``ENERGY STAR Program Requirements for Luminaires 
Version 1.2.'' Moreover, the IES test procedures referenced in these 
ENERGY STAR test procedures have been updated. For example, the current 
version of IES LM-66 is the 2011 version (IES LM-66-11), whereas the 
version referenced in the current DOE test procedures is the 2000 
version (IES LM-66-00).
    Because these procedures referenced in the DOE test procedures for 
CFLKs, and the IES test procedures referenced therein, are no longer 
current, DOE is proposing to update the CFLK test procedures to 
reference existing DOE lamp test procedures for covered lamps. For 
those lamp types without a corresponding DOE test procedure, DOE 
proposes to reference the latest industry standard test procedures and 
also add clarifications to existing sampling requirements. This NOPR 
also presents updates to prior DOE guidance related to accent lighting.
    As described in section I, when DOE amends test procedures, it must 
consider to what extent the proposed test procedure would alter the 
measured energy efficiency as determined under the existing test 
procedure. (42 U.S.C. 6293(e)(1)) For CFLKs this requirement only 
applies to CFLKs with medium screw base sockets and pin-based sockets 
for fluorescent lamps--the only CFLK product classes with test 
procedures, both of which DOE is proposing to amend. These amendments 
are discussed further in the sections that follow.
1. Test Procedures for CFLKs Packaged With Medium Screw Bases
    For CFLKs with medium screw base sockets, the current DOE test 
procedures reference the ``CFL Requirements for Testing'' of the 
``ENERGY STAR Program Requirements for Compact Fluorescent Lamps,'' 
Version 3.0, which in turn reference the Illuminating Engineering 
Society of North America (IES) LM-66-00 test procedures for lamp 
efficacy testing. DOE proposes to replace the reference to the ENERGY 
STAR specification with a reference to the current DOE test procedures 
for medium screw base compact fluorescent lamps (located at 10 CFR 430, 
subpart B, appendix W), which references IES LM-66-11. DOE analyzed the 
potential differences in the methodologies incorporated by reference in 
the current and proposed test procedures (i.e., LM-66-00 for the 
existing test procedure and LM-66-11 for the proposed test procedure). 
DOE found that there are subtle, clarification-type differences between 
the two methods, but that the measurement of efficacy is the same. 
Thus, DOE believes that any differences in the test procedures would be 
unlikely to yield differences in the measured values of lamp efficacy 
for CFLKs with medium screw base sockets. In addition, DOE's proposal 
would eliminate an extra layer of documents referenced. Thus, for CFLKs 
packaged with medium screw base lamps, DOE proposes to reference 
appendix W, the DOE test procedure for medium base compact fluorescent 
lamps (MBCFLs) and 10 CFR 429.35, DOE's sampling requirements for 
MBCFLs. DOE proposes to implement this change by removing the current 
test specifications for CFLKs packaged with medium screw bases from 
appendix V and amending 10 CFR 429.33 and 10 CFR 430.23 to reference 
respectively, 10 CFR 429.35 and appendix W for CFLKs packaged with 
medium screw base compact fluorescent lamps. DOE requests comments on 
the proposed changes for existing test procedures for CFLKs packaged 
with medium screw base lamps.
2. Test Procedures for CFLKs Packaged With Pin-Based Fluorescent Lamps
    DOE also proposes to update the test procedure for CFLKs with pin-
based sockets for fluorescent lamps. The current DOE test procedures 
for CFLKs with pin-based sockets for fluorescent lamps reference the 
``ENERGY STAR Program Requirements for Residential Light Fixtures,'' 
Version 4.0, which in turn references IES LM-66-00 (for compact 
fluorescent lamps [CFLs]) and IES LM-9-99 (for all other fluorescent 
lamps). DOE proposes to remove the ENERGY STAR references and update 
the test procedures with direct references to the current industry test 
procedures, namely IES LM-66-11 and IES LM-9-09. The ENERGY STAR 
program requirements specify that the efficacy of the lamp should be 
measured using the ballast with which it is packaged rather than a 
reference ballast. DOE notes that although both IES LM-66-11 and IES 
LM-9-09 specify that lamps with external ballasts (e.g., pin-based 
fluorescent lamps) be tested on a reference ballast, they also contain 
provisions that allow for such lamps to be tested on commercially 
available ballasts, rather than on a reference ballast when it is 
desirable to measure the performance (e.g., system efficacy) of a 
specific lamp ballast platform. Because changing the current test 
procedure to require measurement of pin-based fluorescent lamps on a 
reference ballast would result in a change in measured values, DOE 
proposes to specify in appendix V that system efficacy testing of pin-
based fluorescent lamps be conducted with ballasts that are packaged 
with CFLKs. Further, DOE found that there are subtle, clarification-
type differences between IES LM-66-00 and IES LM-66-11 and between IES 
LM-9-99 and LM-9-09 but that the general measurement of system efficacy 
is the same. Thus, DOE believes that any differences in the current and 
proposed test procedures would be unlikely to yield differences in the 
measured values of system efficacy for CFLKs with pin-based fluorescent 
lamps but would eliminate an extraneous layer of reference documents. 
DOE therefore

[[Page 64692]]

proposes to amend appendix V to reference IES LM-66-11 and IES LM-9-09, 
as applicable, depending on the type of pin-based lamp that is packaged 
with the CFLK.
    DOE notes that EPCA requires CFLK test procedures to be based on 
the test procedures referenced in the ENERGY STAR specifications for 
``Residential Light Fixtures and Compact Fluorescent Light Bulbs'', as 
in effect on August 8, 2005. (42 U.S.C. 6293(b)(16)(A)(ii)) DOE 
believes it will remain in compliance with this requirement after 
updating references as described above, as the older industry standards 
referenced in the ENERGY STAR version and the latest versions of these 
industry standards have not changed substantively.
    DOE requests comments on the proposed changes for existing test 
procedures for CFLKs packaged with pin-based fluorescent lamps.
3. Clarifications to Energy Conservation Standard Text at 10 CFR 
430.32(s)
    CFLK energy conservation standards are codified in 10 CFR 
430.32(s). Currently the text in 10 CFR 430.32(s) refers to the ENERGY 
STAR Program requirements for Compact Fluorescent Lamps version 3, for 
standards applicable to CFLKs packaged with medium screw base lamps and 
the ENERGY STAR Program requirements for Residential Light Fixtures, 
version 4.0, for standards applicable to CFLKs packaged with pin-based 
fluorescent lamps. To state more clearly the minimum requirements for 
these products, DOE proposes to replace the references to ENERGY STAR 
with tables that contain the specific performance requirements from the 
ENERGY STAR documents.
    For CFLKs packaged with medium screw base CFLs the standards table 
would include the efficacy, lumen maintenance at 1,000 hours, lumen 
maintenance at 40 percent of lifetime, rapid cycle stress, and lifetime 
requirements specified in the ENERGY STAR Program requirements for 
Compact Fluorescent Lamps, version 3. For CFLKs packaged with medium 
screw base light sources other than CFLs, the standards table would 
include the efficacy requirements specified in the ENERGY STAR Program 
requirements for Compact Fluorescent Lamps, version 3. For CFLKs 
packaged with pin-based fluorescent lamps, the standards table would 
include the system efficacy in the ENERGY STAR Program requirements for 
Residential Light Fixtures version 4.0. DOE requests comment on 
replacing references to ENERGY STAR documents with the specific 
requirements from the ENERGY STAR documents referenced in CFLK energy 
conservation standards, codified at 10 CFR 430.32(s).
4. Clarifications for Accent Lighting
    DOE previously issued guidance on accent lighting used in CFLKs in 
a test procedure technical amendment (71 FR 71347 [December 8, 2006]), 
and recorded this guidance for easier reference in its Guidance and 
Frequently Asked Questions (FAQ) Web site.\8\ In this guidance DOE 
stated, ``DOE does not consider ceiling fan accent lighting that is not 
a significant light source to be part of the 190[hyphen]watt 
limitation.'' Because it is difficult to quantitatively define ``a 
significant light source'' in a CFLK as it may vary depending on the 
application in which it is used and may require a subjective 
determination of what provides accent lighting versus overall 
illumination, DOE believes that this may result in inconsistency in the 
application of CFLK standards. Therefore, DOE proposes to withdraw the 
current guidance on accent lighting 30 days after the publication of 
the final rule. DOE proposes to consider all lighting packaged with any 
CFLK to be subject to energy conservation requirements. DOE requests 
comment on its withdrawal of current guidance on accent lighting in 
CFLKs and proposal to consider all lighting packaged with any CFLKs to 
be subject to energy conservation requirements.
---------------------------------------------------------------------------

    \8\ Available at: http://www1.eere.energy.gov/buildings/appliance_standards/pdfs/ceilingfanlk_faq_2010-07-16.pdf.
---------------------------------------------------------------------------

B. Amendments To Implement an Efficacy Metric for All CFLKs

    In this document DOE also proposes to include amendments to the 
CFLK test procedures that would expand the efficacy metric to all 
covered CFLKs in support of the amended standards being considered as 
part of the ongoing ECS rulemaking for CFLKs. In that rulemaking, DOE 
is proposing to require that all covered CFLKs meet minimum efficacy 
requirements, as is currently required for CFLKs in product class 1 and 
product class 2. 78 FR 16443. Thus, DOE proposes to establish a new 
appendix V1 and amend 10 CFR 429.33 and 10 CFR 430.23 to provide test 
procedures to measure the lamp efficacy of each basic model of a lamp 
type packaged with a CFLK and to measure the luminaire efficacy of each 
basic model of CFLK with integrated SSL circuitry. For CFLKs with both 
consumer replaceable lamps and integrated SSL circuitry, DOE proposes 
that each of the components individually must be tested for lamp or 
luminaire efficacy as applicable. DOE proposes that the use of the new 
appendix V1 and associated updates would be required concurrent with 
the compliance date of standards established by the ongoing ECS 
rulemaking for CFLKs. The following sections describe the change in 
metric for certain CFLKs and how DOE proposes measuring lamp and 
luminaire efficacy.
1. Proposed Metric
    As noted previously, DOE's current CFLK energy conservation 
standards establish minimum CFLK efficiency in three different ways 
depending on product class: Lamp efficacy for product class 1, system 
efficacy for product class 2, and wattage for product class 3. This 
variation makes it difficult for consumers to compare the efficiency of 
different types of CFLKs. DOE is therefore proposing amendments to the 
CFLK test procedures to use a single metric (efficacy) to quantify the 
energy efficiency of all CFLKs. To the extent technologically feasible, 
DOE proposes to use lamp efficacy as the measure of efficiency, as 
described in this section.
    In the public comments received in response to the framework 
document for the CFLK standards rulemaking,\9\ stakeholders described 
problems with the current regulatory structure for product class 3 
CFLKs. Hunter Fan Company (Hunter) argued that wattage limiters are 
prone to failure, thereby significantly increasing the costs associated 
with product warrantees. (Hunter Fan Company, No. 37 at p. 2).\10\ A 
survey commissioned by the American Lighting Association (ALA) and 
submitted to DOE found that the added warranty cost due to servicing 
the failures of wattage limiters averaged $46.43 per claim. (ALA, No. 
39 at p. 21).
---------------------------------------------------------------------------

    \9\ Ceiling Fan and Ceiling Fan Light Kits Framework Document 
(http://www.regulations.gov/#!documentDetail;D=EERE-2012-BT-STD-
0045-0001) and Notice of Public Meeting, Federal Register, 78 FR 
16443 (March 15, 2013) (http://www.regulations.gov/#!documentDetail;D=EERE-2012-BT-STD-0045-0002).
    \10\ A notation in this form provides a reference for 
information that is in the docket of DOE's rulemaking to develop 
energy conservation standards for ceiling fans and ceiling fan light 
kits (Docket No. EERE-2012-BT-STD-0045). This notation indicates 
that the statement preceding the reference is included in document 
number 37 in the docket for the ceiling fans and ceiling fan light 
kits energy conservation standards rulemaking, at page 2.
---------------------------------------------------------------------------

    DOE is sensitive to the concerns raised by stakeholders and 
recognizes that the maximum wattage limit approach currently prescribed 
for product class 3 CFLKs has limitations.

[[Page 64693]]

Unlike efficacy, wattage alone gives no indication of the amount of 
lighting service (lumens) delivered per unit of power consumed (watts). 
Because consumers have traditionally associated wattage with 
brightness, consumers may erroneously believe that a product with a low 
wattage rating does not produce adequate light. Furthermore, DOE 
acknowledges the cost concerns and technology problems associated with 
wattage limiters that stakeholders raised. DOE further notes that 
wattage limiters are a potential failure point for CFLKs and may create 
design challenges for some CFLKs because of the physical space they 
require. Finally, DOE notes that wattage limiters may be unnecessary in 
CFLKs that use lighting technologies that are inherently high 
efficiency and/or wattage limiting.
    As a result of these concerns, DOE proposes replacing wattage with 
efficacy as the metric for all CFLKs, including those currently in 
product class 3. Efficacy more accurately captures the efficiency of a 
light source by expressing the light output relative to the input 
power. The efficacy metric is universally used by lighting industry 
organizations (e.g., the National Electrical Manufacturers Association 
and the Illuminating Engineering Society) and governmental bodies 
(e.g., DOE, ENERGY STAR, California Energy Commission) to quantify and 
characterize the efficiency of both lamps and luminaires. Therefore, 
DOE proposes requiring efficacy, expressed in lumens per watt, as the 
efficiency metric for all CFLKs. For CFLKs with externally ballasted 
lamps (also known as non-integrated lamps), DOE proposes shifting from 
the current approach, which uses system efficacy as measured on the 
ballast packaged with the CFLK (appendix V), to one that uses lamp 
efficacy, as measured on a reference ballast.
    As described in the preceding paragraphs, DOE proposes to use lamp 
efficacy as the basis of its energy efficiency standards for CFLKs 
where technically feasible. Where that is not possible (e.g., for CFLKs 
with integrated solid-state lighting circuitry), DOE proposes to use 
luminaire efficacy. DOE requests comments on its proposal to use lamp 
efficacy when technically feasible and otherwise luminaire efficacy to 
determine the efficiency of CFLKs.
2. Proposed Test Procedure
    DOE notes that the large majority of CFLKs currently on the market 
are packaged with lamps for which DOE or industry test procedures 
exist. In this NOPR, DOE proposes test procedure updates to require an 
efficacy metric for all light sources packaged with CFLKs. For these 
test procedure updates, DOE also proposes to reference existing DOE 
test procedures and to reference industry standard test procedures only 
where DOE test procedures do not exist. As noted above, DOE proposes to 
minimize the overall lamps testing burden and update the CFLK test 
procedures by replacing references to ENERGY STAR test procedures with 
references to existing DOE lamp test procedures, where applicable. 
CFLKs that are packaged with lamps that have already been tested per 
DOE lamp test procedures may not require additional testing. For CFLKs 
with lamp types that do not have a corresponding current DOE test 
procedure, DOE proposes to reference current test procedures of the 
IES. The IES periodically updates its test procedures. Under the 
proposed approach, DOE would incorporate by reference a specific 
version of an IES test procedure (e.g., LM-79-08). In a future 
rulemaking, DOE may consider updating references to more recent 
versions of IES test procedures, if they exist; however, the required 
version would not change absent DOE rulemaking, even if the IES 
publishes an update to the test procedure.
    Further, DOE is currently engaged in two test procedure rulemakings 
for lamp types that are used in CFLKs. Specifically, DOE is amending 
appendix W to update existing test procedures for medium base compact 
fluorescent lamps and to include test procedures for additional CFL 
metrics and CFL types, including externally-ballasted CFLs (i.e., non-
integrated CFLs). DOE has also proposed a new appendix BB setting forth 
test procedures for integrated LED lamps.\11\ DOE expects both of these 
appendices would be effective by the time that the new CFLK test 
procedure implementing a single efficacy metric for CFLKs (i.e., 
appendix V1 and associated CFR updates) would be effective. Therefore, 
DOE references these proposed appendices in the proposed amendments to 
the CFLK test procedures.
---------------------------------------------------------------------------

    \11\ DOE published a NOPR on April 9, 2012 (77 FR 21038), a 
supplemental NOPR on June 3, 2014 (79 FR 32019), and a second 
supplemental NOPR on June 26, 2014 (79 FR 36242). Information on the 
LED lamps test procedure can be found at: http://www.regulations.gov/#!docketDetail;D=EERE-2011-BT-TP-0071.
---------------------------------------------------------------------------

    DOE notes that some CFLKs with solid-state lighting have designs 
for which it is not technically feasible to measure lamp efficacy 
without destructive disassembly of the CFLK circuitry and, even where 
it is possible to disassemble the lighting in a non-destructive manner, 
measurements may not be accurate or consistent representations of the 
light source efficacy. This applies to two cases: (1) CFLKs that have 
SSL drivers and/or light sources (e.g., an LED array or module) that 
are not consumer replaceable, and (2) CFLKs that have SSL drivers and 
light sources that are consumer replaceable, but the SSL driver and 
light source are separated by additional intermediate circuitry within 
the CFLK (e.g., wiring between a replaceable driver and a replaceable 
light source). DOE refers to these designs--which have light sources, 
drivers, or intermediate circuitry that is integrated into the CFLK--as 
``CFLKs with integrated SSL circuitry'' and proposes to evaluate the 
efficiency of these CFLKs by measuring their luminaire efficacy.
    DOE considered alternative approaches to quantifying CFLK 
efficiency for certain CFLKs with integrated SSL circuitry to determine 
if it was feasible to measure lamp efficacy, rather than luminaire 
efficacy, but determined that it is not. Specifically, some CFLK 
designs may have SSL light sources that are consumer replaceable (i.e., 
to facilitate repairs and maintenance) but LED drivers that are 
hardwired in the CFLK. For this scenario, DOE explored whether lamp 
efficacy could be measured on the consumer replaceable SSL light source 
using a ``reference driver'' in much the same way that reference 
ballasts are used for measuring the lamp efficacy of certain pin-based 
CFLs. However, SSL light sources do not have industry-specified 
reference drivers in the manner that CFLs have reference ballasts and, 
therefore, this method could result in varying efficacy measurements of 
the light source. Similarly, for designs with consumer replaceable SSL 
light sources and drivers, DOE considered measuring lamp efficacy of 
the combined consumer replaceable components, but this approach may 
also result in varying measurements of the light source efficacy 
depending on the additional SSL components packaged with the CFLK. 
Additionally, these types of measurements are outside the stated scope 
of IES LM-79-08, which addresses only luminaires and integrated LED 
lamps.
    In the ongoing ECS rulemaking for CFLKs, DOE is considering that 
each lamp and/or integrated light source packaged with the CFLK meet 
prescribed minimum efficacy requirements. 78 FR 16443. For CFLKs that 
utilize multiple lamp models, DOE proposes that each lamp model be 
tested

[[Page 64694]]

according to the corresponding lamp test procedure. For CFLKs that have 
both consumer replaceable lamps and integrated SSL circuitry, DOE 
proposes that the lamp efficacy of the consumer replaceable lamps be 
measured and that the luminaire efficacy of the CFLK integrated SSL 
circuitry be measured after the consumer replaceable lamps are removed. 
Each component would individually be required to meet the minimum 
standard. For CFLKs with dimmable lighting, DOE proposes that active 
mode testing be conducted at full power.
    Table 2 summarizes the proposed active mode test procedures for 
determining efficacy.

                    Table 2--Proposed Test Procedures for CFLKs Based on Lighting Technology
----------------------------------------------------------------------------------------------------------------
                                           Lamp or luminaire
         Lighting technology               efficacy measured                Referenced test procedure
----------------------------------------------------------------------------------------------------------------
Compact fluorescent lamps (CFLs).....  Lamp Efficacy...........  Appendix W to Subpart B of 10 CFR 430.
Other (non-CFL) fluorescent lamps....  Lamp Efficacy...........  IES LM-9-09.
Integrated LED lamps.................  Lamp Efficacy...........  Appendix BB to Subpart B of 10 CFR 430.
All Other SSL lamps..................  Lamp Efficacy...........  IES LM-79-08.
CFLKs with integrated SSL circuitry..  Luminaire Efficacy......  IES LM-79-08.
----------------------------------------------------------------------------------------------------------------

    DOE requests comment on its proposal to measure luminaire efficacy 
for CFLKs with integrated SSL circuitry and to measure lamp efficacy 
for all other types of CFLKs.
    DOE requests comment on its assessment that it is technically 
infeasible to measure the lamp efficacy of CFLKs with integrated SSL 
circuitry either because it would require destructive disassembly of 
the CFLK or measurement of consumer replaceable light source and 
driver, which would not result in valid representations of the light 
source efficacy.
    DOE requests comment on its approach to testing CFLKs that have 
both consumer replaceable lamps and integrated SSL circuitry.

C. Standby Mode and Off Mode

    As required by statute, DOE is addressing standby mode and off mode 
power consumption in this NOPR. EPCA defines ``standby mode'' as ``the 
condition in which an energy-using product--(I) is connected to a main 
power source; and (II) offers 1 or more of the following user-oriented 
or protective functions: (aa) To facilitate the activation or 
deactivation of other functions (including active mode) by remote 
switch (including remote control), internal sensor, or timer. (bb) 
Continuous functions, including information or status displays 
(including clocks) or sensor-based functions.'' (42 U.S.C. 
6295(gg)(1)(A)(iii)) EPCA defines ``off mode'' as ``the condition in 
which an energy-using product--(I) is connected to a main power source; 
and (II) is not providing any standby or active mode function.'' (42 
U.S.C. 6295(gg)(1)(A)(ii))
    ALA provided comments on the framework document of the ongoing ECS 
rulemaking for CFLKs indicating that a ceiling fan without a wireless 
remote does not consume energy in off mode, and a ceiling fan with a 
wireless remote control has an average power consumption of 1.4 W in 
standby mode. (ALA, 39 at pg.13).
    Based on a review of specification sheets of CFLKs on the market 
and data provided by ALA, DOE believes that CFLKs do not consume power 
in off mode, and that only CFLKs offering the functionality of a 
wireless remote control may consume power in standby mode. Because the 
standby sensor and controller nearly always provide functionality 
shared between the ceiling fan and the CFLK, DOE proposed in the 
framework document to account for the energy consumption in standby 
mode under the ceiling fan efficiency metric rather than under the CFLK 
efficiency metric. 78 FR 16443.
    Further efforts to address standby energy usage in the CFLK test 
procedure may produce test results that are unnecessarily confusing to 
the consumer. If standby power were incorporated into a single 
efficiency metric, a CFLK with standby energy usage would have a 
different efficacy from the lamps packaged with it. Furthermore, two 
CFLKs with the same lamps, one with and one without a remote control, 
would have different efficacy ratings. This could be confusing to 
consumers and potentially misleading since remote controls often 
include dimmers, which may reduce active mode power consumption by 
allowing consumers to run lamps at less than full power. Additionally, 
DOE is concerned that requiring standby power testing for CFLKs in 
addition to standby power testing for ceiling fans would impose an 
unnecessary testing burden on manufacturers, given that the standby 
power consumption is shared between the ceiling fan and the CFLK, has 
its genesis in the ceiling fan, and can be captured in the ceiling fan 
test procedure alone. Therefore, DOE has tentatively concluded that 
standby energy usage for CFLKs is adequately addressed in the ceiling 
fan test procedure. For these reasons, DOE is not proposing a test 
procedure for standby mode power consumption for CFLKs in this NOPR. 
DOE requests comment on its approach to addressing standby power 
consumption in CFLKs.

D. Effective Date and Compliance Date for Amended Test Procedures

    The effective date for any amended test procedures is 30 days after 
publication of any final test procedures in the Federal Register. (5 
U.S.C. 553) The compliance date for the amended test procedures 
specified for appendix V would be 180 days after publication of the 
test procedure final rule in the Federal Register. The compliance date 
for appendix V1 would be concurrent with the ongoing ECS rulemaking for 
CFLKs. Manufacturers would be permitted to make representations based 
on testing in accordance with appendix V1 early, if such 
representations would demonstrate compliance with any amended energy 
conservation standards.

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 
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).

[[Page 64695]]

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq., as amended by 
the Small Business Regulatory Enforcement Fairness Act of 1996) 
requires preparation of an initial regulatory flexibility analysis 
(IFRA) for any rule that by law must be proposed for public comment and 
a final regulatory flexibility analysis (FRFA) for any such rule that 
an agency adopts as a final rule, unless the agency certifies that the 
rule, if promulgated, will not have a significant economic impact on a 
substantial number of small entities. A regulatory flexibility analysis 
examines the impact of the rule on small entities and considers 
alternative ways of reducing negative effects. Also, as required by 
Executive Order 13272, ``Proper Consideration of Small Entities in 
Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE published 
procedures and policies on February 19, 2003 to ensure that the 
potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site at: http://energy.gov/gc/office-general-counsel.
    DOE reviewed this proposed rule under the provisions of the 
Regulatory Flexibility Act and the policies and procedures published on 
February 19, 2003. The proposed rule prescribes the test procedure 
amendments that would be used to determine compliance with energy 
conservation standards for CFLKs.
    DOE analyzed the burden to small manufacturers in both the context 
of the proposed modifications to the existing CFLK test procedures made 
in appendix V and associated CFR sections, as well as the in the 
context of the proposed test procedures to implement an efficacy metric 
for all covered CFLKs by establishing appendix V1 and amending 
associated CFR sections. With respect amendments to existing CFLK test 
procedures, DOE determined that proposed changes would not have a 
material impact on small U.S. manufacturers because the proposed 
changes would not alter the test procedures themselves, but rather, how 
they would be referenced. Consequently, DOE certifies that the proposed 
testing procedure amendments would not have a significant economic 
impact on a substantial number of small entities and the preparation of 
an IRFA is not warranted for these amendments.
    With respect to proposed test procedures to implement an efficacy 
metric for all covered CFLKs, DOE found that because the proposed 
amendments would require efficiency performance testing of certain 
CFLKs that had not required testing previously, all manufacturers, 
including a substantial number of small manufacturers, would experience 
a financial burden associated with new testing requirements. Therefore, 
the preparation of an IRFA is required for these amendments. DOE has 
transmitted a copy of this IRFA to the Chief Counsel for Advocacy of 
the Small Business Administration for review.
    The Small Business Administration (SBA) has set a size threshold 
for manufacturers, which defines those entities classified as ``small 
businesses'' for the purposes of the statute. DOE used the SBA's small 
business size standards to determine whether any small entities 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/files/Size_Standards_Table.pdf. CFLK manufacturing is classified under NAICS 
code 335210,\12\ ``Small Electrical Appliance Manufacturing.'' SBA sets 
a threshold of 750 employees or less for an entity to be considered a 
small business for this category.
---------------------------------------------------------------------------

    \12\ Although NAICS 335121, ``Residential Electric Lighting 
Fixture Manufacturing'' could also apply to CFLK manufacturers, DOE 
chose a NAICS code that applied to both ceiling fans and light kits 
because CFLK manufacturers are generally also ceiling fan 
manufacturers.
---------------------------------------------------------------------------

    DOE conducted a focused inquiry into small business manufacturers 
of products covered by this rulemaking. To identify CFLK manufacturers, 
DOE reviewed ALA's list of ceiling fan manufacturers,\13\ the ENERGY 
STAR Product Databases for Ceiling Fans,\14\ the California Energy 
Commission's Appliance Database for Ceiling Fans,\15\ the Federal Trade 
Commission's Appliance Energy Database for Ceiling Fans,\16\ and DOE's 
Compliance Certification Database.\17\ DOE then reviewed these data to 
determine whether the entities met the SBA's definition of a ``small 
business manufacturer'' of CFLKs and screened out companies that do not 
offer products subject to this rulemaking, do not meet the definition 
of a ``small business,'' or are foreign-owned and operated. Based on 
this review, and using data on the companies for which DOE was able to 
obtain information on the numbers of employees, DOE estimates that 
there are between 25 and 35 small business CFLK manufacturers in the 
U.S. DOE invites interested parties to comment on the number of small 
business manufacturers of CFLKs.
---------------------------------------------------------------------------

    \13\ The American Lighting Association, list of Manufacturers & 
Representatives (Available at: http://www.americanlightingassoc.com/Members/Resources/Manufacturers-Representatives.aspx).
    \14\ The U.S. Environmental Protection Agency and the U.S. 
Department of Energy, ENERGY STAR Ceiling Fans--Product Databases 
for Ceiling Fans (Available at: http://www.energystar.gov/index.cfm?fuseaction=find_a_product.showProductGroup&pgw_code=CF).
    \15\ The California Energy Commission, Appliance Database for 
Ceiling Fans (Available at: http://www.appliances.energy.ca.gov/QuickSearch.aspx).
    \16\ The Federal Trade Commission, Appliance Energy Databases 
for Ceiling Fans (Available at: http://www.ftc.gov/bcp/conline/edcams/eande/appliances/ceilfan.htm).
    \17\ The Department of Energy, Compliance Certification Database 
(Available at: http://www.regulations.doe.gov/certification-data).
---------------------------------------------------------------------------

    Based on the analysis described in the remainder of this section, 
DOE expects the proposed test procedures to implement an efficacy 
metric for all covered CFLKs to increase direct testing costs to small 
CFLK manufacturers, but that the savings from eliminating the design 
standard that requires wattage limiters for product class 3 CFLKs will 
likely more than offset these costs. DOE believes that, in sum, typical 
small manufacturers are likely to benefit financially from the proposed 
changes, as detailed below.
    CFLK testing costs may also be impacted by the concurrent ceiling 
fans test procedure rulemaking, which has proposed a change in scope 
that could increase the number of CFLKs requiring testing. 
Specifically, in that rulemaking DOE is proposing to reinterpret the 
definition of ceiling fans to include hugger fans. If this proposed 
reinterpretation is adopted, products that provide light from hugger 
fans would fall under that statutory definition of CFLKs (42 U.S.C. 
6291(50)) and, therefore, be subject to CFLK standards. If 
manufacturers use different CFLKs on their hugger fans than on their 
other ceiling fans, this could increase test burden. This IRFA 
therefore presents costs under two scenarios: One in which hugger fans 
are not included in the definition of ceiling fans, and another in 
which they are included.
    DOE requires testing each basic model of a product to establish 
compliance with energy conservation standards. Products included in a 
single basic model must have essentially identical electrical, 
physical, and functional

[[Page 64696]]

characteristics that affect energy efficiency. Because the efficiency 
of CFLKs with integrated SSL circuitry is based on luminaire efficacy, 
variation in light kit designs will likely impact efficiency and result 
in a greater number of basic models for these types of CFLKs. Many 
aesthetic features that affect the optics of CFLKs with integrated SSL 
circuitry also affect their luminaire efficacy and, therefore, would 
require a new basic model. For CFLKs with consumer replaceable lamps, 
efficiency is based on lamp efficacy and will likely not be impacted by 
the design of the light kit, and thus the number of basic models may be 
limited for these types of CFLKs. Because these CFLKs require lamp 
testing, changes in luminaire optics, like lens choice, would not 
affect the measured efficacy, and therefore would not require a new 
basic model. For these CFLKs, manufacturers would be able to limit the 
testing burden by using the same lamp model for many CFLK models and/or 
by obtaining appropriate lamp test results from their lamp supplier(s).
    To provide a framework for DOE's analysis, Table 3 summarizes the 
market share of different current CFLK product classes that would be 
affected by the proposed changes in testing requirements and avoided 
wattage limiter costs. The market share projections in Table 3 are for 
the expected compliance year of the ongoing ECS rulemaking for CFLKs 
(2019), when testing costs would be highest because both existing and 
new basic models need to be tested; in subsequent years testing would 
only be required on new basic models because manufacturers already 
would have tested existing basic models.

               Table 3--Projections of CFLK Market Shares in 2019 for the Current Product Classes
                                             [Excluding Hugger Fans]
----------------------------------------------------------------------------------------------------------------
                                                                                            Savings from removal
Product class *    Percent of      Current testing     Proposed future      New testing      of wattage limiter
                 market in 2019       required             testing             costs?          under proposal?
----------------------------------------------------------------------------------------------------------------
1..............              10  100% lamp efficacy  100% lamp efficacy  No...............  No.
3..............              90  None..............  70% lamp efficacy.  Yes..............  Yes.
                                                     30% luminaire       Yes..............  Yes.
                                                      efficacy.
----------------------------------------------------------------------------------------------------------------
* Product class 2 (light kits with pin-based sockets) is ignored for purposes of this analysis because its
  market share is insignificant, at less than 1 percent.

    As shown in Table 3, the proposed test procedures do not affect 
testing burden for product class 1, because no new testing requirements 
are proposed for this product class; additionally, no savings related 
to wattage limiters are realized. Product class 2 (light kits with pin-
based sockets) is ignored for purposes of this analysis because its 
market share is insignificant, at less than 1 percent. DOE assumes that 
30 percent of product class 3 (socket types other than medium or pin-
based) will transition to CFLKs with integrated SSL circuitry 
(requiring luminaire efficacy measurements) by 2019, while the 
remaining 70 percent will transition to CFLKs requiring lamp efficacy 
measurements.\18\ Although testing burden would increase for product 
class 3 under the proposal, because the test procedures would be new 
for this class, removing the wattage limiter requirement would offset 
these costs.
---------------------------------------------------------------------------

    \18\ DOE estimated that between 15% and 40% of the CFLK market 
in 2019 would be CFLKs with integrated SSL circuitry. The lower 
bound of the estimated range was based on the reference case 
projection of LED penetration in Navigant Consulting, Inc.'s report, 
Energy Savings Potential for Solid-State Lighting in General 
Illumination Applications, U.S. Department of Energy, January 2012. 
Half of the LED penetration from that report was assumed to come 
from CFLKs with integrated SSL circuitry and the other half from LED 
lamps. The higher bound of the estimated range was based on 
manufacturer estimates of the market share of integral-LED CFLKs in 
2018 from manufacturer interviews. For this analysis, DOE assumed a 
rounded mid-point value: That 27% of all CFLKs would have integrated 
SSL circuitry (30% of CFLKs in product class 3).
---------------------------------------------------------------------------

    If DOE changes its interpretation to include hugger fans in the 
scope of ceiling fans, this would effectively increase the size of the 
CFLK market by about 15 percent, and would be expected to lead to a 
corresponding increase in testing burden. That decision is outside of 
the scope of this rulemaking, and is therefore not the focus of this 
IRFA. This IRFA focuses on the additional testing costs and the avoided 
wattage limiter costs expected to result from the proposed CFLK test 
procedure amendments, and it considers these cost-benefit impacts for 
two cases: Case 1 does not include huggers in the scope of ceiling 
fans, while case 2 does include huggers in the scope of ceiling fans.
    Table 4 summarizes the results of DOE's IRFA analysis for the two 
cases. In addition to presenting the estimated additional testing costs 
and the reduced wattage limiter costs that would result for the 
proposed amendments to CFLK test procedures, the table presents the 
assumptions underlying the calculations and intermediate results such 
as the estimated number of CFLKs sold by typical small CFLK 
manufacturers in the U.S. The table notes describe how DOE generated 
the inputs. The final results are rounded to two significant digits.

  Table 4--Cost-Benefit Implications of Proposed Test Procedures in Appendix V1 for Typical Small Manufacturers
----------------------------------------------------------------------------------------------------------------
                                                                                   Case 1 no       Case 2 with
                                                                                  hugger fans      hugger fans
----------------------------------------------------------------------------------------------------------------
Total Annual CFLK Shipments \1\...............................................       19,000,000       21,850,000
Percent of Shipments Attributed to Small Manufacturers \2\....................              15%              15%
Number of Small Manufacturers Producing CFLKs \2\.............................               30               30
Number of CFLKs Sold by Typical Small Manufacturers \3\.......................           95,000          109,250
Number of Basic Models Sold by Typical Small Manufacturer \4\.................               15               17
Units Sold per Basic Model \3\................................................            6,333            6,426

[[Page 64697]]

 
Percent of Market Requiring New Lamp Testing \5\..............................              63%              64%
Percent of Market Requiring New Luminaire Testing \5\.........................              27%              27%
Percent of Market Benefitting for Removal of Wattage Limiter \5\..............              90%              90%
Percent of Basic Models Requiring New Lamp Efficacy Testing \6\...............              50%              50%
Average Number of New Lamp Tests Required per Typical Small Manufacturer \3\..              4.7              5.4
Average Number of New Luminaire Tests Required per Small Manufacturer \3\.....              4.1              4.7
Testing cost per Basic Lamp Model \7\.........................................           $3,000           $3,000
Testing cost per Basic Luminaire Model \8\....................................             $750             $750
Cost of a Wattage Limiter \9\.................................................            $1.50            $1.50
Total 1st Year Cost of Additional Testing per Typical Small Manufacturer as a           $17,000          $20,000
 Result of CFLK Test Procedure Amendments \3\.................................
Total Annual Savings from Wattage Limiter Removal per Typical Small                    $130,000         $150,000
 Manufacturer as a Result of CFLK Test Procedure Amendments \3\...............
----------------------------------------------------------------------------------------------------------------
\(1)\ This estimate is based on historical shipments of low-volume ceiling fans (LVCF) derived from: (1) Data
  from Appliance magazine's Statistical Review from the period 1991-2006, (2) data from Energy Star Annual
  Reports from the period 2003-2011, (3) and data purchased from NPD Research Group from 2007-2011. CFLK
  shipments are assumed to be 88% of LVCF shipments based on sales of LVCFs with and without CFLKs. Shipments in
  2019 are based on a stock turnover model that accounts for replacements of retired units in existing stock,
  installations in new construction, and the addition of CFLKs to existing buildings.
\(2)\ The estimate is based on market shares of CFLK brands derived from NPD Research Group and limited publicly
  available data on small CFLK businesses.
\(3)\ This value is calculated from other values in this table.
\(4)\ This estimate is based on a review of manufacturer Web sites.
\(5)\ For the no-hugger fans case, these values follow from the market breakdown shown in Table 3. For the
  hugger-fans case, the ``Percent of Market'' values in Table 3 were adjusted to account for a 15% increase in
  market size associated with CFLKs on hugger fans, assuming that 70% of the hugger CFLKs use lamps only and 30%
  are integral SSL.
\(6)\ This estimate is based on the assumption that for 50% of lamp models used in CFLKs, appropriate test
  results will be available, precluding the need for additional testing.
\(7)\ This estimate assumes 10 lamp samples tested at $300 per test.
\(8)\ This estimate assumes 2 luminaire samples tested at $375 per test.
\(9)\ This estimate conservatively is based on the low end of wattage limiter prices available for sale on the
  Internet.

    DOE estimates that the proposed test procedures would increase 
direct testing costs by approximately $17,000 to $20,000 for a typical 
small manufacturer in the first year of required compliance, depending 
on whether hugger fans are excluded or included in the definition of 
ceiling fans. DOE expects testing costs to be lower in subsequent years 
as testing would only be needed for newly introduced basic models of 
CFLKs since existing basic models would already have the necessary test 
results for certification. DOE estimates that the elimination of 
wattage limiters would yield a typical small manufacturer approximately 
$110,000 to $130,000 in reduced manufacturing costs in that year.
    The degree to which testing costs are offset by savings from the 
elimination of the wattage limiter requirement depends significantly on 
the number of CFLKs produced per basic model. That is, testing costs 
are fixed per basic model, but the costs associated with the wattage 
limiter requirement increase in direct proportion with the total number 
of CFLKs subject to the requirement. As shown in Table 4, DOE estimates 
that small manufacturers typically produce about 6,300 to 6,400 CFLKs 
per basic model per year, and that they are likely to see a net 
financial benefit from the proposed changes provided that they produce 
more than approximately 850 CFLK units per basic model.
    In summary, DOE notes that the estimated savings of the proposed 
test procedures greatly exceed the estimated costs to small 
manufacturers. While these estimates are based on a number of 
projections and assumptions which have inherent uncertainties, given 
the degree to which projected savings exceed projected costs, DOE 
tentatively concludes that the test procedures proposed to implement an 
efficacy metric for all covered CFLKs will not increase compliance 
costs for small manufacturers of CFLKs. DOE requests input on its 
tentative conclusion that the test procedures proposed in appendix V1 
will not increase compliance costs for small manufacturers of CFLKs.
    In developing amendments to the CFLK test procedures, DOE has 
attempted to avoid conflicts with other rules and regulations. Certain 
CFLKs utilize lamps that are subject to DOE standards and test 
procedures as specified in lamp rulemakings. As described in preceding 
sections, to avoid conflicts with existing DOE regulations, the test 
procedures proposed in this NOPR reference existing test procedures for 
these types of CFLKs. DOE is not aware of any other Federal rules that 
duplicate, overlap or conflict with these test procedures.
    DOE considered alternatives to the proposed test procedures for 
CFLKs with integrated SSL circuitry to determine if it was feasible to 
measure lamp efficacy rather that luminaire efficacy. Specifically, DOE 
explored the possibility of testing the consumer replaceable SSL light 
sources drivers for CFLKs with integrated SSL circuitry rather testing 
the entire CFLK. DOE explored the possibility of adopting IES LM-82, 
``Characterization of LED Light Engines and LED Lamps for Electrical 
and Photometric Properties as a Function of Temperature,'' for CFLKs 
with integrated SSL circuitry. Such a method would potentially reduce 
testing costs (particularly if the same LED module and driver were used 
in multiple basic models of CFLKs) and would yield test procedures more 
analogous to the test procedures proposed for all other CFLK types. DOE 
believes this approach is not technically feasible, however, because: 
(1) DOE could not be certain that test results of the LED module and 
driver would accurately represent the performance of the system when it 
was installed in the CFLK because the CFLK could provide heat sinking 
to the LED module in a

[[Page 64698]]

manner that affected performance; and (2) it was not clear that it 
would be possible to test for compliance without destructively altering 
the product being tested because in some CFLK designs LED modules and 
drivers are highly integrated into the CFLK. Furthermore, DOE was not 
able to determine if such an approach would increase or decrease 
testing burden.
    DOE also considered alternatives to the proposed test procedures 
for measuring lamp efficacy. Specifically, DOE considered maintaining 
the current design standard that requires wattage limiters for certain 
types of CFLKs. As discussed previously, DOE tentatively concluded that 
the test procedures proposed will not increase compliance costs and are 
in fact more likely to decrease compliance cost because of the cost 
savings from eliminating the wattage limiter requirement.

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of CFLKs must certify to DOE that their products 
comply with any applicable energy conservation standards. To certify 
compliance, manufacturers must first obtain test data for their 
products according to the DOE test procedures including any amendments 
adopted for those test procedures on the date that compliance is 
required. DOE has established regulations for the certification and 
recordkeeping requirements for all covered consumer products and 
commercial equipment, including CFLKs. 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 under OMB control number 1910-1400. 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 for 
CFLKs to measure more accurately the energy consumption of these 
products. DOE has determined that this rule falls into a class of 
actions that are categorically excluded from review under the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE's 
implementing regulations at 10 CFR part 1021. Specifically, this 
proposed rule would amend the existing test 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, which applies to any rulemaking that interprets or 
amends an existing rule without changing the environmental effect of 
that rule. Accordingly, neither an environmental assessment nor an 
environmental impact statement is required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have Federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have Federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined this proposed rule and has 
determined that it 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

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

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a proposed regulatory action likely to result in a rule that may 
cause the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice

[[Page 64699]]

and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820; also available 
at http://energy.gov/gc/office-general-counsel. DOE examined today's 
proposed rule according to UMRA and its statement of policy and 
determined these requirements do not apply because the rule contains 
neither an intergovernmental mandate nor a mandate that may result in 
the expenditure of $100 million or more in any year.

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 rule would not have any impact on the autonomy or integrity of the 
family as an institution. Accordingly, DOE has concluded that it is not 
necessary to prepare a Family Policymaking Assessment.

I. Review Under Executive Order 12630

    DOE has determined, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights'' 53 FR 8859 (March 18, 1988), that this regulation would not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

J. Review Under Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed 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 CFLKs is not a significant regulatory action 
under Executive Order 12866. Moreover, it would not have a significant 
adverse effect on the supply, distribution, or use of energy, nor has 
it been designated as a significant energy action by the Administrator 
of OIRA. Therefore, it is not a significant energy action, and, 
accordingly, DOE has not prepared a Statement of Energy Effects.

L. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the 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-66-2011, ``IES Approved 
Method Electrical and Photometric Measurements of Single-Ended Compact 
Fluorescent Lamps'' and IES LM-79-2008, ``IES Approved Method 
Electrical and Photometric Measurements of Solid-State Lighting 
Products.'' 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 <a href="/cdn-cgi/l/email-protection#0c4e7e6962686d2249687b6d7e687f4c696922686369226b637a"><span class="__cf_email__" data-cfemail="531121363d37327d163724322137201336367d373c367d343c25">[email protected]</span></a>. 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, http://www1.eere.energy.gov/buildings/appliance_standards/rulemaking.aspx/ruleid/66. 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 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.

[[Page 64700]]

C. Conduct of the Public Meeting

    Please note that foreign nationals participating in the public 
meeting are subject to advance security screening procedures which 
require advance notice prior to attendance at the public meeting. If a 
foreign national wishes to participate in the public meeting, please 
inform DOE of this fact as soon as possible by contacting Ms. Brenda 
Edwards at (202) 586-2945 so that the necessary procedures can be 
completed. DOE requires visitors to have laptops and other devices, 
such as tablets, checked upon entry into the building. Please report to 
the visitor's desk to have devices checked before proceeding through 
security.
    Due to the REAL ID Act implemented by the Department of Homeland 
Security (DHS), there have been recent changes regarding ID 
requirements for individuals wishing to enter Federal buildings from 
specific states and U.S. territories. Driver's licenses from the 
following states or territory will not be accepted for building entry 
and one of the alternate forms of ID listed below will be required.
    DHS has determined that regular driver's licenses (and ID cards) 
from the following jurisdictions are not acceptable for entry into DOE 
facilities: Alaska, American Samoa, Arizona, Louisiana, Maine, 
Massachusetts, Minnesota, New York, Oklahoma, and Washington.
    Acceptable alternate forms of Photo-ID include: U.S. Passport or 
Passport Card; an Enhanced Driver's License or Enhanced ID-Card issued 
by the states of Minnesota, New York or Washington (Enhanced licenses 
issued by these states are clearly marked Enhanced or Enhanced Driver's 
License); a military ID or other Federal government issued Photo-ID 
card.
    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. 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 of the above procedures that 
may be needed for the proper conduct of the public meeting.
    A transcript of the public meeting will be included in the docket, 
which can be viewed as described in the Docket section at the beginning 
of this notice. In addition, any person may buy a copy of the 
transcript from the transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule 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 regulations.gov. The regulations.gov Web 
page will require you to provide your name and contact information. 
Your contact information will be viewable to DOE Building Technologies 
staff only. Your contact information will not be publicly viewable 
except for your first and last names, organization name (if any), and 
submitter representative name (if any). If your comment is not 
processed properly because of technical difficulties, DOE will use this 
information to contact you. If DOE cannot read your comment due to 
technical difficulties and cannot contact you for clarification, DOE 
may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
If you do not want your personal contact information to be publicly 
viewable, do not include it in your comment or any accompanying 
documents. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to regulations.gov information for which disclosure 
is restricted by statute, such as trade secrets and confidential 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (CBI)). Comments submitted through 
regulations.gov cannot be claimed as CBI. Comments received through the 
Web site will waive any CBI claims for the information submitted. For 
information on submitting CBI, see the Confidential Business 
Information section.
    DOE processes submissions made through regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email, hand delivery, or mail. Comments and 
documents submitted via email, hand delivery, or mail also will be 
posted to regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information on a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery, please provide all items on a CD, if feasible. It is not 
necessary to submit printed copies. No facsimiles (faxes) will be 
accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English, and free of any defects or 
viruses. Documents should not contain special characters or

[[Page 64701]]

any form of encryption and, if possible, they should carry the 
electronic signature of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. According to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery two well-marked copies: One copy 
of the document marked confidential including all the information 
believed to be confidential, and one copy of the document marked non-
confidential with the information believed to be confidential deleted. 
Submit these documents via email or on a CD, if feasible. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

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 the proposed changes for existing test 
procedures for CFLKs packaged with medium screw base lamps.
    2. DOE requests comments on the proposed changes for existing test 
procedures for CFLKs packaged with pin-based fluorescent lamps.
    3. DOE requests comment on replacing references to ENERGY STAR 
documents with the specific requirements from the ENERGY STAR documents 
referenced in CFLK energy conservation standards, codified in 10 CFR 
430.32(s)
    4. DOE requests comment on its withdrawal of current guidance on 
accent lighting in CFLKs and proposal to consider all lighting packaged 
with all CFLKs to be subject to energy conservation requirements.
    5. DOE requests comments on its proposal to use lamp efficacy when 
technically feasible and otherwise luminaire efficacy to determine the 
efficiency of CFLKs.
    6. DOE requests comment on its proposal to measure luminaire 
efficacy for CFLKs with integrated SSL circuitry and to measure lamp 
efficacy for all other types of CFLKs.
    7. DOE requests comment on its assessment that it is technically 
infeasible to measure the lamp efficacy of CFLKs with integrated SSL 
circuitry either because it would require destructive disassembly of 
the CFLK or measurement of consumer replaceable light source and 
driver, which would not result in valid representations of the light 
source efficacy.
    8. DOE requests comment on its approach to testing CFLKs that have 
both consumer replaceable lamps and integrated SSL circuitry.
    9. DOE requests comment on its approach to addressing standby power 
consumption in CFLKs.
    10. DOE invites interested parties to comment on the number of 
small business manufacturers of CFLKs.

VI. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

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

10 CFR Part 430

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

    Issued in Washington, DC, on October 27, 2014.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, 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, Code of Federal 
Regulations as set forth below:

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

0
1. The authority citation for part 429 continues to read as follows:

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

0
2. Section 429.33 is amended by revising paragraph (a) to read as 
follows:


Sec.  429.33  Ceiling fan light kits.

    (a) Sampling plan for selection of units for testing.
    (1) The requirements of Sec.  429.11 are applicable to ceiling fan 
light kits, except that, for ceiling fan light kits subject to a design 
standard, each unit must meet the design standard; and
    (2) For each basic model of ceiling fan light kit, the following 
requirements are applicable for compliance with the January 1, 2007 
energy conservation standards:
    (i) For ceiling fan light kits with medium screw base sockets that 
are packaged with compact fluorescent lamps, the represented values of 
each basic model of lamp packaged with the ceiling fan light kit shall 
be determined in accordance with Sec.  429.35.
    (ii) For ceiling fan light kits with medium screw base sockets that 
are packaged with integrated light-emitting diode lamps, the 
represented values of each basic model of lamp packaged with the 
ceiling fan light kit shall be determined in accordance with Sec.  
429.56 [proposed at 79 FR 36242 (June 26, 2014)].
    (iii) For ceiling fan light kits with pin-based sockets that are 
packaged with fluorescent lamps, the represented values shall be 
determined in accordance with the sampling and statistical requirements 
in Sec.  429.35.
    (iv) For ceiling fan light kits with medium screw base sockets that 
are packaged with incandescent lamps, the represented values of each 
basic model of lamp packaged with the ceiling fan light kit shall be 
determined in accordance with Sec.  429.27.
    (v) For ceiling fan light kits with sockets or packaged with lamps 
other than those described in paragraph

[[Page 64702]]

(a)(2)(i), (ii), (iii), and (iv) of this section, each unit must comply 
with the applicable design standard in Sec.  430.32(s)(4).
    (3) For each basic model of ceiling fan light kit, the following 
requirements are applicable for compliance with amended energy 
conservation standards, if established:
    (i) For ceiling fan light kits packaged with compact fluorescent 
lamps, the represented values of each basic model of lamp shall be 
determined in accordance with Sec.  429.35.
    (ii) For ceiling fan light kits packaged with general service 
fluorescent lamps, the represented values of each basic model of lamp 
shall be determined in accordance with Sec.  429.27.
    (iii) For ceiling fan light kits packaged with incandescent lamps, 
the represented values of each basic model of lamp shall be determined 
in accordance with Sec.  429.27.
    (iv) For ceiling fan light kits packaged with integrated LED lamps, 
the represented values of each basic model of lamp shall be determined 
in accordance with Sec.  429.56.
    (v) For ceiling fan light kits packaged with other fluorescent 
lamps (not compact fluorescent lamps or general service fluorescent 
lamps), the represented values of each basic model of lamp shall be 
determined in accordance with the sampling and statistical requirements 
in Sec.  429.35.
    (vi) For ceiling fan light kits packaged with other SSL lamps (not 
integrated LED lamps), the represented values of each basic model of 
lamp shall be determined in accordance with the sampling and 
statistical requirements in Sec.  429.56.
    (vii) For each basic model of ceiling fan light kit with integrated 
SSL circuitry, a sample of sufficient size shall be randomly selected 
and tested to ensure that any represented value of the energy 
efficiency or other measure of energy consumption of a basic model for 
which consumers would favor higher values shall be less than or equal 
to the lower of:


A. The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TP31OC14.072


and, x is the sample mean; n is the number of samples; and 
x<INF>i</INF> is the i<SUP>th</SUP> sample; Or,

B. The lower 95 percent confidence limit (LCL) of the true mean divided 
by 0.90, where:
[GRAPHIC] [TIFF OMITTED] TP31OC14.073


And x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t<INF>0.95</INF> is the t statistic for a 95% 
one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix A to subpart B).
* * * * *

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

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

0
4. Section 430.3 is amended by:
0
a. Removing paragraph (l)(2);
0
b. Redesignating (l)(3), (l)(4) and (l)(5) as (l)(2), (l)(3) and 
(l)(4);
0
c. Amending paragraph (n)(2) by removing ``and appendix R to subpart 
B'' and adding in its place, ``and appendices R, V and V1 of subpart 
B''; and
0
d. Adding new paragraphs (n)(8) and (n)(9)
0
e. Removing (t)(1); and
0
f. Redesignating (t)(2) as (t)(1) and reserving paragraph (t)(2).
    The additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (n) * * *
    (8) IES LM-66-11, (``IES LM-66''), IES Approved Method for the 
Electrical and Photometric Measurement of Single-Ended Compact 
Fluorescent Lamps, approved April 11, 2011; IBR approved for appendix V 
to subpart B.
    (9) IES LM-79-08, (``IES LM-79''), IES Approved Method for the 
Electrical and Photometric Measurement of Solid-State Lighting 
Products, approved December 31, 2007; IBR approved for appendix V1 to 
subpart B.
* * * * *
0
5. Section 430.23 is amended by revising paragraph (x) to read as 
follows:


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

* * * * *
    (x) Ceiling fan light kits.
    (1) For each ceiling fan light kit that is required to comply with 
the energy conservation standards as of January 1, 2007:
    (i) For a ceiling fan light kit with medium screw base sockets that 
is packaged with compact fluorescent lamps, measure lamp efficacy, 
lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of 
lifetime, rapid cycle stress test, and time to failure in accordance 
with paragraph (y) of this section.
    (ii) For a ceiling fan light kit with medium screw base sockets 
that is packaged with integrated LED lamps, measure lamp efficacy in 
accordance with paragraph (dd) of this section.
    (iii) For a ceiling fan light kit with pin-based sockets that is 
packaged with fluorescent lamps, measure system efficacy in accordance 
with section 4 of appendix V of this subpart. Express system efficacy 
in lumens per watt and round to the nearest tenth of a lumen per watt.
    (iv) For a ceiling fan light kit with medium screw base sockets 
that is packaged with incandescent lamps, measure lamp efficacy in 
accordance with paragraph (r) of this section.
    (2) For each ceiling fan light kit that is required to comply with 
amended energy conservation standards, if established:
    (i) For a ceiling fan light kit packaged with compact fluorescent 
lamps, measure lamp efficacy, lumen maintenance at 1,000 hours, lumen 
maintenance at 40 percent of lifetime, rapid cycle stress test, and 
time to failure in accordance with paragraph (y) of this section.
    (ii) For a ceiling fan light kit packaged with general service 
fluorescent lamps, measure lamp efficacy in accordance with paragraph 
(r) of this section.
    (iii) For a ceiling fan light kit packaged with incandescent lamps, 
measure lamp efficacy in accordance with paragraph (r) of this section.
    (iv) For a ceiling fan light kit packaged with integrated LED 
lamps, measure lamp efficacy in accordance with paragraph (dd) of this 
section.
    (v) For a ceiling fan light kit packaged with other fluorescent 
lamps (not compact fluorescent lamps or general service fluorescent 
lamps), packaged with other SSL lamps (not integrated LED lamps) or 
with integrated SSL circuitry, measure efficacy in accordance with 
section 3 of appendix V1 of this subpart. Express each result in lumens 
per watt and round to the nearest tenth of a lumen per watt.
* * * * *
0
6. Appendix V to Subpart B of Part 430 is revised to read as follows:

Appendix V to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Ceiling Fan Light Kits With Pin-Based Sockets 
for Fluorescent Lamps

    After [DATE 30 DAYS AFTER PUBLICATION OF THE FINAL RULE IN THE 
FEDERAL REGISTER] and prior to [DATE 180 DAYS AFTER PUBLICATION OF

[[Page 64703]]

THE FINAL RULE IN THE FEDERAL REGISTER], manufacturers must make any 
representations with respect to the energy use or efficiency of 
ceiling fan light kits with pin-based sockets for fluorescent lamps 
in accordance with the results of testing pursuant to this Appendix 
V or the procedures in Appendix V as it appeared at 10 CFR part 430, 
subpart B, Appendix V, in the 10 CFR parts 200 to 499 edition 
revised as of January 1, 2014. After [DATE 180 DAYS AFTER DATE OF 
PUBLICATION OF THE FINAL RULE], manufacturers must make any 
representations with respect to energy use or efficiency of ceiling 
fan light kits with pin-based sockets for fluorescent lamps in 
accordance with the results of testing pursuant to this appendix to 
demonstrate compliance with the energy conservation standards at 10 
CFR 430.32(s)(3).
    Alternatively, manufacturers may make representations based on 
testing in accordance with appendix V1, provided that such 
representations demonstrate compliance with the amended energy 
conservation standards. Manufacturers must make any representations 
with respect to energy use or efficiency in accordance with 
whichever version is selected for testing.

1. Scope:

    This appendix contains test requirements to measure the energy 
performance of ceiling fan light kits (CFLKs) with pin-based sockets 
that are packaged with fluorescent lamps.

2. Definitions

    2.1. Input power means the actual total power used by all 
lamp(s) and ballast(s) of the CFLK during operation, expressed in 
watts (W) and measured using the lamp and ballast packaged with the 
CFLK.
    2.2. Lamp ballast platform means a pairing of one ballast with 
one or more lamps that can operate simultaneously on that ballast. 
Each unique combination of manufacturer, basic model numbers of the 
ballast and lamp(s), and the quantity of lamps that operate on the 
ballast, corresponds to a unique platform.
    2.3. Lamp lumens means a measurement of luminous flux measured 
using the lamps and ballasts shipped with the CFLK, expressed in 
lumens.
    2.4. System efficacy means the ratio of measured lamp lumens to 
measured input power, expressed in lumens per watt, and is 
determined for each unique lamp ballast platform packaged with the 
CFLK.

3. Test Apparatus and General Instructions:

    (a) The test apparatus and instruction for testing pin-based 
fluorescent lamps packaged with ceiling fan light kits that have 
pin-based sockets must conform to the following requirements:

----------------------------------------------------------------------------------------------------------------
                                                                             and be tested on the lamp ballast
    Any lamp satisfying this       must conform to the requirements of:     platform packaged with the CFLK, as
          description:                                                                  allowed in:
----------------------------------------------------------------------------------------------------------------
Compact fluorescent lamp........  sections 4.0-11.0 of IES LM-66-11       section 7.0 of IES LM[dash]66[dash]11
                                   (Incorporated by reference, see Sec.    (incorporated by reference, see Sec.
                                    430.3).                                 430.3).
Any other fluorescent lamp......  sections 3.0--6.0 of IES LM-9-09        section 5.4 of IES LM-9-09
                                   (Incorporated by reference, see Sec.    (incorporated by reference, see Sec.
                                    430.3).                                 430.3).
----------------------------------------------------------------------------------------------------------------

4. Test Measurement and Calculations:

    Measure system efficacy as follows and express the result in 
lumens per watt:

 
----------------------------------------------------------------------------------------------------------------
                  Lamp type                                                 Method
----------------------------------------------------------------------------------------------------------------
Compact fluorescent lamp....................  Measure system efficacy according to IES LM-66-11 (incorporated by
                                               reference; see Sec.   430.3). Use of a goniophotometer is not
                                               permitted.
Any other fluorescent lamp..................  Measure system efficacy according to IES LM-9-09 (incorporated by
                                               reference; see Sec.   430.3). Use of a goniophotometer is not
                                               permitted.
----------------------------------------------------------------------------------------------------------------

5. Rounding

    Round system efficacy for the individual test unit to the 
nearest tenth of a lumen per watt.
0
7. Appendix V1 is added to Subpart B of Part 430 to read as follows:

Appendix V1 to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Ceiling Fan Light Kits Packaged With Other 
Fluorescent Lamps (Not Compact Fluorescent Lamps or General Service 
Fluorescent Lamps), Packaged With Other SSL Lamps (Not Integrated LED 
Lamps), or With Integrated SSLCircuitry

    Note: Any representations about the energy use or efficiency of 
any ceiling fan light kit packaged with other fluorescent lamps (not 
compact fluorescent lamps or general service fluorescent lamps), 
packaged with other SSL lamps (not integrated LED lamps), or with 
integrated SSL circuitry made on or after the compliance date of any 
amended energy conservation standards must be made in accordance 
with the results of testing pursuant to this appendix.

1. Scope

    This appendix establishes the test requirements to measure the 
energy efficiency of all ceiling fan light kits (CFLKs) packaged 
with other fluorescent lamps (not compact fluorescent lamps or 
general service fluorescent lamps), packaged with other SSL lamps 
(not integrated LED lamps), or with integrated SSL circuitry. 
Measure all lighting associated with these CFLKs according to the 
test procedures in this appendix.

2. Definitions

    2.1. Other (non-CFL and non-GSFL) fluorescent lamp means a low-
pressure mercury electric-discharge lamp in which a fluorescing 
coating transforms some of the ultraviolet energy generated by the 
mercury discharge into light, including but not limited to circline 
fluorescent lamps, and excluding any compact fluorescent lamp and 
any general service fluorescent lamp.
    2.2. Other SSL products means solid-state lighting lamps that 
are not integrated LED lamps or CFLKs with integrated SSL circuitry, 
as defined in this section. ``Other SSL products'' includes 
integrated LED lamps with non-ANSI-standard bases (e.g., Zhaga 
interfaces).
    2.3. CFLK with integrated SSL circuitry means a CFLK that has 
light sources, drivers, or intermediate circuitry, such as wiring 
between a replaceable driver and a replaceable light source, that 
are not consumer replaceable.
    2.4. Consumer replaceable means items such as lamps or ballasts 
which a typical consumer could replace with relative ease, without 
the cutting of wires, use of a soldering iron, or damage to or 
destruction of the CFLK.
    2.5. Solid-State Lighting (SSL) means technology where light is 
emitted from a solid object--a block of semiconductor--rather than 
from a filament or plasma, as in the case of incandescent and 
fluorescent lighting. This includes inorganic light-emitting diodes 
(LEDs) and organic light-emitting diodes (OLEDs).

3. Test Conditions and Measurements

    For any CFLK that utilizes consumer replaceable lamps, measure 
the lamp efficacy of each basic model of lamp packaged with the 
CFLK. For any CFLK only with integrated

[[Page 64704]]

SSL circuitry, measure the luminaire efficacy of the CFLK. For any 
CFLK that includes both consumer replaceable lamps and integrated 
SSL circuitry, measure both the lamp efficacy of each basic model of 
lamp packaged with the CFLK and the luminaire efficacy of the CFLK 
with all consumer replaceable lamps removed. Measurements should be 
taken at full light output. Use of a goniophotometer is prohibited. 
For each test, use the test procedures in the table below.

 
----------------------------------------------------------------------------------------------------------------
                                                 Lamp or luminaire efficacy
            Lighting technology                           measured                  Referenced test procedure
----------------------------------------------------------------------------------------------------------------
Other (non-CFL and non-GSFL) fluorescent     Lamp Efficacy....................  IES LM-9-09.
 lamps.
Other SSL products.........................  Lamp Efficacy....................  IES LM-79-08.
CFLKs with integrated SSL circuitry........  Luminaire Efficacy...............  IES LM-79-08.
----------------------------------------------------------------------------------------------------------------

4. Rounding

    Round lamp efficacy and/or luminaire efficacy for the individual 
test unit to the nearest tenth of a lumen per watt.

0
6. Section 430.32 is amended by revising paragraphs (s)(2) and (s)(3) 
to read as follows:


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

* * * * *
    (s) * * *
* * * * *
    (2)(i) Ceiling fan light kits with medium screw base sockets 
manufactured on or after January 1, 2007, must be packaged with screw-
based lamps to fill all screw base sockets.
    (ii) The screw-based lamps required under paragraph (2)(i) of this 
section must--
    (A) Be compact fluorescent lamps that meet or exceed the following 
requirements or be as described in paragraph (2)(ii)(B) of this 
section:

 
----------------------------------------------------------------------------------------------------------------
                   Factor                                                Requirements
----------------------------------------------------------------------------------------------------------------
Rated Wattage (Watts) & Configuration \1\...  Minimum Initial Lamp Efficacy (lumens per watt) \2\
Bare Lamp:                                    ..................................................................
    Lamp Power <15..........................  45.0
    Lamp Power >=15.........................  60.0
Covered Lamp (no reflector):                  ..................................................................
    Lamp Power <15..........................  40.0
    15<=Lamp Power <19......................  48.0
    19<=Lamp Power <25......................  50.0
    Lamp Power >=25.........................  55.0
With Reflector:                               ..................................................................
    Lamp Power <20..........................  33.0
    Lamp Power >=20.........................  40.0
Lumen Maintenance at 1,000 hours............  >= 90.0%
Lumen Maintenance at 40 Percent of Lifetime.  >= 80.0%
Rapid Cycle Stress Test.....................  At least 5 lamps must meet or exceed the minimum number of cycles.
Lifetime....................................  >= 6,000 hours for the sample of lamps.
----------------------------------------------------------------------------------------------------------------
\1\ Use rated wattage to determine the appropriate minimum efficacy requirements in this table.
\2\ Calculate efficacy using measured wattage, rather than rated wattage, and measured lumens to determine
  product compliance. Wattage and lumen values indicated on products or packaging may not be used in
  calculation.

    (B) Light sources other than compact fluorescent lamps that have 
lumens per watt performance at least equivalent to comparably 
configured compact fluorescent lamps meeting the energy conservation 
standards in paragraph (2)(ii)(A) of this section.
    (3) Ceiling fan light kits manufactured on or after January 1, 
2007, with pin-based sockets for fluorescent lamps must use an 
electronic ballast and be packaged with lamps to fill all sockets. 
These lamp ballast platforms must meet the following requirements:

 
------------------------------------------------------------------------
               Factor                            Requirement
------------------------------------------------------------------------
System Efficacy Per Lamp Ballast     >= 50 lm/w for all lamp types below
 Platform in Lumens Per Watt (lm/w).  30 total listed lamp watts.
                                     >= 60 lm/w for all lamp types that
                                      are <= 24 inches and >= 30 total
                                      listed lamp watts.
                                     >= 70 lm/w for all lamp types that
                                      are > 24 inches and >= 30 total
                                      listed lamp watts.
------------------------------------------------------------------------


[[Page 64705]]

* * * * *
[FR Doc. 2014-25935 Filed 10-30-14; 8:45 am]
BILLING CODE 6450-01-P


</pre><script data-cfasync="false" src="/cdn-cgi/scripts/5c5dd728/cloudflare-static/email-decode.min.js"></script></body>
</html>