[Federal Register Volume 77, Number 18 (Friday, January 27, 2012)]
[Rules and Regulations]
[Pages 4203-4217]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-1681]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

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


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

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

ACTION: Final rule.

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SUMMARY: On September 14, 2011, the U.S. Department of Energy (DOE) 
issued a notice of proposed rulemaking (NOPR) to amend the test 
procedures for general service fluorescent lamps (GSFLs), general 
service incandescent lamps (GSILs), and incandescent reflector lamps 
(IRLs). That proposed rulemaking serves as the basis for today's 
action. DOE is amending its test procedures for GSFLs and GSILs 
established under the Energy Policy and Conservation Act (EPCA). DOE is 
not amending in this final rule the existing test procedure for IRLs 
established under EPCA. For GSFLs and GSILs, DOE is updating several 
references to the industry standards referenced in DOE's test 
procedures. DOE is also establishing a lamp lifetime test procedure for 
GSILs. These test procedures also provide the protocols upon which the 
Federal Trade Commission bases its energy guide label for these 
products. DOE's review of the GSFL, GSIL, and IRL test procedures 
fulfills the EPCA requirement that DOE review test procedures for all 
covered products at least once every seven years.

DATES: The effective date of this rule is February 27, 2012. The final 
rule changes will be mandatory for product testing starting July 25, 
2012.
    The incorporation by reference of certain publications listed in 
this rule is approved by the Director of the Federal Register on 
February 27, 2012.

ADDRESSES: The docket is available for review at regulations.gov, 
including Federal Register notices, framework documents, public meeting 
attendee lists and transcripts, comments, and other supporting 
documents/materials. All documents in the docket are listed in the 
regulations.gov index. However, not all documents listed in the index

[[Page 4204]]

may be publicly available, such as information that is exempt from 
public disclosure.
    A link to the docket web page can be found at: www.regulations.gov. 
This web page will contain a link to the docket for this notice on the 
regulations.gov site. The regulations.gov web page will contain simple 
instructions on how to access all documents, including public comments, 
in the docket.
    For further information on how to review the docket, contact Ms. 
Brenda Edwards at (202) 586-2945 or by email: 
[email protected].

FOR FURTHER INFORMATION CONTACT: Dr. Tina Kaarsberg, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-2J, 1000 Independence Avenue SW., Washington, 
DC, 20585-0121. Telephone: (202) 287-1393. Email: 
[email protected].
    Mr. Ari Altman, U.S. Department of Energy, Office of the General 
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC, 20585-
0121. Telephone: (202) 287-6307. Email: mailto: [email protected].

SUPPLEMENTARY INFORMATION:
    This final rule incorporates by reference into Part 430 the 
following industry standard:
    IESNA LM-49-01 (``IESNA LM-49''), IESNA Approved Method for Life 
Testing of Incandescent Filament Lamps, approved December 1, 2001.
    Copies of IES standards can be purchased from the Illuminating 
Engineering Society (IES), 120 Wall Street, Floor 17, New York, NY 
10005-4001, (212) 248-5000, or http://www.ies.org/store/.
    You can also view copies of this standard at the U.S. Department of 
Energy, Building Technologies Program, 950 L'Enfant Plaza SW., 6th 
Floor, Washington, DC, 20024, (202) 586-2945, between 9 a.m. and 4 
p.m., Monday through Friday, except Federal holidays. Please call Ms. 
Brenda Edwards at the above telephone number for additional 
information.

Table of Contents

I. Authority and Background
II. Summary of the Final Rule
III. Discussion
    A. Updates to Industry Standards Incorporated by Reference
    1. ANSI C78.81-2010 for General Service Fluorescent Lamps
    2. IES LM-9-2009 for General Service Fluorescent Lamps
    3. IES LM-45-2009 for General Service Incandescent Lamps
    4. Test Procedures for Incandescent Reflector Lamps
    5. Summary of Changes Based on Updated Industry Standards
    B. General Service Incandescent Lamp Lifetime Testing
    1. Authority To Establish Lifetime Test Procedure
    2. Adoption of IESNA LM-49-2001
    3. Accelerated Lifetime Testing
    4. Measuring Minimum Rated Lifetime
    5. ``Rated Lifetime'' Definition and Sample Size
    6. Certification Requirements
    7. Laboratory Accreditation
    8. GSIL Lifetime Testing Costs
    9. Summary of GSIL Lifetime Testing
    C. Effective Date for the 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
    M. Congressional Notification
    N. Approval of the Office of the Secretary

I. Authority and Background

    Title III of the Energy Policy and Conservation Act (42 U.S.C. 
6291, et seq.; ``EPCA'' or, ``the Act'') sets forth a variety of 
provisions designed to improve energy efficiency. (All references to 
EPCA refer to the statute as amended through the Energy Independence 
and Security Act of 2007 (EISA 2007), Public Law 110-140 (Dec. 19, 
2007)). Part B of title III, which for editorial reasons was 
redesignated as Part A upon incorporation into the U.S. Code (42 U.S.C. 
6291-6309), establishes the ``Energy Conservation Program for Consumer 
Products Other Than Automobiles.'' These include general service 
fluorescent lamps (GSFLs), general service incandescent lamps (GSILs), 
and incandescent reflector lamps (IRLs), the subject of today's notice. 
(42 U.S.C. 6292(a)(14) and 6295(i))
    Under EPCA, this program consists essentially of four parts: (1) 
Testing, (2) labeling, (3) Federal energy conservation standards, and 
(4) certification and enforcement procedures. The testing requirements 
consist of test procedures that manufacturers of covered products must 
use (1) as the basis for certifying to DOE that their products comply 
with the applicable energy conservation standards adopted under EPCA, 
and (2) for making representations about the efficiency of those 
products, including on the Federal Trade Commission's EnergyGuide 
label. Similarly, DOE must use these test requirements to determine 
whether the products comply with any relevant standards promulgated 
under EPCA. However, to ensure that DOE is in full compliance with 
Section 315 of Public Law 112-74, DOE will not finalize in this 
document provisions related to certifying lamps subject to that 
provision of law. DOE may finalize those procedures at an appropriate 
time in the future.
    Relevant to this rulemaking, EPCA, as codified, directs DOE to 
prescribe test procedures for GSFLs and IRLs, taking into consideration 
the applicable standards of the Illuminating Engineering Society of 
North America \1\ (IESNA) or the American National Standards Institute 
\2\ (ANSI). (42 U.S.C. 6293(b)(6))
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    \1\ Illuminating Engineering Society of North America (IESNA) 
standards can be purchased on the IESNA Web site at: http://www.ies.org/store/.
    \2\ American National Standards Institute (ANSI) standards can 
be purchased on the ANSI Web site at: http://www.webstore.ansi.org/.
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    In addition, on December 19, 2007, the Energy Independence and 
Security Act of 2007 (EISA 2007), Public Law 110-140, was enacted. 
Section 321 of EISA 2007 amended EPCA, in relevant part, to prescribe 
energy conservation standards for GSILs that included maximum rated 
wattage and minimum rated lifetime requirements for several different 
lumen ranges; these standards will be phased in between 2012 and 2014. 
(42 U.S.C. 6295(i)) Section 302 of EISA 2007 also amended EPCA to 
require DOE to review test procedures for all covered products at least 
once every seven years. DOE must either amend the test procedures or 
publish notice in the Federal Register of any determination not to 
amend a test procedure. (42 U.S.C. 6293(b)(1)(A))
    In order to (1) fulfill the statutory requirements for periodic 
review of test procedures and (2) create for the first time a lifetime 
test procedure for GSILs, consistent with the minimum rated lifetime 
requirements set forth in EPCA, DOE published a notice of proposed 
rulemaking (NOPR) in the Federal Register on September 14, 2011. DOE 
also invited comment on all aspects of the existing test procedures for 
GSFLs, GSILs, and IRLs that appear at Title 10 of the Code of Federal 
Regulations (CFR): 10 CFR 429.27 (``General service fluorescent lamps, 
general service incandescent lamps, and incandescent reflector 
lamps''), 10 CFR 430.2 (``Definitions''), 10 CFR 430.3

[[Page 4205]]

(``Materials incorporated by reference''), 10 CFR 430.23 (``Test 
procedures for the measurement of energy and water consumption''), 10 
CFR 430.25 (``Laboratory Accreditation Program''), and 10 CFR part 430 
subpart B, Appendix R (``Uniform Test Method for Measuring Average Lamp 
Efficacy (LE), Color Rendering Index (CRI), and Correlated Color 
Temperature (CCT) of Electric Lamps''). 76 FR 56661, 56662 (September 
14, 2011). DOE subsequently held a public meeting on October 4, 2011 to 
discuss the proposals in the NOPR and invited written comments through 
November 28, 2011.
    To address prior EPCA requirements for GSFLs, GSILs, and IRLs, DOE 
has previously undertaken a number of rulemaking actions pertaining to 
the test procedures for these products. For further details refer to 
the NOPR. 76 FR 56661, 56662-63. Test procedures for GSFLs, GSILs, and 
IRLs are specified in various sections of the CFR and are based on the 
1997 and 2009 final rules addressing test procedures for fluorescent 
and incandescent lamps. 62 FR 29221 (May 29, 1997); 74 FR 31829 (July 
6, 2009); 74 FR 34080 (July 14, 2009). Prior to this final rule, DOE 
had no test procedure for measuring GSIL lifetime. Calculations for 
lamp efficacy of GSFLs, GSILs, and IRLs and for color rendering index 
of GSFLs are discussed in 10 CFR 430.23, which references 10 CFR part 
430, subpart B, Appendix R. Appendix R specifies several IESNA and ANSI 
standards to use for test conditions and procedures. For GSFLs, it 
references measurement procedures set forth in IESNA LM-9-1999.\3\ 
Additionally, GSFLs are to be operated according to general procedures 
for taking electrical measurements described in ANSI C78.375-1997,\4\ 
and at the voltage and current conditions described in ANSI C78.81-2005 
(double-based lamps) \5\ or ANSI C78.901-2005 (single-based lamps),\6\ 
and using the reference ballast at input voltage specified by the 
reference circuit in ANSI C82.3-2002.\7\ Appendix R also notes that the 
prior measurement procedures for GSILs and IRLs are set forth in IESNA 
LM-45-2000 \8\ and IESNA LM-20-1994,\9\ respectively.
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    \3\ ``IESNA Approved Method for the Electrical and Photometric 
Measurements of Fluorescent Lamps'' (approved Dec. 4, 1999).
    \4\ ``American National Standard for Electric Lamps: Fluorescent 
Lamps-Guide for Electrical Measurements'' (approved Sept. 25, 1997).
    \5\ ``American National Standard for Electric Lamps Double-
Capped Fluorescent Lamps--Dimensional and Electrical 
Characteristics'' (approved August 11, 2005).
    \6\ ``American National Standard for Electric Lamps Double-
Capped Fluorescent Lamps--Dimensional and Electrical 
Characteristics'' (approved March 23, 2005).
    \7\ ``American National Standard for Lamp Ballasts--Reference 
Ballasts for Fluorescent Lamps'' (approved Sept. 4, 2002).
    \8\ ``IESNA Approved Method for Electrical and Photometric 
Measurements of General Service Incandescent Filament Lamps'' 
(approved May 8, 2000).
    \9\ ``IESNA Approved Method for Photometric Testing Of 
Reflector-Type Lamps'' (approved Dec. 3, 1994).
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General Test Procedure Rulemaking Process

    Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered products. EPCA provides that any test procedures prescribed or 
amended under this section shall be reasonably designed to produce test 
results which measure energy efficiency, energy use or estimated annual 
operating cost of a covered product during a representative average use 
cycle or period of use and shall not be unduly burdensome to conduct. 
(42 U.S.C. 6293(b)(3))
    In addition, if DOE determines that a test procedure amendment is 
warranted, it must publish proposed test procedures and offer the 
public an opportunity to present oral and written comments on them. (42 
U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test 
procedure, DOE must determine to what extent, if any, the proposed test 
procedure would alter the measured energy efficiency of any covered 
product as determined under the existing test procedure. (42 U.S.C. 
6293(e)(1)). If DOE determines that the amended test procedure would 
alter the measured efficiency of a covered product, DOE must amend the 
applicable energy conservation standard accordingly. (42 U.S.C. 
6293(e)(2))
    With respect to today's rulemaking, DOE has determined that none of 
the amendments it is adopting will change the measured efficacy of the 
GSFLs, GSILs, or IRLs when compared to the previously existing test 
procedures.

II. Summary of the Final Rule

    Today's rule amends DOE's test procedures for GSFLs and GSILs. The 
amendments achieve two objectives: (1) Update test procedures by 
incorporating certain lighting industry standards by reference in order 
to adopt current best practices and technological developments and (2) 
establish a new test procedure for determining GSIL rated lifetime, 
consistent with the minimum rated lifetime requirements in set forth in 
EPCA.
    Regarding the first objective, this final rule updates industry 
standards previously incorporated by reference to the latest versions 
of those documents. For GSFLs, DOE is updating dimensional and 
electrical characteristic-related references to ANSI C78.81-2003 as 
well as ANSI C78.81-2005 to ANSI C78.81-2010,\10\ and references to 
IESNA LM-9-1999 \11\ to IES LM-9-2009 \12\ for measuring electrical and 
photometric attributes. For GSILs, DOE is updating references of IESNA 
LM-45-2000 to IES LM-45-2009 \13\ for measuring electrical and 
photometric attributes. These changes will not, in DOE's view, 
significantly alter reported lamp efficacy values.\14\
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    \10\ ``American National Standard for Electric Lamps--Double-
Capped Fluorescent Lamps--Dimensional and Electrical 
Characteristics'' (approved Jan. 14, 2010).
    \11\ ``IESNA Approved Method for the Electrical and Photometric 
Measurements of Fluorescent Lamps'' (approved Dec. 4, 1999).
    \12\ ``IES Approved Method for the Electrical and Photometric 
Measurement of Fluorescent Lamps'' (approved Jan. 31, 2009).
    \13\ ``IES Approved Method for the Electrical and Photometric 
Measurement of General Service Incandescent Filament Lamps'' 
(approved Dec. 14, 2009).
    \14\ In this document, changes in efficacy that are described as 
``not significant'' are considered to be within measurement error or 
variation. DOE has concluded that these amendments do not affect 
reported efficacy values to the extent that would warrant 
modifications to energy conservation standards.
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    Regarding the second objective, today's final rule establishes a 
GSIL test procedure for lifetime testing. As noted above, EISA 2007 
amended EPCA, in part, by establishing energy conservation standards 
for GSILs which include for the first time minimum rated lifetime 
requirements that are to be phased in between January 2012 and January 
2014. In order to meet these requirements, this final rule establishes 
a test procedure for GSIL lifetime that includes incorporation by 
reference of the industry standard ``IESNA Approved Method for Life 
Testing of Incandescent Filament Lamps,'' IESNA LM-49-2001; \15\ a 
definition for rated lifetime of GSILs; a sample size of 21 lamps for 
GSIL lifetime testing; and requirements for laboratory accreditation.
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    \15\ ``IESNA Approved Method for Life Testing of Incandescent 
Filament Lamps'' (approved Dec. 1, 2001).
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    As indicated in greater detail below, these amendments and 
additions apply to the procedures in 10 CFR part 430, subpart B, 
Appendix R, and also to sections 10 CFR 429.27, 10 CFR 430.2, 10 CFR 
430.23, 10 CFR 430.25. The changes do not affect measured efficacy of 
GSFLs, GSILs, and IRLs. The amendments to DOE's test procedures in this 
final rule will take effect 30 days after publication of this final 
rule.

[[Page 4206]]

III. Discussion

A. Updates to Industry Standards Incorporated by Reference

    After reviewing the current industry best practices and 
technological developments, DOE identified and proposed appropriate 
updates for the GSFL and GSIL test procedures, but no updates for the 
IRL test procedure. DOE proposed the following changes to the existing 
test procedures for GSFLs: (1) Updating references of ANSI C78.81-2003 
and ANSI C78.81-2005 to ANSI C78.81-2010, which provides dimensional 
and electrical characteristics of fluorescent lamps; and, (2) updating 
references of IESNA LM-9-1999 to IES LM-9-2009 for measuring the 
electrical and photometric attributes of fluorescent lamps. In 
addition, DOE proposed modifying the existing test procedures for GSILs 
by updating references of IESNA LM-45-2000 to IES LM-45-2009 for 
measuring their electrical and photometric attributes of incandescent 
filament lamps.
    As DOE's GSFL, GSIL, and IRL test procedures are based mainly on 
references to industry standards, when possible, DOE test procedures 
should reference the latest versions of these standards in order to be 
aligned with industry standards and practices. Periodic updates to 
these industry standards generally account for changes in product lines 
and/or developments in test methodology and equipment. Therefore, in 
the NOPR analysis, DOE reviewed relevant industry standards and 
compared versions. DOE found that the latest versions of these 
standards will increase the precision of measurements and provide 
clarifications of existing test setup and methodology. DOE determined 
that these revisions to DOE's regulations would not alter measured 
energy efficiency nor result in a test procedure that is unduly 
burdensome to conduct. (42 U.S.C. 6293(e)(1), 42 U.S.C. 6293(b)(3))
    DOE received various comments on its proposed updates to those 
industry standards already incorporated by reference in DOE's test 
procedures. The sections below provide a brief summary of the key 
changes in the updated industry standards and DOE's responses to 
comments on these changes.
1. ANSI C78.81-2010 for General Service Fluorescent Lamps
    In the NOPR, DOE proposed updating all references to ANSI C78.81 in 
DOE's test procedures and definitions relating to GSFLs and fluorescent 
lamp ballasts from the 2003 and 2005 editions to the 2010 edition. ANSI 
C78.81 provides the dimensional and electrical specifications for 
fluorescent lamps. Adoption of the latest version of ANSI C78.81 will 
ensure that DOE test procedures reference updated lamp specifications.
    DOE concluded in the NOPR analysis that updating to the 2010 
version would not change the lamp specifications currently prescribed 
in DOE's test procedures. The main modification in the 2010 version is 
the addition of high-frequency and low-frequency lamp specifications 
for 25W, 28W, and 30W reduced-wattage 4-foot T8 medium bipin lamps. DOE 
requires testing GSFLs using low-frequency lamp specifications unless 
only high-frequency lamp specifications are available. The low-
frequency ballast specifications for reduced-wattage lamps specified in 
the 2010 version are identical to those prescribed in the DOE test 
procedures for 4-foot T8 medium pin lamps.\16\ DOE's test procedures 
also prescribe low-frequency lamp specifications in ANSI C78.81-2003 
for certain lamps, which are also identical to those specified in the 
2010 version. Therefore, in this final rule, DOE concludes that neither 
measured efficacy nor testing burden would be affected by updating the 
references to ANSI C78.81-2010 in DOE test procedures.
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    \16\ See section 4.1.2.1 of Appendix R for F40T12, F96T12, 
F96T12HO, F34T12, F96T12ES, F96T12HO/ES lamps.
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    The National Electrical Manufacturers Association (NEMA) commented 
that the low frequency reference ballast specifications included in 
ANSI C78.81 and C78.901 will be replaced with high frequency reference 
ballast specifications in the next revisions of these standards which 
are planned for publication in 2012. They added that as a result 
manufacturers will have to perform testing using low frequency 
reference ballasts for DOE certification and compliance reporting and 
high frequency reference ballasts for normative compliance using the 
updated standards. NEMA suggested coordinating the adoption of DOE's 
next test procedure with the updated ANSI standards in order to reduce 
dual testing burden. (NEMA, No. 8 at p. 2) \17\
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    \17\ A notation in the form ``NEMA, No. 29 at p. 2'' identifies 
a written comment that DOE has received and has included in the 
docket of this rulemaking. This particular notation refers to a 
comment: (1) Submitted by NEMA; (2) in document number 29 of the 
docket, and (3) on page 2 of that document.
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    Since the planned versions of ANSI C78.81-2010 and C78.901-2005 to 
which NEMA is referring were not available for DOE to assess and 
solicit comment on, DOE cannot reference these scheduled updated 
versions in this final rule. Therefore, because high-frequency testing 
specifications are still not yet available for all of DOE's covered 
fluorescent lamp types, DOE will maintain the requirement to test GSFLs 
using low-frequency reference lamp specifications unless only high-
frequency lamp specifications are available as stated above. Regarding 
the possibility that manufacturers may have to conduct dual testing 
(low-frequency testing for DOE compliance and high-frequency testing 
for normative compliance), DOE is continually monitoring the 
development of testing standards of GSFLs and will consider amendments 
to future test procedures including testing on high-frequency reference 
ballasts as necessary.
2. IES LM-9-2009 for General Service Fluorescent Lamps
    In the NOPR, DOE proposed updating references to IESNA LM-9-1999 
which specifies procedures for measuring the efficacy of GSFLs to the 
2009 version. DOE's review indicated that incorporating the 2009 
edition of IES LM-9 \18\ would align DOE's requirements with current 
industry standards; provide further clarification of the test 
procedure; and improve the test methodology and test instrumentation 
setup and specifications.
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    \18\ The 2009 version of the standard is labeled as IES instead 
of IESNA.
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    DOE identified the following four key updates to the 2009 edition 
of IES LM-9: (1) Additional information on conducting tests under high-
frequency conditions; (2) modification of the lamp stabilization 
method; (3) added specification of temperature and orientation for 
stabilization of T5 lamps; and (4) added specification of impedance 
\19\ thresholds for the multipurpose volt, amperes, and watts (VAW) 
meter and power source. (More detail on these updates can be found in 
the NOPR. 76 FR 56661, 56665-66.) In the NOPR, DOE concluded that these 
updates would not significantly affect lamp efficacy or pose a 
significant testing burden. DOE did not receive any comments regarding 
the impacts of specific updates in the 2009 version of IES LM-9. DOE 
did however receive comments from interested parties

[[Page 4207]]

regarding potential issues with accreditation to the 2009 version of 
IES LM-9 as well as a request for clarification on the added 
specifications for T5 lamps and the existing CCT reporting requirement. 
DOE is also providing further guidance on the lamp stabilization method 
in this final rule.
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    \19\ A measure of the total opposition to current flow in an 
alternating current (AC) circuit made up of resistance and 
reactance. ``Reactance'' is the opposition of a circuit element to a 
change of electric current or voltage, due to the element's 
capacitance or inductance. For a direct current (DC) circuit, the 
impedance is just the resistance.
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    NEMA, Osram Sylvania Inc. (OSI), and Philips Lighting (Philips) 
commented that many laboratories are not yet accredited to IES LM-9-
2009 and would not be able to use the test procedure for compliance 
testing by the effective date of June 2012. They further noted that it 
was unclear whether the National Volunteer Laboratory Accreditation 
Program (NVLAP) \20\ had begun accrediting to the updated IES version. 
(NEMA, No. 8 at p. 2; OSI, Public Meeting Transcript, No. 7 at p. 34; 
Philips, Public Meeting Transcript, No. 7 at pp. 34-35) ICF Consulting 
on behalf of Energy Star (ICF) noted that there are several accrediting 
bodies that are already accrediting to IES LM-9-2009. (ICF, Public 
Meeting Transcript, No. 7 at p. 35)
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    \20\ NVLAP is a program administered by the National Institute 
of Standards and Technology (NIST).
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    Testing for GSFLs, IRLs, and GSILs must be conducted by a 
laboratory accredited by NVLAP or by an accrediting organization 
recognized by NVLAP. (10 CFR 430.25) At the time this final rule was 
written, there were ten laboratories accredited to IES LM-9 by NVLAP of 
which five were accredited to the most recent 2009 version.\21\ DOE has 
therefore concluded that because several laboratories are already 
accredited to IES LM-9-2009, compliance with updated test procedures 
established in this final rule is achievable by June 2012.
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    \21\ Directory of Accredited Laboratories: Energy Efficient 
Lighting Products, http://ts.nist.gov/standards/scopes/eelit.htm.
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    The People's Republic of China (P.R. China) \22\ requested 
clarification on the orientation of T5 lamps during the seasoning 
process at 35 [deg]C. (P.R. China, No. 9 at p. 3) As stated in IES LM-
9-2009, T5 lamps are to be seasoned in the vertical direction in 25 
[deg]C ambient air so as to obtain stable photometric results. IES LM-
9-2009 also specifies that T5 lamps are to be measured horizontally, 
despite seasoning occurring in the vertical orientation.
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    \22\ Comment submitted by China WTO/TBT National Notification & 
Enquiry Center, Standard and Regulation Researching Center, AQSIQ, 
P.R. China.
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    NEMA also commented on an existing DOE GSFL test procedure 
requirement for reporting CCT. NEMA noted that ANSI C78.376 \23\ 
guidance recognizes that CCT varies within the allowed chromaticity 
tolerance ellipse \24\ for fluorescent lamps and therefore assigns such 
lamps six separate nominal color temperature ellipses \25\ and 
designations. NEMA commented that since fluorescent lamps' chromaticity 
varies with lifetime, manufacturers design lamps to remain within a 
designated ellipse. Given these considerations, NEMA requested further 
clarification on why DOE proposed a requirement to report CCT to the 
nearest 10 degrees. (NEMA, No. 8 at p. 5)
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    \23\ ``American National Standard for electric lamps: 
Specifications for Chromaticity of Fluorescent Lamps'' (approved 
Feb. 1, 2001).
    \24\ ANSI C78.376-2001 defines chromaticity tolerance by a 4 
step MacAdam ellipse which is shown in section 5 of the standard.
    \25\ The six separate nominal color temperature ellipses are 
defined in section 5 of ANSI C78.376-2001.
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    In the NOPR stage of the 2009 test procedure rule for GSFLs, IRLs, 
and GSILs, DOE proposed test procedures that required CCT to be rounded 
to the nearest unit (measured in kelvin (K)). In response to DOE's 
proposal, NEMA recommended rounding CCT to the nearest 10 degrees 
because rounding to the nearest degree demonstrates a false level of 
accuracy. DOE consulted with the National Institute of Standards and 
Technology (NIST) and agreed with NEMA's conclusion that distinguishing 
between single digits in CCT is not meaningful. Therefore, because all 
laboratories were able to measure CCT to three significant figures, DOE 
required that manufacturers round CCT to the nearest 10 degrees in the 
July 2009 Test Procedure final rule. 74 FR 31829 (July 6, 2009). DOE 
finds no reason to modify this requirement.
    Based on comments DOE received questioning whether or not the lamp 
stabilization method prescribed in IES LM-45-2009 was required, DOE is 
providing further clarification on the matter in this final rule (see 
section III.A.3). DOE is also providing this same clarification for the 
lamp stabilization method prescribed in IES LM-9-2009. The standard 
states that its prescribed stabilization method is strongly recommended 
but if not followed, the alternative methodology should be noted in the 
test report. Therefore, manufacturers should include in certification 
reports details of any variations from the lamp stabilization method 
prescribed in IES LM-9-2009.
3. IES LM-45-2009 for General Service Incandescent Lamps
    In the NOPR, DOE proposed updating the 2000 version of IESNA LM-45 
to the 2009 version. This new version specifies updated procedures for 
measuring GSIL efficacy. DOE's review indicated that incorporating the 
2009 edition of IES LM-45 \26\ would provide further clarification of 
the test procedure; and improve the test methodology and test 
instrumentation setup and specifications.
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    \26\ The 2009 version of the standard is labeled as IES instead 
of IESNA.
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    DOE identified the following five key updates in the 2009 edition 
of IES LM-45: (1) Modification of the lamp stabilization method; (2) 
modification of voltage and current regulation tolerances of the 
alternating current (AC) power source; (3) modification of instrument 
tolerance for AC voltage, current, and wattage; (4) establishment of 
impedance tolerances for instruments; and (5) establishment of a 
tolerance for the spectral response of the photo-detector. (More detail 
on these updates can be found in the NOPR. 76 FR 56661, 56666-67.) In 
the NOPR, DOE concluded that these updates will not significantly 
affect lamp efficacy or pose a significant testing burden. NEMA 
commented that it agreed with the incorporation of IES LM-45-2009. 
(NEMA, No. 8 at p. 2) DOE did, however, receive comments from 
interested parties regarding clarification on spectral match 
specifications and the lamp stabilization method.
    At the October 2011 public meeting, Northwest Energy Efficiency 
Alliance (NEEA) asked for further clarification on the requirement in 
IES LM-45-2009 that the spectral match between the photo-detector and 
the V([lambda]) function be within five percent. (NEEA, Public Meeting 
Transcript, No. 7 at p. 30) The V([lambda]) function or the photopic 
luminous efficiency function\27\ is the response curve of a standard 
human observer. It is the visual sensitivity of the human eye to light 
at different wavelengths. Photodetectors can only approximate the 
standard V([lambda]) response due to limitations in the manufacturing 
process. The parameter f1' describes the closeness of the spectral of 
the photodetector measurements and the V([lambda]) function. The 
parameter f1' should be within a certain tolerance, but a spectral 
mismatch correction factor will be applied to the measured result 
regardless. Therefore in this final rule, DOE concludes that the 
inclusion of a specific tolerance for spectral match in IES LM-45-2009 
would result in more consistent and precise measurements

[[Page 4208]]

but would not significantly affect lamp efficacy measurements.
---------------------------------------------------------------------------

    \27\ The Commission International de l'Eclairage (CIE) 
established the photopic luminous efficiency function as the 
response curve of a standard observer. IESNA Lighting Handbook, 
Ninth Edition (2000) p. 1-6.
---------------------------------------------------------------------------

    In the NOPR, DOE had indicated that industry commonly considers a 
value for f1' of less than five percent good commercial quality and a 
value of less than three percent good laboratory/research quality. 
Earthjustice asked why the laboratory research quality tolerance of 
three percent for the f1' parameter was not proposed as the required 
tolerance. (Earthjustice, Public Meeting Transcript, No. 7 at p. 37) 
ICF commented that NVLAP certified laboratories must have two percent 
tolerance and therefore, three and five percent tolerances would be 
outside the acceptable range to remain accredited. (ICF, Public Meeting 
Transcript, No. 7 at p. 38) Based on this information Earthjustice 
suggested the requirement should be a tolerance of two percent. 
(Earthjustice, Public Meeting Transcript, No. 7 at p. 38)
    DOE has found no reason to lower the spectral match tolerance of 
five percent established in IES LM-45-2009, a standard based on 
industry consensus. First, DOE's research indicates that NVLAP does not 
require a spectral match tolerance different from that prescribed in 
IES LM-45-2009.\28\ DOE research shows that manufacturers already 
employ at least commercial-grade instruments and, therefore, this five 
percent specification would not pose an additional test burden. 
Additionally, in certain cases achieving a three percent spectral match 
is not possible. For example when using the integrating sphere 
measurement method \29\ to take photometric measurements, the spectral 
response of the whole sphere system involves factoring in the sphere 
paint and the cosine diffuser, rather than just the spectral response 
of the photodetector. Therefore, achieving a spectral match better than 
three percent may be too difficult under such circumstances. DOE has 
concluded that its test procedures do not need to establish a spectral 
match tolerance different from that prescribed in IES LM-45-2009.
---------------------------------------------------------------------------

    \28\ Assessment based on interviews with NVLAP and a test lab; 
and a review of National Institute of Standards and Technology 
(NIST) Handbook 150:2006 (NVLAP Procedures and General Requirements) 
or NIST Handbook 150-1:2010-12 ed. (NVLAP Energy Efficient Lighting 
Products).
    \29\ An integrating sphere is a hollow sphere coated internally 
with a matte finish, diffusing type material. Light enters the 
sphere either through a port or by placing the light source inside 
the sphere. The light is scattered uniformly around the interior of 
the sphere and can be measured with a detector device connected to 
the sphere through a port.
---------------------------------------------------------------------------

    With regards to lamp stabilization,\30\ NEMA commented that test 
lamps unable to meet the stabilization criteria as defined in IESNA LM-
45-2009 after five measurement cycles should not be disqualified from 
the test group. Instead, NEMA suggested an analysis of the added 
uncertainty of the measured performance parameters be taken into 
account. (NEMA, No. 8 at p. 5) The lamp stabilization method specified 
in IES LM-45-2009 prescribes continuing sets of five measurements until 
the stabilization criterion is met. While the IES LM-45-2009 strongly 
recommends this stabilization method, it also states that a different 
method is permissible, but that its use should be noted in the test 
report. DOE is adopting these instructions in IES LM-45-2009. 
Therefore, as NEMA recommends in its comment, manufacturers can use a 
variation of the prescribed stabilization method as long any details of 
the variations from the prescribed methods are retained in the test 
reports required under 10 CFR 429.71.
---------------------------------------------------------------------------

    \30\ Lamp stabilization consists of seasoning a lamp and then 
operating it until it reaches stabilization and temperature 
equilibrium.
---------------------------------------------------------------------------

4. Test Procedures for Incandescent Reflector Lamps
    As noted previously, in the NOPR, DOE did not propose updates to 
DOE's test procedure for IRLs, which incorporates by reference IESNA 
LM-20-1994.\31\ At the time of publication of the NOPR, a revised 
edition of this industry standard had not been published. DOE also had 
concluded in the NOPR analysis that there were no current best 
practices or technical developments that necessitate modifications to 
the existing test procedure. DOE did not receive any adverse comments 
regarding this conclusion. Therefore, no amendments to IRL test 
procedures have been adopted in this final rule.
---------------------------------------------------------------------------

    \31\ ``IESNA Approved Method for Photometric Testing of 
Reflector-Type Lamp,'' (approved Dec. 3, 1994).
---------------------------------------------------------------------------

    Several interested parties noted that DOE will be evaluating the 
use of an application efficacy metric for IRLs as part of a rulemaking 
that is revising GSFL and IRL energy conservation standards. (76 FR 
56678, September 14, 2011, see Framework Document available at http://www1.eere.energy.gov/buildings/appliance_standards/pdfs/gsfl_irl_ecs_framework.pdf) NEMA commented that efficiency and economic 
comparisons across directional lamp technologies require the use of an 
application efficacy metric. NEMA added that replacing the lumens per 
watt metric with a new application efficacy metric for IRLs would 
affect lamp efficacy values. (NEMA, No. 8 at p. 3) Interested parties 
questioned whether the adoption of a new IRL metric would initiate 
amendments to the existing IRL test procedures. (CA Utilities, Public 
Meeting Transcript, No. 7 at p. 21, EEI, No. 7 at p. 36) If DOE decides 
to adopt such a metric, it also will update the IRL test procedure 
accordingly.
5. Summary of Changes Based on Updated Industry Standards
    In the previous sections, DOE has addressed concerns raised 
regarding the impacts of updates to industry standards incorporated by 
reference relevant to this rulemaking. Based on its comparison of the 
updated and older versions of these industry standards, DOE has 
determined that the more recent versions do not make substantive 
changes to test setup and methodology, but are clearer and can 
potentially increase precision and consistency in measurements. 
Further, DOE has concluded that adopting the latest industry standards 
would not alter measured energy efficiency nor result in a test 
procedure that is unduly burdensome to conduct.
    Therefore, in this final rule, for GSFLs, DOE is inserting updated 
references for ANSI C78.81-2003 and ANSI C78.81-2005 to ANSI C78.81-
2010 and IESNA LM-9-1999 to IES LM-9-2009. For GSILs, DOE is inserting 
updated references for IESNA LM-45-2000 to IES LM-45-2009.

B. General Service Incandescent Lamp Lifetime Testing

    Section 321 of EISA 2007 amended EPCA by prescribing minimum rated 
lifetime \32\ requirements for GSILs, to be phased in between January 
2012 and January 2014 (codified at 42 U.S.C. 6295(i)). Therefore, in 
the NOPR, DOE proposed a test procedure for GSIL lifetime testing, so 
that manufacturers can certify to DOE that their lamps meet these 
minimum rated lifetime requirements. DOE received comments on the 
following aspects of the proposed test procedure: (1) DOE's authority 
to establish a test procedure; (2) adoption of IESNA LM-49-2001 as an 
industry reference standard for DOE's GSIL lifetime test procedures; 
(3) disapproval of accelerated lifetime testing; (4) addressing 
lifetime measurement of

[[Page 4209]]

long-life lamps in a 12-month sampling period; (5) determination of 
rated lifetime definition and appropriateness of the proposed sample 
size; (6) certification requirements; (7) laboratory accreditation; and 
(8) cost of GSIL lifetime testing.
---------------------------------------------------------------------------

    \32\ DOE has decided to use the term ``rated lifetime'' rather 
than ``rate lifetime,'' which is the term used in the statutory 
standards for GSILs prescribed by EISA 2007. (42 U.S.C. 6295(i)) DOE 
notes that ``rated'' is more commonly used in industry.
---------------------------------------------------------------------------

1. Authority To Establish Lifetime Test Procedure
    NEMA questioned the authority of DOE to require a test procedure 
for GSIL lifetime testing and opposed the expansion of GSIL test 
requirements. (NEMA, No. 8 at p. 4; NEMA, Public Meeting Transcript, 
No. 7 at pp. 60, 63-64) EPCA directs DOE to make a determination that a 
test procedure should be prescribed that measures energy efficiency, 
energy use, water use, or estimated annual operating cost of a covered 
product. (42 U.S.C. 6293(3)) In this case, however, the test is needed 
to calculate the minimum rated lifetime requirements set forth in ECPA. 
(42 U.S.C. 6295 (i))
    DOE must establish those test procedures necessary to address all 
aspects of an energy conservation standard. Therefore, DOE has 
concluded that it has the authority to establish a test procedure for 
measuring lamp lifetime of GSILs.
    NEMA objected to DOE regulating lamp lifetime which it considers a 
product reliability metric that has no bearing on efficiency or energy 
use and affects industry warranties. (NEMA, No. 8 at p. 3) DOE 
acknowledges NEMA's objection to the lifetime standard, however, as 
stated in section I, the minimum rated lifetime requirements for GSILs 
were established by Congress when it passed EISA 2007.
2. Adoption of IESNA LM-49-2001
    After conducting literature research and interviews with several 
GSIL lifetime testing facilities in the NOPR analysis, DOE concluded 
that IESNA LM-49-2001 is the appropriate industry standard for GSIL 
lifetime testing. IESNA LM-49-2001 is commonly used in industry and 
generally aligns with guidance in the IESNA Lighting Handbook. 
Additionally, IESNA LM-49-2001 is also the standard referenced by the 
Federal Trade Commission (FTC) in its regulations for product labeling 
of GSILs, which could minimize testing burden for manufacturers in 
terms of complying with both Federal energy conservation standards and 
labeling requirements. 16 CFR 305.5(b) (For further details regarding 
IESNA LM-49-2001 refer to the NOPR. 76 FR 56661, 56667-68.)
    NEMA concurred with using IESNA LM-49-2001 as a reference. (NEMA, 
No. 7 at p. 3) DOE did not receive any adverse comments regarding 
adoption of IESNA LM-49-2001 as the industry reference standard for 
measuring GSIL lifetime.
3. Accelerated Lifetime Testing
    In the NOPR, DOE proposed to disallow the use of accelerated 
lifetime testing in its test procedures. This method is permitted in 
IESNA LM-49-2001 only for non-halogen GSILs. Accelerated lifetime 
testing involves operating lamps at higher than rated voltage, thereby 
forcing the lamp to fail faster than it would under normal operating 
conditions. A scaling factor is then used to correlate the measured 
accelerated lifetime to the lifetime at the rated voltage. (For more 
details on DOE's analysis of accelerated lifetime testing refer to the 
NOPR. 76 FR 56661, 56668.) NEMA agreed with DOE's proposal to disallow 
accelerated lifetime testing. (NEMA, No. 8 at p. 3) Some interested 
parties, noted below, questioned DOE's reasoning for not allowing this 
method.
    DOE proposed to disallow accelerated lifetime testing for several 
reasons including that IESNA LM-49-2001 prescribes this methodology 
only for non-halogen lamps, most of which will not meet January 2012 
energy conservation standards. DOE did investigate the appropriateness 
of using accelerated lifetime testing for halogen lamps that would pass 
the January 2012 standards. DOE found the tungsten-halogen regenerative 
cycle to be incompatible with accelerated lifetime testing because it 
cannot achieve its purpose outside of a narrow range of temperatures. 
The regenerative cycle, intended to increase lamp lifetime by 
redepositing evaporated tungsten back onto the filament, must operate 
only at certain operating temperatures. Deviations from the rated 
voltage in accelerated testing would increase the operating temperature 
outside this operating range and potentially alter performance or 
introduce new modes of lamp failure. Therefore, DOE concluded that 
lifetimes determined by operating halogen lamps at higher than rated 
voltage would not reliably measure the actual lifetime.
    In the October 2011 public meeting, however, Lutron and OSI 
commented that the halogen regenerative cycle is critical only at low 
voltages and temperatures, and is therefore not adversely affected by 
the high temperature and overvoltage requirements of accelerated 
lifetime testing. (Lutron, Public Meeting Transcript, No. 7 at p. 47; 
OSI, Public Meeting Transcript, No. 7 at p. 47) DOE acknowledges that 
the successful operation of the tungsten halogen regenerative cycle is 
dependent on low temperatures but has found that high temperatures 
attained when operating at higher than rated voltage as required in 
accelerated testing are also an important factor. Operating halogen 
lamps at higher than rated voltage increases filament temperature and 
the rate of tungsten evaporation, which results in blackening of the 
inside lamp wall. Subsequently, the glass temperature rises due to 
increased infrared absorption and eventually causes the lamp to bulge 
and leak. Therefore, DOE has concluded that operating halogen lamps at 
higher than rated voltages and subsequently higher temperatures could 
introduce modes of lamp failure and may invalidate any comparisons with 
lamps operating at rated voltage. Hence, in this final rule, DOE 
maintains the disallowance of accelerated lifetime testing for GSILs as 
part of DOE test procedures.
    P.R. China commented that DOE should adopt the transformation 
accelerated lifetime testing requirements in IEC 60064-2007. P.R. China 
cited the stipulation in Article 2.4 of the Technical Barriers to Trade 
(TBT) agreement that the members should use international standards as 
the basis of technical rules and regulations. P.R. China also suggested 
that DOE employ a method similar to that of the International CFL 
Harmonization Initiative to make the accelerated lifetime testing 
standards for GSFLs, GSILs, and IRLs consistent across all countries. 
(P.R. China, No. 9 at pp. 3-4) Since DOE is disallowing the use of 
accelerated lifetime testing for GSILs, it will not be adopting any 
test procedures for this methodology. DOE also notes that there is no 
U.S. requirement for lifetime testing of GSFLs and IRLs.
4. Measuring Minimum Rated Lifetime
    For GSIL lifetime testing, DOE is requiring testing a minimum of 
three lamps per month each month of production for a minimum of seven 
months out of a 12-month period. In the October 2011 public meeting, 
Edison Electric Institute (EEI) expressed concerns that it would be 
difficult to complete non-accelerated lifetime testing in one year for 
halogen lamps that have rated lifetimes in the range of 4,000 and 6,000 
hours. (EEI, Public Meeting Transcript, No. 7 at pp. 42-43) Measuring 
the full lifetime of a 6,000-hour lamp would require about 250 days.
    In today's final rule, DOE is requiring measurement up to the 
minimum rated lifetime as prescribed by standards

[[Page 4210]]

specified in 42 U.S.C. 6295(i). The standards currently require all 
GSILs to meet a minimum rated lifetime of 1,000 hours. For a model to 
be in compliance with the prescribed minimum rated lifetime standard, 
greater than 50 percent of the sample size must meet the minimum rated 
lifetime required. Manufacturers should follow the procedures set forth 
in IESNA LM-49-2001 (except for use of the accelerated lifetime testing 
method) to execute the minimum rated lifetime measurements described 
above.
5. ``Rated Lifetime'' Definition and Sample Size
    In the NOPR, DOE proposed the following definition for rated 
lifetime of general service incandescent lamps: The length of operating 
time of a sample of lamps between first use and failure of 50 percent 
of the sample size in accordance with test procedures described in 
IESNA LM-49-2001. Interested parties voiced concern regarding the 
method of measuring lamp lifetime set forth in the proposed definition.
    NEMA stated that the failure rate is a measure of how many lamps 
are failing per unit time at any given moment and that the 50 percent 
failure rate is not the definition of median lamp lifetime. NEMA also 
noted it was common industry practice to use distributional parametric 
fits such as Weibull or lognormal functions for determining the best 
estimate of median lifetime and recommended DOE allow the use of this 
methodology. (NEMA, No. 8 at p. 3)
    DOE is using the 50 percent failure rate methodology as it is 
aligned with the general statutory definition of ``life'' or 
``lifetime'' as the length of operating time of a statistically large 
group of lamps between first use and failure of 50 percent of the group 
(42 U.S.C. 6291(30)(P)). It also coincides with the definition in IESNA 
LM-49-2001 which states in Section 1.2g that for life rating, the 
applicable definition of median is the total operating time at which 50 
percent of a large group of lamps is still expected to be operating. 
Therefore, DOE is only revising the definition of rated lifetime for 
GSILs to provide additional guidance. DOE is maintaining that the rated 
lifetime is the length of operating time of a sample of lamps between 
first use and failure of 50 percent of the sample size in accordance 
with test procedures described in IESNA LM-49-2001. It is also 
specifying that the operating time be based on the middle lamp 
operating time for an odd-numbered sample size and the average 
operating time of the two middle lamps for an even-numbered sample 
size.
    While NEMA agreed with DOE's proposed minimum sample size of 20 
lamps, it stated if DOE adopted the 50 percent failure rate 
determination for lifetime, the middle lamp of an odd number of samples 
should be used. (NEMA, No. 8 at p.3-4) In the NOPR, DOE had proposed 
the minimum sample size of 20 lamps in order to be consistent with the 
already existing 21-lamp minimum sample size requirement for GSIL 
performance testing. 10 CFR 429.27. DOE had chosen 20 samples (an even 
number) instead of 21 samples in order to facilitate the calculation of 
the 50 percent failure rate. DOE agrees, however, with NEMA that in 
terms of determining the 50 percent failure at the median lamp 
lifetime, an odd-numbered sample size is more appropriate. Therefore, 
DOE is revising the minimum required sample size of 20 lamps proposed 
in the NOPR to 21 lamps in this final rule.
    As with the 21-sampling plan for GSIL performance testing, DOE will 
require a minimum of three lamps per month each month of production for 
a minimum of seven months out of a 12-month period. If lamp production 
occurs in fewer than seven months out of the year, three or more lamps 
will be selected for each month that production exists as evenly as 
possible to meet the minimum 21 sample requirement. These seven months 
do not need to be consecutive and can be any combination of seven 
months out of the 12.
    With regards to the sampling plan, NEMA stated that the existing 
seven out of 12-month sampling requirement for performance testing 
should not be the basis for the lifetime sampling requirement. (NEMA, 
No. 8 at p. 4; Philips, No. 7 at p. 60) DOE notes that the seven out of 
12-month sampling plan was developed with the input of interested 
parties in a previous test procedure rulemaking on incandescent and 
fluorescent performance testing. 62 FR 29221, 29229. This seven-month 
sampling minimum ensures manufacturers are consistently producing lamps 
that meet standards. DOE finds no reason to differentiate between the 
performance and lifetime testing sampling plans. Further, using the 
same sampling plan allows manufacturers the opportunity to test the 
same sample set for measurements of lumen output, wattage, and 
lifetime, thereby potentially reducing testing burden.
    NEMA also recommended DOE require sampling from the initial 
production run and thereby prevent fractionated lifetime testing of 12-
18 months' time. (NEMA, No. 8 at p. 4) Allowing testing up to the 
minimum rated lifetime should shorten the time required for lifetime 
testing. Hence, the continuation of lifetime tests for samples from the 
last month of production into the following production year should be 
limited. Therefore, DOE will not be requiring sampling from the initial 
production run.
6. Certification Requirements
    As mentioned previously, to ensure that DOE is in full compliance 
with Section 315 of Public Law 112-74, DOE will not finalize in this 
document provisions related to certifying lamps subject to that 
provision of law. DOE may finalize those procedures at an appropriate 
time in the future. Described below are issues raised in public comment 
regarding certification. DOE would respond to these comments if it 
finalizes these provisions in the future.
    In the NOPR, DOE proposed establishing new model filing 
requirements for GSIL testing similar to those in place for GSFLs and 
IRLs. These requirements take into account the 12-month sampling 
requirement for performance and lifetime testing of GSILs by allowing 
manufacturers to submit an initial certification report prior to or 
concurrent with distribution of the new model. This initial 
certification report filing, describing how the manufacturer has 
determined that the new model meets or exceeds energy conservation 
standards, will allow manufacturers to distribute new models while 
completing the 12-month sampling requirement for certification. This 
initial report is followed by a final certification report, based on 
the full sampling provisions, which is to be submitted one year after 
the first date of manufacture of the new model.
    Interested parties commented on the proposed certification 
requirements for GSIL lifetime testing. NEMA requested that DOE accept 
product compliance at 40 percent of required lifetime. NEMA also stated 
that the testing should continue until completed and that any non-
compliant products should be removed from the market. (NEMA, No. 8 at 
p. 3; NEMA, Public Meeting Transcript, No. 7 at p. 44-46) DOE finds 
that the certification process for GSIL lifetime should not cause 
delays in distribution since manufacturers can submit initial 
certification reports and are not required to measure the full lifetime 
of the lamp for compliance. DOE sees no reason to base certification on 
40 percent compliance with the lifetime rating.
    Instead of on an annual basis, which Phillips believed would pose a

[[Page 4211]]

significant burden, Philips stated that testing should be required only 
once for the product unless the product goes through major changes. 
(Philips, No. 7 at p. 51) NEMA also strongly recommended testing be 
required only once and not annually. (NEMA, No. 8 at p. 3)
    Regarding certification reports, Lutron requested clarification on 
how DOE addresses discrepancies between the engineering analysis 
submitted for the initial certification report and testing conducted 
for the final certification reports. (Lutron, Public Meeting 
Transcript, No. 7 at p. 58)
7. Laboratory Accreditation
    In the NOPR, DOE proposed that facilities that conduct testing for 
GSIL lifetime be accredited to NVLAP or an organization recognized by 
NVLAP. DOE received several stakeholder comments regarding the burden 
such accreditation would pose on manufacturers. First, NEMA stated the 
NVLAP-accredited GSIL lifetime testing is a new requirement and 
manufacturers' accredited laboratories have limited resources for GSIL 
lifetime testing. Second, NEMA stated that most manufacturers test for 
lifetime at factory lifetime test facilities that are not NVLAP 
accredited. Further, these facilities would require significant 
investment in order to become NVLAP accredited. (NEMA, No. 8 at p. 4) 
NEMA noted that since NVLAP accredits to efficacy and lifetime 
standards separately, lifetime testing can be performed at laboratories 
at plant sites accredited only to the lifetime test standard. 
Photometry and colorimetry testing would then occur at accredited 
laboratories on sample sets taken from the same lots. NEMA, however, 
emphasized costs would still be significant as each plant would need to 
be accredited for lifetime testing. (NEMA, No. 8 at p. 5)
    After further review, DOE has decided not to require NVLAP 
accreditation for laboratories conducting GSIL lifetime testing. NVLAP 
accreditation involves ensuring the laboratory is executing testing 
according to industry reference standards and practices that include an 
assessment of laboratory equipment and competency of personnel. DOE has 
not found evidence that NVLAP accreditation for incandescent lifetime 
testing, which does not require precise measurements, would provide 
significant value. Further, as noted in the NOPR, NVLAP imposes fees of 
$9,000 and $8,000 on years one and two of accreditation and 
subsequently, fees alternate between $5,000 and $8,000, with the $8,000 
fee corresponding to the on-site evaluation required every other year. 
Based on the above comments, manufacturers plan to conduct performance 
testing and lifetime testing at different laboratories, with lifetime 
testing conducted at plant-level laboratories. These manufacturer-site 
laboratories have no previous NVLAP accreditations. Hence, 
manufacturers would have to obtain accreditation at each plant for 
lifetime testing. DOE has concluded, therefore, that NVLAP 
accreditation for GSIL lifetime testing would provide few benefits 
compared to the added costs. Therefore, in this final rule, DOE is not 
requiring manufacturers to conduct GSIL lifetime testing in a 
laboratory accredited to NVLAP or an organization recognized by NVLAP. 
DOE may, however, reevaluate the accreditation requirement for GSIL 
lifetime testing at a later time.
    DOE does require NVLAP accreditation for facilities conducting GSIL 
energy performance measurements (e.g. lumen output, wattage, CRI) and 
will continue to do so. The accuracy of such performance measurements 
are highly dependent on precisely calibrated equipment and test 
execution that appropriately follows industry reference standards and 
practices. Further, manufacturers indicated they would be conducting 
GSIL performance testing at laboratories that either already have NVLAP 
accreditation for GSIL performance testing or NVLAP accreditation for 
other test procedures. In cases where a laboratory has a NVLAP 
accreditation, the cost of adding accreditation to another test 
procedure is incremental.
    DOE also received several comments regarding the procedural aspects 
of NVLAP accreditation. ICF commented that IES withdraws test 
procedures after ten years and therefore, IESNA LM-49-2001 may be out 
of circulation at the end of 2011 posing a potential problem for 
laboratories that are not already accredited to the test procedure. 
(ICF, Public Meeting Transcript, No. 7 at p. 48) As indicated 
previously, DOE will no longer be requiring NVLAP accreditation to the 
GSIL lifetime test procedure. DOE notes that ten laboratories are 
currently accredited by NVLAP to IESNA LM-49-2001 in the United States 
and these laboratories will continue to be accredited to the test 
procedure even after it is withdrawn. DOE also verified with NVLAP that 
additional laboratories may become accredited to IESNA LM-49-2001 even 
after it is withdrawn.
    P.R. China noted that NVLAP and the China National Accreditation 
Service (CNAS) signed the International Laboratory Accreditation 
Cooperation (ILAC) Mutual Recognition Arrangement to accredit testing 
laboratories based on ISO/IEC 17025. P.R. China requested that DOE 
allow CNAS accredited laboratories for lifetime and efficiency testing 
in order to reduce the testing burden. (P.R. China, No. 9 at p. 3) As 
discussed above, DOE is removing the requirement that GSIL lifetime 
testing must be conducted at an NVLAP or NVLAP-recognized organization 
and therefore P.R. China's concerns are unwarranted. DOE does, however, 
continue to require GSIL performance testing be completed at a 
laboratory accredited by NVLAP or a NVLAP-recognized organization, 
which includes foreign laboratories accredited by foreign accrediting 
bodies that have mutual recognition agreements through ILAC with NVLAP. 
62 FR 29221, 29235
    P.R. China also stated that DOE's requirement for NVLAP 
certification on energy performance tests does not conform to relevant 
international agreements including Article 2.2 of the TBT which states 
that members should ensure that adopted technical rules and regulations 
do not cause unnecessary barriers to international trade. P.R. China 
suggested that DOE reconsider this certification requirement or provide 
the scientific basis for it. (P.R. China, No. 9 at p. 4) P.R. China 
also stated this final rule should become effective after DOE performs 
a review of the mutual laboratory qualification recognition procedures 
of World Trade Organization (WTO) member states. P.R. China suggested 
this approach as a way for DOE to comply with Article 6.3 of the TBT 
which encourages member states to come to an agreement on recognizing 
each other's qualification evaluation procedures. (P.R. China, No. 9 at 
pp. 3-4)
    As stated previously, DOE's existing requirements necessitate test 
facilities that conduct performance testing be NVLAP-accredited or 
accredited by an organization recognized by NVLAP. This allows for 
other accreditation organizations that entered into mutual recognition 
agreements through ILAC with NVLAP to also perform testing. DOE has 
therefore concluded that the accreditation requirement is not causing 
trade barriers. Further, DOE finds any additional review of mutual 
qualification recognition procedures to be unnecessary due to the 
mutual recognition agreements with NVLAP.
8. GSIL Lifetime Testing Costs
    DOE received several comments regarding the burden posed by the 
cost of GSIL lifetime testing on manufacturers. Philips commented that 
this cost would pose significant burden

[[Page 4212]]

on both small and large manufacturers. OSI added that for larger 
manufacturers the cost would be applicable at each manufacturing 
location. (Philips, Public Meeting Transcript, No. 7 at p. 62; OSI, 
Public Meeting Transcript, No. 7 at p. 62) NEMA contended DOE had 
underestimated GSIL lifetime testing costs in the NOPR. NEMA's own 
estimates suggest it would require a total initial investment of 
$133,000 and labor costs per year of $60,000 to test 100 basic models 
at an accredited lifetime test facility with a minimum of 2,000 
lifetime test spaces. NEMA noted that most major manufacturers have a 
portfolio comprising more than 100 products. Additionally, NEMA 
emphasized preparation for lifetime testing was a significant 
investment that would have to be incurred in the near future for a 
mature technology that is being phased out in many areas. (NEMA, No. 8 
at pp. 4-5). NEMA also stated that since these costs were not small for 
large manufacturers that they would pose a significant burden for 
smaller manufacturers. (NEMA, No. 8 at p. 4)
    For this final rule, DOE conducted an independent calculation of 
GSIL lifetime testing costs. As in the NOPR, DOE based this estimate on 
the use of a still camera with a programmable snapshot system to record 
lamp operation. This is less labor intensive and costly than in person 
inspection. DOE's estimate of initial investment costs included 
installation labor and equipment for the lamp test racks, voltage 
regulator, and camera-based monitoring system. DOE also estimated labor 
costs for conducting the lifetime testing based on an hourly rate of 
$100. DOE then developed three separate cost estimates each for a 
manufacturer producing four, 50, and 100 models and adhering to the 
sampling requirement of 21 lamps per model. As mentioned in the NOPR, 
DOE had determined that small manufacturers of GSILs produce anywhere 
from four to 50 models. Further, DOE found that 100 models was a valid 
representation for large manufacturer production of general service 
incandescent lamps.
    While NEMA's estimate assumed testing would be conducted for all 
models at once, DOE's calculations were based on a staggered test 
approach. DOE determined that over the course of a year, 1,000-hour 
lifetime tests for four models could be completed with one rack; 50 
models with two racks; and 100 models with three racks. For comparison 
purposes, DOE scaled NEMA's estimates which were based on 20 racks (or 
testing 100 models at once) down to using one, two and three racks. For 
four models (one rack), NEMA's scaled-down estimate was about $10,000 
while DOE's estimate was $13,000. NEMA's scaled-down estimate for 50 
models (two racks) was about $20,000 and DOE's estimate was $63,000. 
NEMA's scaled-down estimate for 100 models (three racks) was $29,000 
and DOE's estimate was $118,000.
    Based on DOE's higher estimates, a small manufacturer producing 50 
models would have to make an initial investment cost of about $20,000 
and incur labor costs of about $40,000. In subsequent years, testing 
costs would be much smaller because only new products or substantially 
redesigned products would need to be tested. Assuming a conservative 
estimate of $1 million in revenue for a small business, initial testing 
costs would represent about six percent of revenue, but when amortized 
over subsequent years with little or no testing, testing costs would 
account for a smaller percentage of revenue. In addition, some 
businesses may already have lifetime data that could be used for 
representation purposes from previously completed FTC labeling testing. 
Based on these estimates, DOE has concluded that GSIL lifetime testing 
costs would not pose a substantial burden on small manufacturers. See 
section IV.B for further analysis of the impacts of this final rule on 
small manufacturers.
    For a large manufacturer producing 100 models, DOE estimates an 
initial investment cost of $32,000 and about $86,000 for labor costs. 
This total cost is a negligible percentage of a large manufacturer's 
revenue. Therefore, based on these estimates, DOE has concluded that 
GSIL lifetime testing would not pose a substantial burden on large 
manufacturers.
    With regards to testing burden, Philips also commented that when 
considering the products and testing requirements covered in the NOPR, 
DOE needed to either reduce the number of products that need to be 
tested or the testing requirements. (Philips, Public Meeting 
Transcript, No. 7 at p. 63-64) All products covered by standards must 
be tested for the purpose of compliance. (42 U.S.C. 6295(s)) DOE's test 
requirements ensure that compliance with these standards can be 
verified.
9. Summary of GSIL Lifetime Testing
    As specified in the sections above, DOE is incorporating IESNA LM-
49-2001 as the industry reference standard in this lifetime test 
procedure, defining rated lifetime, prescribing a minimum sample size 
of 21, and establishing laboratory accreditation requirements.

C. Effective Date for the Amended Test Procedures

    The effective date for these test procedure amendments would be 30 
days after publication of the test procedure final rule in the Federal 
Register. At that time, manufacturers and importers of covered GSFLs, 
IRLs, and GSILs may use the amended test procedure for making 
representations of the energy efficiency or energy consumption of each 
basic model. Additionally, for GSFLs and IRLs, manufacturers may use 
the amended test procedure or the existing test procedures to certify 
compliance with DOE's test procedure.
    The compliance date for making any representations of the energy 
efficiency or energy consumption derived from the revised version of 
the test procedure for GSFLs, IRLs, and GSILs is 180 days from the date 
of publication of the test procedure final rule in the Federal 
Register. On or after that date, any manufacturer representations, 
including those made on marketing materials and product labels, must be 
based upon results generated under these new and amended test 
procedures and the applicable sampling plans.

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).

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IFRA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE

[[Page 4213]]

has made its procedures and policies available on the Office of the 
General Counsel's Web site: www.gc.doe.gov.
    Today's final rule will adopt test procedure provisions for GSFLs 
and GSILs, primarily through updates to industry testing standards, as 
well as specification of a procedure for testing GSIL lifetime. DOE has 
reviewed the final rule under the provisions of the Regulatory 
Flexibility Act and the policies and procedures published on February 
19, 2003. For the reasons explained below, DOE certifies that the test 
procedure adopted in today's final rule would not have a significant 
economic impact on a substantial number of small entities.
    The Small Business Administration (SBA) has set a size threshold 
for manufacturers of GSFLs, GSILs, and IRLs that defines those entities 
classified as ``small businesses'' for the purposes of the Regulatory 
Flexibility Analysis. DOE used the SBA's small business size standards 
to determine whether any small manufacturers of GSFLs, GSILs, and IRLs 
would be subject to the requirements of the rule. 65 FR 30836, 30849 
(May 15, 2000), as amended at 65 FR 53533, 53545 (Sept. 5, 2000) and 
codified at 13 CFR part 121. The size standards are listed by North 
American Industry Classification System (NAICS) code and industry 
description and are available at www.sba.gov/sites/default/files/Size_Standards_Table.pdf. GSFL, GSIL, and IRL manufacturing is classified 
under NAICS 335110, ``Electric Lamp Bulb and Part Manufacturing.'' The 
SBA sets a threshold of 1,000 employees or less for an entity to be 
considered as a small business for this category.
    For this rulemaking, DOE determined the number of small business 
U.S. manufacturers of covered GSFLs, GSILs, and IRLs. First, DOE 
compiled a preliminary list of potential small business manufacturers 
of GSFLs, GSILs, and IRLs by searching the Hoover's and the SBA 
databases and also conducting general searches of the covered products. 
DOE then sought to determine if the companies identified actually 
manufactured the covered lamp types. From among the potential GSFL 
small business manufacturers initially identified, DOE was able to 
determine by reviewing the company Web sites that only one company 
qualified as a small business U.S. manufacturer of covered GSFLs. 
Similarly, DOE was also able to determine by reviewing company Web 
sites that there were no small business U.S. manufacturers of covered 
IRLs. These results for the number of GSFL and IRL small business U.S. 
manufacturers is the same as determined in the 2009 GSFL and IRL 
standards rulemaking. 74 FR 34080, 34174 (July 14, 2009). For GSILs, 
DOE reviewed company Web sites and contacted companies as necessary and 
identified six small business U.S. manufacturers of covered GSILs.
    DOE has determined that the updated versions of the industry test 
methods for GSFLs and GSILs performance testing adopted in this final 
rule would not result in significant changes in test setup and 
methodology. The changes in these updated versions modify certain 
specifications such as impedance thresholds, voltage and current 
regulations and provide additional guidance on methods such as lamp 
stabilization. However, the updates are not making fundamental changes 
as to how GSFL or GSIL performance testing is conducted. Therefore, DOE 
has concluded that these changes will not add a significant amount of 
testing time or require additional test equipment. Further, DOE is not 
making any revisions to the IRL performance test procedure as there are 
no relevant updates to industry test methods, current best practices, 
or technical developments that necessitate modifications. Therefore, 
DOE has concluded that there will not be a significant economic impact 
on small business manufacturers of GSFLs, GSILs, and IRLs with regards 
to performance testing.
    For the GSIL lifetime test procedure, DOE determined that GSIL 
small manufacturers are producing anywhere from four to 50 models of 
GSILs and provided cost estimates including labor for conducting the 
testing. DOE received several comments regarding these cost estimates 
and for this final rule reassessed these estimates for small business 
manufacturers.
    Based on DOE's estimates for this final rule, a small manufacturer 
producing 50 models would have to make an initial investment cost of 
about $20,000 and incur labor costs of about $40,000. The details of 
this cost estimate are provided in section III.B.8. In subsequent 
years, testing costs would be much smaller because only new products or 
redesigned products would need to be tested. Assuming a conservative 
estimate of $1 million in revenue for a small business, initial testing 
costs would represent about six percent of revenue, but when amortized 
over subsequent years with little or no testing, testing costs would 
account for a lesser percentage of revenue. In addition, some 
businesses may already have lifetime data from previously completed FTC 
labeling testing. Based on these reassessed costs, DOE has concluded 
that the GSIL lifetime test procedure prescribed in this final rule 
will not result in a significant economic impact on small 
manufacturers.
    Accordingly, DOE has not prepared a regulatory flexibility analysis 
for this rulemaking. DOE's certification and supporting statement of 
factual basis has been provided to the Chief Counsel for Advocacy of 
the SBA for review under 5 U.S.C. 605(b). DOE certifies that this rule 
would have no significant impact on a substantial number of small 
entities.

C. Review Under the Paperwork Reduction Act of 1995

    The collection-of-information requirement applicable to this 
rulemaking 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 final rule, DOE amends its test procedure for GSFLs, GSILs, 
and IRLs. DOE has determined that this rule falls into a class of 
actions that are categorically excluded from review under the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE's 
implementing regulations at 10 CFR part 1021. Specifically, this rule 
amends an existing rule without affecting the amount, quality or 
distribution of energy usage, and, therefore, will not result in any 
environmental impacts. Thus, this rulemaking is covered by Categorical 
Exclusion A5 under 10 CFR part 1021, subpart D, which applies to any 
rulemaking that interprets or amends an existing rule without changing 
the environmental effect of that rule. Accordingly, neither an 
environmental assessment nor an environmental impact statement is 
required.

E. Review Under Executive Order 13132

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

[[Page 4214]]

formulating and implementing policies or regulations that preempt State 
law or that have Federalism implications. The Executive Order requires 
agencies to examine the constitutional and statutory authority 
supporting any action that would limit the policymaking discretion of 
the States and to carefully assess the necessity for such actions. The 
Executive Order also requires agencies to have an accountable process 
to ensure meaningful and timely input by State and local officials in 
the development of regulatory policies that have Federalism 
implications. On March 14, 2000, DOE published a statement of policy 
describing the intergovernmental consultation process it will follow in 
the development of such regulations. 65 FR 13735. DOE examined this 
final rule and determined that it will not have a substantial direct 
effect on the States, on the relationship between the national 
government and the States, or on the distribution of power and 
responsibilities among the various levels of government. EPCA governs 
and prescribes Federal preemption of State regulations as to energy 
conservation for the products that are the subject of today's final 
rule. States can petition DOE for exemption from such preemption to the 
extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) 
No further action is required by Executive Order 13132.

F. Review Under Executive Order 12988

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

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a regulatory action resulting in a rule that may cause the 
expenditure by State, local, and Tribal governments, in the aggregate, 
or by the private sector of $100 million or more in any one year 
(adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820; also available 
at http://www.gc.doe.gov. DOE examined today's final rule according to 
UMRA and its statement of policy and determined that the rule contains 
neither an intergovernmental mandate, nor a mandate that may result in 
the expenditure of $100 million or more in any year, so these 
requirements do not apply.

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
Today's final rule will not have any impact on the autonomy or 
integrity of the family as an institution. Accordingly, DOE has 
concluded that it is not necessary to prepare a Family Policymaking 
Assessment.

I. Review Under Executive Order 12630

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

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

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed today's final rule under the OMB and DOE guidelines and has 
concluded that it is consistent with applicable policies in those 
guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a Statement of Energy Effects for any significant energy action. A 
``significant energy action'' is defined as any action by an agency 
that promulgated or is expected to lead to promulgation of a final 
rule, and that: (1) Is a significant regulatory action under Executive 
Order 12866, or any successor order; and (2) is likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any significant energy action, the 
agency must give a detailed statement of any adverse effects on energy 
supply, distribution, or use if the regulation is implemented, and of 
reasonable alternatives to the action and their expected benefits on 
energy supply, distribution, and use.
    Today's regulatory action is not a significant regulatory action 
under Executive Order 12866. Moreover, it would not have a significant 
adverse effect on the supply, distribution, or use of energy, nor has 
it been designated as a significant energy action by the Administrator 
of OIRA. Therefore, it is not a significant energy action, and,

[[Page 4215]]

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 final rule incorporates testing methods contained in the 
following commercial standards: IES LM-9-2009, ``IES Approved Method 
for Electrical and Photometric Measurements of Fluorescent Lamps;'' IES 
LM-45-2009, ``IES Approved Method for Electrical and Photometric 
Measurement of General Service Incandescent Filament Lamps;'' IESNA LM-
49-2001, ``IESNA Approved Method for Life Testing of Incandescent 
Filament Lamps;'' and ANSI C78.81-2010, ``American National Standard 
for Electric Lamps--Double-Capped Fluorescent Lamps--Dimensional and 
Electrical Characteristics.'' DOE has consulted with both the Attorney 
General and the Chairman of the FTC about the impact on competition of 
using the methods contained in these standards and has received no 
comments objecting to their use.

M. Congressional Notification

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

N. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

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

10 CFR Part 430

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

    Issued in Washington, DC, on December 21, 2011.
Kathleen B. Hogan,
Deputy Assistant Secretary, Energy Efficiency and Renewable Energy.

    For the reasons stated in the preamble, DOE amends parts 429 and 
430 of Chapter II of title 10 of the Code of Federal Regulations to 
read as set forth below:

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

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

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


0
2. Section 429.27 is amended by
0
a. Removing in paragraph (a)(2)(i) first sentence, ``, general service 
incandescent lamp,'';
0
b. Adding in paragraph (a)(2)(ii) introductory text ``and general 
service incandescent lamp'' after ``general service fluorescent lamp''; 
and removing the words, ``paragraph (a)(2)(i)'' and adding in their 
place, the words, ``paragraphs (a)(2)(i) and (a)(2)(iii)''; and
0
c. Adding new paragraphs (a)(2)(iii) and (a)(2)(iv).
    The additions read as follows:


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

    (a) * * *
    (2) * * *
    (iii) For each basic model of general service incandescent lamp, 
for measurements of rated wattage and rated lumen output, samples of 
production lamps shall be obtained from a 12-month period, tested, and 
the results averaged. A minimum sample of 21 lamps shall be tested. The 
manufacturer shall randomly select a minimum of three lamps from each 
month of production for a minimum of 7 out of the 12-month period. In 
the instance where production occurs during fewer than 7 of such 12 
months, the manufacturer shall randomly select 3 or more lamps from 
each month of production, where the number of lamps selected for each 
month shall be distributed as evenly as practicable among the months of 
production to attain a minimum sample of 21 lamps. Any represented 
value of rated wattage of a basic model shall be based on the sample 
and shall be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR27JA12.003
    

and, x is the sample mean; n is the number of samples; and 
xi is the ith sample; Or,
    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.03, where:
[GRAPHIC] [TIFF OMITTED] TR27JA12.004


and x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.95 is the t statistic for a 95% 
two-tailed confidence interval with n-1 degrees of freedom (from 
Appendix A to this subpart).
    (iv) For each basic model of general service incandescent lamp, for 
measurements of rated lifetime, a minimum sample of 21 lamps shall be 
tested. The manufacturer shall randomly select a minimum of three lamps 
from each month of production for a minimum of 7 out of the 12-month 
period. In the instance where production occurs during fewer than 7 of 
such 12 months, the manufacturer shall randomly select three or more 
lamps from each month of production, where the number of lamps selected 
for each month shall be distributed as evenly as practicable among the 
months of production to attain a minimum sample of 21 lamps. The 
lifetime shall be represented as the length of operating time between 
first use and failure of 50 percent of the sample size, in accordance 
with test procedures described in section 4.2 of Appendix R to subpart 
B of part 430 of this chapter. Compliance will be determined by the 
percentage of sample size that meets the minimum rated lifetime.
* * * * *

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. 6291-6309; 28 U.S.C. 2461 note.

    4. Section 430.2 is amended by:

0
a. Removing in paragraph (2) of the definition of ``Colored fluorescent

[[Page 4216]]

lamp'' the words ``IESNA LM-9'' and adding in its place ``IES LM-9''; 
and
0
b. Adding in alphabetical order the definition of ``Rated lifetime for 
general service incandescent lamps'' to read as follows:


Sec.  430.2  Definitions.

* * * * *
    Rated lifetime for general service incandescent lamps means the 
length of operating time of a sample of lamps (as defined in Sec.  
429.27(a)(2)(iv) of this chapter) between first use and failure of 50 
percent of the sample size in accordance with test procedures described 
in IESNA LM-49 (incorporated by reference; see Sec.  430.3), as 
determined in section 4.2 of Appendix R of this subpart. The operating 
time is based on the middle lamp operating time for an odd number of 
samples and the average operating time of the two middle lamps for an 
even number of samples.
* * * * *

0
5. Section 430.3 is amended by:
0
a. Removing paragraph (c)(5) and redesignating paragraphs (c)(6) 
through (c)(19) as paragraphs (c)(5) through (c)(18);
0
b. Revising the newly redesignated paragraph (c)(5);
0
c. Revising paragraphs (k)(2) and (k)(5); and
0
d. Redesignating paragraph (k)(6) as (k)(7) and adding new paragraph 
(k)(6).
    The revisions and additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (c) ANSI. * * *
    (5) ANSI--ANSLG C78.81-2010, (``ANSI C78.81''), American National 
Standard for Electric Lamps--Double-Capped Fluorescent Lamps-- 
Dimensional and Electrical Characteristics, approved January 14, 2010, 
IBR approved for Sec.  430.2, Sec.  430.32, appendix Q, appendix Q1, 
and appendix R to subpart B.
* * * * *
    (k) IESNA. * * *
    (2) IES LM-9-09, (``IES LM-9''), IES Approved Method for the 
Electrical and Photometric Measurement of Fluorescent Lamps, approved 
January 31, 2009; IBR approved for Sec.  430.2 and appendix R to 
subpart B.
* * * * *
    (5) IES LM-45-09, (``IES LM-45''), IES Approved Method for the 
Electrical and Photometric Measurement of General Service Incandescent 
Filament Lamps, approved December 14, 2009; IBR approved for appendix R 
to subpart B.
    (6) IESNA LM-49-01 (``IESNA LM-49''), IESNA Approved Method for 
Life Testing of Incandescent Filament Lamps, approved December 1, 2001, 
IBR approved for Sec.  430.2 and appendix R to subpart B.
* * * * *
0
6. Section 430.23 is amended by adding paragraph (r)(6) to read as 
follows:


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

* * * * *
    (r) * * *
    (6) The rated lifetime for general service incandescent lamps shall 
be measured in accordance with test procedures described in section 4.2 
of Appendix R of this chapter. A lamp shall be compliant with standards 
if greater than 50 percent of the sample size specified in Sec.  429.27 
meets the minimum rated lifetime as specified by energy conservations 
standards for general service incandescent lamps.
* * * * *

0
7. Section 430.25 is revised to read as follows:


Sec.  430.25  Laboratory Accreditation Program.

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

0
8. Appendix Q to subpart B of part 430 is amended by revising sections 
1.5 through 1.10 and 2.1 to read as follows:

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

    1. Definitions
* * * * *
    1.5 F40T12 lamp means a nominal 40 watt tubular fluorescent lamp 
which is 48 inches in length and one and a half inches in diameter, 
and conforms to ANSI C78.81 (Data Sheet 7881-ANSI-1010-1) 
(incorporated by reference; see Sec.  430.3).
    1.6 F96T12 lamp means a nominal 75 watt tubular fluorescent lamp 
which is 96 inches in length and one and a half inches in diameter, 
and conforms to ANSI C78.81 (Data Sheet 7881-ANSI-3007-1) 
(incorporated by reference; see Sec.  430.3).
    1.7 F96T12HO lamp means a nominal 110 watt tubular fluorescent 
lamp that is 96 inches in length and one and a half inches in 
diameter, and conforms to ANSI C78.81 (Data Sheet 7881-ANSI-1019-1) 
(incorporated by reference; see Sec.  430.3).
    1.8 F34T12 lamp (also known as a ``F40T12/ES lamp'') means a 
nominal 34 watt tubular fluorescent lamp that is 48 inches in length 
and one and a half inches in diameter, and conforms to ANSI C78.81 
(Data Sheet 7881-ANSI-1006-1) (incorporated by reference; see Sec.  
430.3).
    1.9 F96T12/ES lamp means a nominal 60 watt tubular fluorescent 
lamp that is 96 inches in length and one and a half inches in 
diameter, and conforms to ANSI C78.81 (Data Sheet 7881-ANSI-3006-1) 
(incorporated by reference; see Sec.  430.3).
    1.10 F96T12HO/ES lamp means a nominal 95 watt tubular 
fluorescent lamp that is 96 inches in length and one and a half 
inches in diameter, and conforms to ANSI C78.81 (Data Sheet 7881-
ANSI-1017-1) (incorporated by reference; see Sec.  430.3).
* * * * *
    2. Test Conditions.
    2.1 Measurement of Active Mode Energy Consumption, BEF. The test 
conditions for testing fluorescent lamp ballasts shall be done in 
accordance with ANSI C82.2 (incorporated by reference; see Sec.  
430.3). Any subsequent amendment to this standard by the standard 
setting organization will not affect the DOE test procedures unless 
and until amended by DOE. The test conditions for measuring active 
mode energy consumption are described in sections 4, 5, and 6 of 
ANSI C82.2. The test conditions described in this section (2.1) are 
applicable to section 3.1 of section 3, Test Method and 
Measurements. For section 2.1 and 3, ANSI C78.81 (incorporated by 
reference; see Sec.  430.3), ANSI C82.1 (incorporated by reference; 
see Sec.  430.3), ANSI C82.11 (incorporated by reference; see Sec.  
430.3), and ANSI C82.13 (incorporated by reference; see Sec.  430.3) 
shall be used when applying ANSI

[[Page 4217]]

C82.2 instead of the versions listed as normative references in ANSI 
C82.2.
* * * * *


0
9. Appendix Q1 to subpart B of part 430 is amended by revising sections 
2.1, 2.3.1, and 2.4.1 to read as follows:

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

* * * * *
    2. Active Mode Procedure
    2.1. Where ANSI C82.2 (incorporated by reference; see Sec.  
430.3) references ANSI C82.1-1997, the operator shall use ANSI C82.1 
(incorporated by reference; see Sec.  430.3) for testing low-
frequency ballasts and shall use ANSI C82.11 (incorporated by 
reference; see Sec.  430.3) for testing high-frequency ballasts. In 
addition when applying ANSI C82.2, ANSI C78.81 (incorporated by 
reference; see Sec.  430.3), ANSI C82.1, ANSI C82.11, and ANSI 
C82.13 (incorporated by reference; see Sec.  430.3) shall be used 
instead of the versions listed as normative references in ANSI 
C82.2.
* * * * *
    2.3. Test Setup
    2.3.1. The ballast shall be connected to a main power source and 
to the fluorescent lamp load according to the manufacturer's wiring 
instructions and ANSI C82.1 (incorporated by reference; see Sec.  
430.3) and ANSI C78.81 (incorporated by reference; see Sec.  430.3).
* * * * *
    2.4. Test Conditions
    2.4.1. The test conditions for testing fluorescent lamp ballasts 
shall be done in accordance with ANSI C82.2 (incorporated by 
reference; see Sec.  430.3). DOE further specifies that the 
following revisions of the normative references indicated in ANSI 
C82.2 should be used in place of the references directly specified 
in ANSI C82.2: ANSI C78.81 (incorporated by reference; see Sec.  
430.3), ANSI C82.1 (incorporated by reference; see Sec.  430.3), 
ANSI C82.3 (incorporated by reference; see Sec.  430.3), ANSI C82.11 
(incorporated by reference; see Sec.  430.3), and ANSI C82.13 
(incorporated by reference; see Sec.  430.3). All other normative 
references shall be as specified in ANSI C82.2.
* * * * *


0
10. Appendix R to subpart B of part 430 is amended by:
0
a. Revising sections 2.1, 2.9, 3.1, 3.2, 4.1.1, 4.2.1, 4.2.2, and, 
4.4.1;
0
b. Adding new sections 4.2.3 and 4.2.3.1; and
0
c. Removing section 4.5.
    The revisions and additions read as follows:

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

* * * * *
    2. Definitions
    2.1 To the extent that definitions in the referenced IESNA and 
CIE standards do not conflict with the DOE definitions, the 
definitions specified in section 3.0 of IES LM-9 (incorporated by 
reference; see Sec.  430.3), section 3.0 of IESNA LM-20 
(incorporated by reference; see Sec.  430.3), section 3.0 and the 
Glossary of IES LM-45 (incorporated by reference; see Sec.  430.3), 
section 2 of IESNA LM-58 (incorporated by reference; see Sec.  
430.3), and Appendix 1 of CIE 13.3 (incorporated by reference; see 
Sec.  430.3) shall be included.
* * * * *
    2.9 Reference condition means the test condition specified in 
IES LM-9 for general service fluorescent lamps, in IESNA LM-20 for 
incandescent reflector lamps, and in IES LM-45 for general service 
incandescent lamps.
    3. Test Conditions
    3.1 General Service Fluorescent Lamps: For general service 
fluorescent lamps, the ambient conditions of the test and the 
electrical circuits, reference ballasts, stabilization requirements, 
instruments, detectors, and photometric test procedure and test 
report shall be as described in the relevant sections of IES LM-9 
(incorporated by reference; see Sec.  430.3).
    3.2 General Service Incandescent Lamps: For general service 
incandescent lamps, the selection and seasoning (initial burn-in) of 
the test lamps, the equipment and instrumentation, and the test 
conditions shall be as described in IES LM-45 (incorporated by 
reference; see Sec.  430.3).
* * * * *
    4. Test Methods and Measurements * * *
    4.1.1 The measurement procedure shall be as described in IES LM-
9 (incorporated by reference; see Sec.  430.3), except that lamps 
shall be operated at the appropriate voltage and current conditions 
as described in ANSI C78.375 (incorporated by reference; see Sec.  
430.3) and in ANSI C78.81 (incorporated by reference; see Sec.  
430.3) or ANSI C78.901 (incorporated by reference; see Sec.  430.3), 
and lamps shall be operated using the appropriate reference ballast 
at input voltage specified by the reference circuit as described in 
ANSI C82.3 (incorporated by reference; see Sec.  430.3). If, for a 
lamp, both low-frequency and high-frequency reference ballast 
settings are included in ANSI C78.81 or ANSI C78.901, the lamp shall 
be operated using the low-frequency reference ballast.
* * * * *
    4.2 General Service Incandescent Lamps
    4.2.1 The measurement procedure shall be as described in IES LM-
45 (incorporated by reference; see Sec.  430.3). Lamps shall be 
operated at the rated voltage as defined in Sec.  430.2.
    4.2.2 The test procedure shall conform to sections 6 and 7 of 
IES LM-45, and the lumen output of the lamp shall be determined in 
accordance with section 7 of IES LM-45. Lamp electrical power input 
in watts shall be measured and recorded. Lamp efficacy shall be 
determined by computing the ratio of the measured lamp lumen output 
and lamp electrical power input at equilibrium for the reference 
condition. The test report shall conform to section 8 of IES LM-45.
    4.2.3 The measurement procedure for testing the lifetime of 
general service incandescent lamps shall be as described in IESNA 
LM-49 (incorporated by reference; see Sec.  430.3). The lifetime 
measurement shall be taken by measuring the operating time of a 
lamp, expressed in hours, not including any off time. The percentage 
of the sample size that meets the minimum rated lifetime shall be 
recorded. The lamp shall be deemed to meet minimum rated lifetime 
standards if greater than 50 percent of the sample size specified in 
Sec.  429.27 meets the minimum rated lifetime.
    4.2.3.1 Accelerated lifetime testing is not allowed. The second 
paragraph of section 6.1 of IESNA LM-49 is to be disregarded.
* * * * *
    4.4 Determination of Color Rendering Index and Correlated Color 
Temperature
    4.4.1 The CRI shall be determined in accordance with the method 
specified in CIE 13.3 (incorporated by reference; see Sec.  430.3) 
for general service fluorescent lamps. The CCT shall be determined 
in accordance with the method specified in IES LM-9 (incorporated by 
reference; see Sec.  430.3) and rounded to the nearest 10 kelvin for 
general service fluorescent lamps. The CCT shall be determined in 
accordance with the CIE 15 (incorporated by reference; see Sec.  
430.3) for incandescent lamps. The required spectroradiometric 
measurement and characterization shall be conducted in accordance 
with the methods set forth in IESNA LM-58 (incorporated by 
reference; see Sec.  430.3).
* * * * *
[FR Doc. 2012-1681 Filed 1-26-12; 8:45 am]
BILLING CODE 6450-01-P