[Federal Register Volume 80, Number 147 (Friday, July 31, 2015)]
[Proposed Rules]
[Pages 45724-45756]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-17866]



[[Page 45723]]

Vol. 80

Friday,

No. 147

July 31, 2015

Part II





Department of Energy





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10 CFR Parts 429 and 430





Energy Conservation Program: Test Procedures for Compact Fluorescent 
Lamps; Proposed Rule

  Federal Register / Vol. 80 , No. 147 / Friday, July 31, 2015 / 
Proposed Rules  

[[Page 45724]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2015-BT-TP-0014]
RIN 1904-AC74


Energy Conservation Program: Test Procedures for Compact 
Fluorescent Lamps

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

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

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SUMMARY: The U.S. Department of Energy (DOE) proposes to amend and 
expand its test procedures for medium base compact fluorescent lamps 
(MBCFLs). DOE proposes to replace references to ENERGY STAR 
requirements with references to the latest versions of industry 
standard test methods, which, with certain modifications, would replace 
the existing MBCFL test procedures. DOE is proposing to make these 
amendments in the existing appendix W to subpart B (Appendix W), 
renamed as ``Uniform Test Method for Measuring the Energy Consumption 
of Compact Fluorescent Lamps.'' In addition, DOE proposes to establish 
test procedures that would support the ongoing energy conservation 
standards rulemaking for general service lamps (GSLs) (GSL standards 
rulemaking), including test methods for new performance metrics and for 
additional compact fluorescent lamp (CFL) categories, including non-
integrated CFLs and integrated CFLs that are not MBCFLs. DOE also 
proposes to revise its sampling plan for manufacturers to certify that 
their CFLs comply with the applicable energy conservation standards. 
DOE proposes to incorporate measures of standby mode power consumption 
in its test procedures. DOE also proposes various other conforming 
amendments. DOE also announces a public meeting to receive comments on 
these proposed amendments to the test procedures.

DATES: DOE will hold a public meeting on Monday, August 31, 2015, from 
9 a.m. to 4 p.m., in Washington, DC. The meeting will also be broadcast 
as a webinar. See section V, ``Public Participation,'' for webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants.
    DOE will accept comments, data, and information regarding this 
Notice of Proposed Rulemaking (NOPR) before and after the public 
meeting, but no later than October 14, 2015. See section V, ``Public 
Participation,'' for details.

ADDRESSES: The public meeting will be held at the U.S. Department of 
Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue SW., 
Washington, DC 20585.
    Any comments submitted must identify the NOPR for Test Procedures 
for Compact Fluorescent Lamps, and provide docket number EERE-2015-BT-
TP-0014 and/or regulatory information number (RIN) 1904-AC74. Comments 
may be submitted using any of the following methods:
    1. Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    2. Email: [email protected]. Include the docket number EERE-
2015-BT-TP-0014 and/or RIN 1904-AC74 in the subject line of the 
message.
    3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building 
Technologies Office, Mailstop EE-2J, 1000 Independence Avenue SW., 
Washington, DC 20585-0121. If possible, please submit all items on a 
CD, in which case it is not necessary to include printed copies.
    4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Office, 950 L'Enfant Plaza SW., Suite 
600, Washington, DC 20024. Telephone: (202) 586-2945. If possible, 
please submit all items on a CD, in which case it is not necessary to 
include printed copies.
    For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section V of this notice, 
``Public Participation.''
    Docket: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at regulations.gov. All 
documents in the docket are listed in the www.regulations.gov index. 
However, some documents listed in the index, such as those containing 
information that is exempt from public disclosure, may not be publicly 
available.
    A link to the docket Web page can be found at www.eere.energy.gov/buildings/appliance_standards/product.aspx/productid/28. This Web page 
will link to the docket for this notice on the www.regulations.gov 
site. The www.regulations.gov site will contain simple instructions on 
how to access all documents, including public comments, in the docket. 
See section V, ``Public Participation,'' for information on how to 
submit comments through www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-2J, 1000 Independence Avenue SW., Washington, 
DC 20585-0121. Telephone: (202) 287-1604. Email: 
[email protected].
    Ms. Celia Sher, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 287-6122. Email: [email protected].
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the public meeting, 
contact Ms. Brenda Edwards at (202) 586-2945 or by email: 
[email protected].

SUPPLEMENTARY INFORMATION: DOE intends to incorporate by reference the 
following industry standards into 10 CFR part 430:
    (1) ANSI_IEC C78.901-2014, ``American National Standard for 
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and 
Electrical Characteristics.''
    Copies of ANSI_IEC C78.901-2014 can be obtained from ANSI Attn: 
Customer Service Department, 25 W. 43rd Street, 4th Floor, New York, NY 
10036, or by going to http://webstore.ansi.org/.
    (2) IES LM-54-12, ``IES Guide to Lamp Seasoning.''
    (3) IES LM-65-14, ``IES Approved Method for Life Testing of Single-
Based Fluorescent Lamps.''
    (4) IES LM-66-14, ``IES Approved Method for the Electrical and 
Photometric Measurements of Single-Based Fluorescent Lamps.''
    (5) IESNA LM-78-07, ``IESNA Approved Method for Total Luminous Flux 
Measurement of Lamps Using an Integrating Sphere Photometer.''
    Copies of IES LM-54-12, IES LM-65-14, IES LM-66-14, and IES LM-78-
07 can be obtained from IES, 120 Wall Street, Floor 17, New York, NY 
10005-4001, or by going to www.ies.org/store.

Table of Contents

I. Authority and Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
    A. Seven-Year Test Procedure Review
    B. Amendments to Appendix W to Subpart B of 10 CFR Part 430
    1. Updates to Industry Test Methods
    a. IES LM-66-14 ``IES Approved Method for the Electrical and 
Photometric

[[Page 45725]]

Measurements of Single-Based Fluorescent Lamps''
    b. IES LM-54-12 ``IES Guide to Lamp Seasoning''
    c. IES LM-65-14 ``IES Approved Method for Life Testing of 
Single-Based Fluorescent Lamps''
    2. Clarifications to General Test Conditions and Setup
    a. Instrumentation
    b. Ambient Temperature
    c. Input Voltage
    d. Lamp Orientation
    e. Lamp Seasoning
    f. Lamp Stabilization
    g. Fixtures
    h. Ballasted Adapters
    i. Multi-Level CFLs and Dimmable CFLs
    3. Clarifications to Definitions
    a. Average Rated Life
    b. Initial Performance Values
    c. Lumen Maintenance
    d. Rated Supply Frequency
    e. Rated Wattage
    f. Self-Ballasted Compact Fluorescent Lamp
    4. Test Procedures for Existing and New Metrics
    a. Test Procedures for Initial Lamp Efficacy, Lumen Maintenance, 
CCT, CRI, and Power Factor
    b. Test Procedures for Time to Failure and Rapid Cycle Stress
    c. Test Procedure for Start Time
    5. Test Procedures for New CFL Categories
    a. Test Procedures for Integrated CFLs
    b. Test Procedures for Non-Integrated CFLs
    c. Test Procedures for Hybrid CFLs
    6. Test Procedure for Standby Mode Power
    7. Rounding Values
    C. Amendments to Definitions at 10 CFR 430.2
    1. Compact Fluorescent Lamp
    2. Correlated Color Temperature
    D. Amendments to Materials Incorporated by Reference at 10 CFR 
430.3
    E. Amendments to 10 CFR 430.23(y)
    F. Amendments to Laboratory Accreditation Requirements at 10 CFR 
430.25
    G. Clarifications to Energy Conservation Standard Text at 10 CFR 
430.32(u)
    1. Initial Lamp Efficacy
    2. Lumen Maintenance at 1,000 Hours
    3. Lumen Maintenance at 40 Percent of Lifetime
    4. Rapid Cycle Stress Test
    5. Lifetime
    H. Amendments to Certification Report Requirements
    I. Amendments to 10 CFR 429.35
    1. Initial Lamp Efficacy and Lumen Maintenance
    2. Rapid Cycle Stress Testing
    3. Lifetime of a Compact Fluorescent Lamp
    4. New Metrics
    5. Reuse of Samples
    J. Federal Trade Commission (FTC) Labeling Requirements
    K. Effective Date and Compliance Dates
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    1. Small Business Manufacturers of Covered Products
    2. Burden Related to Proposed Amendments to Appendix W
    a. Updates to Industry Test Methods
    b. Test Procedures Scope of Coverage
    c. Proposed New Test Procedures
    d. Sample Size
    e. Analysis of Burden
    f. Summary
    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 the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Description of Materials Incorporated by Reference
V. Public Participation
    A. Attendance at Public Meeting
    B. Procedure for Submitting Prepared General Statement for 
Distribution
    C. Conduct of Public Meeting
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    Title III of the Energy Policy and Conservation Act of 1975 (42 
U.S.C. 6291, et seq.; ``EPCA'' or, ``the Act'') sets forth a variety of 
provisions designed to improve energy efficiency. All references to 
EPCA refer to the statute as amended through the Energy Efficiency 
Improvement Act of 2015 (EEIA 2015), Public Law 114-11 (April 30, 
2015). Part B of title III, which for editorial reasons was 
redesignated as Part A upon incorporation into the U.S. Code (42 U.S.C. 
6291-6309, as codified), establishes the ``Energy Conservation Program 
for Consumer Products Other Than Automobiles.'' These include CFLs, the 
subject of this NOPR.
    Under EPCA, the energy conservation program consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. The 
testing requirements consist of test procedures that manufacturers of 
covered products must use as the basis for (1) certifying to DOE that 
their products comply with the applicable energy conservation standards 
adopted under EPCA (42 U.S.C. 6295(s)) and (2) making representations 
about the energy use or efficiency of the products. (42 U.S.C. 6293(c)) 
Similarly, DOE must use these test procedures to determine whether the 
products comply with any relevant standards promulgated under EPCA. (42 
U.S.C. 6295(s))
    The Energy Policy Act of 2005 (Pub. L. 109-58) amended EPCA to 
require that MBCFL test procedures be based on the August 2001 version 
of the ``ENERGY STAR[supreg] Program Requirements for CFLs.'' \1\ (42 
U.S.C. 6293(b)(12)) Consistent with this requirement, DOE published a 
final rule in December 2006 (December 2006 final rule) and established 
DOE's current test procedures for MBCFLs under 10 CFR part 430, subpart 
B, appendix W. 71 FR 71340 (Dec. 8, 2006).\2\
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    \1\ ENERGY STAR[supreg] Program Requirements for CFLs Partner 
Commitments, Version 2.0. August 9, 2001. Washington, DC. 
www.energystar.gov/ia/partners/product_specs/program_reqs/archive/CFLs_Program_RequirementsV2.0.pdf.
    \2\ On December 8, 2006, DOE incorporated by reference the 
ENERGY STAR[supreg] Program Requirements for CFLs, ENERGY STAR 
Eligibility Criteria, Energy-Efficiency Specification, Version 2.0 
as the Department's test procedures for measuring the energy 
performance of MBCFLs. Information on the ENERGY STAR program is 
available at www.energystar.gov.
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    Additionally, EPCA requires that at least once every 7 years, DOE 
must conduct an evaluation of all covered products and either amend the 
test procedures or publish a determination in the Federal Register not 
to amend them. (42 U.S.C. 6293(b)(1)(A)) DOE is undertaking this 
rulemaking, including the publication of this NOPR, to meet this EPCA 
requirement. As discussed in section III.B.1 of this NOPR, DOE is 
proposing to replace the existing references to ENERGY STAR program 
requirements with direct references to the latest versions of the 
appropriate industry test methods from IES. Directly referencing the 
latest industry standards will allow DOE to adopt current best 
practices and technological developments in its test procedures.
    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. (42 U.S.C. 6293(b)) EPCA provides, in relevant part, 
that any test procedures prescribed or amended under this section shall 
be reasonably designed to produce test results that 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)) 
Pursuant to this authority, DOE proposes to amend the test procedures 
currently applicable to MBCFLs to include additional CFL categories in 
support of the ongoing GSL standards rulemaking.
    If DOE determines that a test procedure amendment is warranted, it

[[Page 45726]]

must publish the proposed test procedure and offer the public an 
opportunity to present oral and written comments on them. (42 U.S.C. 
6293(b)(2)) In any rulemaking to amend test procedures, DOE must 
determine to what extent, if any, the proposed test procedures would 
alter the measured energy efficiency of any covered products as 
determined under the existing test procedures. (42 U.S.C. 6293(e)(1))
    Finally, EPCA directs DOE to amend its test procedures for all 
covered products to integrate measures of standby mode and off mode 
energy consumption, if technically feasible. (42 U.S.C. 6295(gg)(2)(A)) 
Standby mode and off mode energy must be incorporated into the overall 
energy efficiency, energy consumption, or other energy descriptor for 
each covered product unless the current test procedures already account 
for and incorporate standby and off mode energy consumption or such 
integration is technically infeasible. If an integrated test procedure 
is technically infeasible, DOE must prescribe a separate standby mode 
and off mode energy use test procedure for the covered product. Id. Any 
such amendment must consider the most current versions of the IEC 
Standard 62301 \3\ and IEC Standard 62087 \4\ as applicable. DOE has 
tentatively determined that CFLs operate under standby mode but not 
under off mode. Consistent with EPCA's relevant requirement, DOE 
proposes to address measurement of standby mode power in Appendix W, as 
detailed in section III.B.6 of this NOPR.
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    \3\ Household electrical appliances--Measurement of standby 
power (Edition 2.0, 2011-01).
    \4\ Methods of measurement for the power consumption of audio, 
video, and related equipment (Edition 3.0, 2011-04).
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II. Synopsis of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes to amend DOE's current test procedures 
for MBCFLs contained in Appendix W. These amendments include (1) 
replacing references to ENERGY STAR requirements with references to the 
latest versions of industry standards; (2) revising certain 
definitions; (3) providing further instruction on test setup, test 
methods, and sampling requirements; and (4) removing testing specific 
language from the existing MBCFL energy conservation standards 
contained in 10 CFR 430.32(u). DOE has tentatively concluded that these 
proposed amendments will not affect any measurements required to comply 
with existing standards, as detailed in the discussion of each proposed 
amendment.
    DOE also proposes to (1) adopt test procedures for additional CFL 
categories in support of the ongoing GSL standards rulemaking, (2) 
adopt test procedures for additional CFL metrics in support of the 
ongoing GSL standards rulemaking, (3) adopt a test procedure for 
measuring standby mode power consumption for MBCFLs and all other CFL 
categories covered by the ongoing GSL standards rulemaking, as 
appropriate, and (4) adopt a revised sampling plan for MBCFLs and all 
other CFL categories covered by the ongoing GSL standards rulemaking.
    In order to support the ongoing GSL standards rulemaking, DOE is 
proposing to expand the existing MBCFL test procedures to include 
additional CFL categories. DOE's existing energy conservation standards 
and test procedures apply only to integrated (also referred to as self-
ballasted or integrally ballasted) MBCFLs. The ongoing GSL standards 
rulemaking addresses CFLs, including non-integrated CFLs and integrated 
CFLs. Similarly, additional CFL metrics may be necessary to support 
potential standards from the ongoing GSL standards rulemaking.\5\ 
Therefore, in this NOPR, DOE proposes to establish test procedures for 
additional CFL categories and CFL metrics in Appendix W. Additionally, 
DOE proposes to establish a test procedure for CFL standby mode power 
consumption, as directed by EPCA; this test procedure would only apply 
to integrated CFLs because non-integrated CFLs are not capable of 
standby mode operation. DOE also proposes to revise the current 
sampling plan in 10 CFR 429.35 to ensure more representative and 
accurate values of the existing metrics and to address the proposed new 
metrics in Appendix W.
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    \5\ Information regarding the General Service Lamps Rulemaking 
can be found on regulations.gov, docket number EERE-2013-BT-STD-0051 
at www.regulations.gov/#!docketDetail;D=EERE-2013-BT-STD-0051.
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    DOE is also proposing a revised sampling plan that is consistent 
with ``ENERGY STAR[supreg] Program Requirements Product Specification 
for Lamps (Light Bulbs), Eligibility Criteria, Version 1.1'' (effective 
September 30, 2014) \6\ (hereafter ``ENERGY STAR Lamps Specification 
v1.1''), as detailed in section III.I. Further, the metrics required in 
the proposed test procedures are also required by ENERGY STAR Lamps 
Specification v1.1. Therefore, the proposed test procedures in Appendix 
W can be conducted concurrently with ENERGY STAR certification without 
significant additional burden.
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    \6\ ENERGY STAR[supreg] Program Requirements Product 
Specification for Lamps (Light Bulbs), Eligibility Criteria, Version 
1.1. August 28, 2014. Washington, DC. www.energystar.gov/sites/default/files/ENERGY%20STAR%20Lamps%20V1%201_Specification.pdf
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III. Discussion

A. Seven-Year Test Procedure Review

    In undertaking this rulemaking, DOE is fulfilling its statutory 
obligation under EPCA to review its test procedures for all covered 
products, including MBCFLs, at least once every 7 years. (42 U.S.C. 
6293(b)(1)(A)) Within this period, DOE must either: (1) Amend the test 
procedure to improve its measurement representativeness or accuracy or 
reduce its burden, or (2) determine that such amendments are 
unnecessary. Id. Although DOE is proposing revisions only to certain 
parts of the existing test procedures, DOE requests comment on all 
aspects of DOE's test procedures, including those provisions appearing 
at 10 CFR 429.35, 10 CFR 430.23, and Appendix W, as well as comments on 
current best practices and technological developments that may warrant 
additional amendments.

B. Amendments to Appendix W to Subpart B of 10 CFR Part 430

    In this NOPR, DOE proposes several updates to the existing test 
procedures for MBCFLs as specified in Appendix W. Specifically, DOE 
proposes to (1) replace references to ENERGY STAR requirements with 
references to the latest versions of industry standards, (2) revise 
certain definitions, and (3) provide further instruction on test setup 
and test methods. DOE has tentatively concluded that since these 
changes mainly provide clarifications to the existing test procedures 
for MBCFLs, these amendments would not significantly alter measured 
values requiring compliance for existing standards for MBCFLs, nor 
would they pose an increased test burden to manufacturers.
    This NOPR also proposes to expand the existing test procedures to 
additional CFL categories (i.e., non-MBCFL integrated, non-integrated, 
and hybrid CFLs), include test procedures for additional CFL metrics, 
and include a test procedure to measure standby mode power consumption 
of CFLs where applicable.
    DOE is proposing the inclusion of additional CFL categories and 
metrics in support of the ongoing GSL standards rulemaking. In the 
ongoing GSL standards rulemaking, DOE is considering revising and/or 
developing

[[Page 45727]]

standards for integrated and non-integrated CFLs, as well as requiring 
additional CFL metrics, including correlated color temperature (CCT), 
color rendering index (CRI), start time, and power factor. Should DOE 
establish energy conservation standards for these additional CFL 
categories and require additional metrics in the ongoing GSL standards 
rulemaking, DOE must first prescribe test procedures for these 
products, as required by EPCA. (42 U.S.C. 6295(o)(3)(A)) Therefore, DOE 
is proposing test procedures for additional CFL categories and metrics 
in this NOPR. DOE also proposes to delete the text ``medium base'' from 
the title of Appendix W to reflect the proposed inclusion of additional 
CFL categories.
    Further, DOE is proposing a test procedure for measuring standby 
mode power consumption of CFLs, where applicable, according to the EPCA 
requirement that test procedures for all covered products must 
integrate measures of standby mode and off mode energy consumption, if 
technically feasible. (42 U.S.C. 6295(gg)(2)(A))
    DOE has tentatively concluded that test procedures proposed in 
Appendix W do not pose an undue burden to manufacturers. The additional 
metrics of CCT, CRI, start time, and power factor would require 
equipment that is considered standard laboratory equipment or already 
used for the measurement of existing metrics. The measurements of these 
metrics would likely not require considerable time. Additionally, DOE 
is proposing to require the same sample of units to be used for initial 
lamp efficacy, lifetime, lumen maintenance values, CRI, CCT, power 
factor, start time, and standby mode power.
    In the sections that follow, DOE discusses the proposed test 
procedures for CFLs in Appendix W including (1) industry standard test 
procedures incorporated by reference; (2) definitions; (3) general 
instructions; (4) test procedures for existing and new metrics (i.e., 
CCT, CRI, power factor, and start time); (5) test procedures for 
additional CFL categories (i.e., non-MBCFL integrated, non-integrated, 
and hybrid CFLs); (6) a test procedure for measuring standby mode power 
consumption; and (7) rounding requirements.
1. Updates to Industry Test Methods
    DOE's existing MBCFL test procedures contained in Appendix W are 
based on the August 2001 version of the ``ENERGY STAR[supreg] Program 
Requirements for CFLs,'' \7\ which has since been updated several 
times. DOE is proposing to replace the existing references to ENERGY 
STAR program requirements with direct references to the latest versions 
of the appropriate industry test methods from IES. Directly referencing 
the latest industry standards will allow DOE to adopt current best 
practices and technological developments in its test procedures. Test 
procedures for all additional CFL categories and new CFL metrics 
proposed in this NOPR would also reference these latest versions of 
relevant industry standards.
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    \7\ ENERGY STAR[supreg] Program Requirements for CFLs Partner 
Commitments, Version 2.0. August 9, 2001. Washington, DC. 
www.energystar.gov/ia/partners/product_specs/program_reqs/archive/CFLs_Program_RequirementsV2.0.pdf
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    More specifically, the ENERGY STAR program requirements referenced 
IES LM-66-1991 \8\ for photometric measurements and IES LM-65-1991 \9\ 
for lifetime testing measurements.\10\ IES LM-66-1991 in turn 
referenced IES LM-54-1991 \11\ for lamp seasoning guidance. Therefore, 
DOE proposes to directly incorporate by reference in Appendix W the 
latest versions of these industry test procedures: IES LM-66-14,\12\ 
IES LM-65-14,\13\ and IES LM-54-12.\14\ Accordingly, DOE proposes to no 
longer incorporate by reference the August 2001 version of the ENERGY 
STAR Program Requirements for CFLs, previously approved for Appendix 
W.\15\
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    \8\ Electrical and Photometric Measurements of Single-Ended 
Compact Fluorescent Lamps (approved June 1991).
    \9\ Life Testing of Single-Ended Compact Fluorescent Lamps 
(approved June 1991).
    \10\ Until recently, the Illuminating Engineering Society of 
North America used the acronym ``IESNA.'' For simplicity, this NOPR 
applies the currently used ``IES'' acronym to all IES publications.
    \11\ Lamp Seasoning (approved June 1991).
    \12\ IES Approved Method for the Electrical and Photometric 
Measurements of Single-Based Fluorescent Lamps (approved December 
30, 2014).
    \13\ IES Approved Method for Life Testing of Single-Based 
Fluorescent Lamps (approved December 30, 2014).
    \14\ IES Guide to Lamp Seasoning (approved October 22, 2012).
    \15\ Incorporation by reference located at 10 CFR 430.3.
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    Industry periodically updates its test procedure standards to 
account for changes in product lines and/or developments in test 
methodology and equipment. In considering whether to incorporate an 
updated industry standard, DOE must ensure that any amended test 
procedure would not be unduly burdensome to conduct. (42 U.S.C. 
6293(b)(3)) DOE has preliminarily determined that the changes 
associated with adoption of the updated versions of industry standards 
would not be unduly burdensome for manufacturers of CFLs for which DOE 
is proposing test procedures in this NOPR.
    When DOE modifies test procedures, EPCA requires that DOE determine 
to what extent, if any, the new test procedure would alter the measured 
energy use of covered products. (42 U.S.C. 6293(e)(1)) DOE compared the 
currently referenced versions and the proposed updated versions of the 
relevant industry standards to determine, as directed by EPCA, whether 
adopting the latest industry standards would alter measured energy 
efficiency for MBCFLs, which are currently regulated and are subject to 
existing DOE test procedures. In its review of the updated versions of 
industry standards, DOE identified some provisions in the revised 
industry test procedures that could potentially result in small changes 
in measured values of MBCFLs (e.g., modifications to impedance 
thresholds, preburning ambient conditions). DOE has tentatively 
determined that these changes would have no more than a de minimis 
effect on measured values and test burden.\16\ Thus, DOE tentatively 
concludes that these amendments in the NOPR do not affect reported 
efficacy values to the extent that would warrant modifications to 
energy conservation standards. DOE requests comment on its proposed 
incorporation of updated versions of industry standards and its 
tentative conclusion that the updates would not have a significant 
impact on measured values for MBCFLs or test burden for CFL 
manufacturers. The following sections discuss in more detail each of 
the updated industry standards and impacts on measured values of MBCFLs 
and test burden.
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    \16\ In this notice, changes in efficacy that are described as 
``de minimis'' are considered to be within measurement error or 
variation.
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a. IES LM-66-14 ``IES Approved Method for the Electrical and 
Photometric Measurements of Single-Based Fluorescent Lamps''
    IES LM-66-1991 specified procedures for taking electrical and 
photometric measurements of CFLs (including MBCFLs). As discussed in 
section III.B.1, this industry standard has been updated with a 2014 
edition. DOE is proposing to directly incorporate by reference IES LM-
66-14, and to no longer incorporate by reference the August 2001 
version of the ENERGY STAR Program Requirements for CFLs, which 
referenced the 1991 version of LM-66. A review indicates that 
incorporating the 2014 edition of IES LM-66 would provide further

[[Page 45728]]

clarification of the test procedures and improve the test methodology.
    DOE has identified the following eight key updates in the 2014 
edition of IES LM-66 (IES LM-66-14) and discusses their impact on 
MBCFLs in greater detail in this section. Specifically, IES LM-66-14:
    (1) Adds lamp vibration requirements,
    (2) removes the quantitative airflow recommendation from ambient 
conditions,
    (3) modifies the lamp orientation requirements,
    (4) clarifies the voltage waveshape requirements for the power 
supply,
    (5) modifies the type of instrument used for measuring power, 
voltage, and current,
    (6) modifies electrical instrumentation requirements related to 
frequency response, impedance, tolerance, and power factor
    (7) modifies the lamp handling requirements, and
    (8) modifies the lamp stabilization methodology.
    One of the key updates in IES LM-66-14 is the addition of vibration 
requirements. Section 4.2 of IES LM-66-14 states that lamps should not 
be subjected to excessive vibration or shock during testing, storage, 
or handling. Section 7.2 of IES LM-66-1991 stated that care must be 
taken to avoid shaking or bumping the lamp during transfer as this 
could cause mercury to dislodge from the cool zones. DOE has determined 
that this update only rephrases the requirement that lamps should not 
be subjected to excessive vibration or shock, during testing, storage, 
or handling without changing the substantive meaning. For this reason, 
DOE has tentatively concluded that the revised vibration requirements 
would not impact measured values or increase test burden.
    IES LM-66-14 does not include a quantitative airflow recommendation 
that was included in the 1991 edition. Section 4.4 of IES LM-66-14 
states that air movement can substantially alter measured values and 
that no discernable airflow, other than that from the tested device, is 
allowed; it also specifies that discernable airflow can be tested by 
hanging a single ply tissue paper in place of the lamp. Section 3.3 of 
IES LM-66-1991 had recommended that the airflow not exceed 5 meters per 
minute. Upon review, DOE has tentatively concluded that because the 
quantitative airflow specification in IES LM-66-1991 was only a 
recommendation and the guidelines of the procedure remain the same, the 
changes would have no more than a de minimis effect on measured values 
and test burden.
    IES LM-66-14 also modifies the lamp orientation (i.e., position) 
requirements during testing. Section 4.5 of IES LM-66-14 states that 
the operating orientation of the lamps under test should be as 
specified by the manufacturer, and that when an orientation is not 
specified, or where more than one orientation is specified, the lamp 
should be tested in the orientation that will be used in the 
application and shall be reported in the test report; it also states 
that seasoning, preburning, and photometric measurements shall all be 
done with the lamp in the same orientation. Sections 7.1, 7.2, 7.6, and 
11.2 of IES LM-66-1991 required testing in a base up position. However, 
10 CFR 429.35 specifies the operating orientation for MBCFLs. The 
modification to the lamp orientation in IES LM-66-14 will not impact 
measured values as the requirements currently in 10 CFR 429.35, and as 
proposed in Appendix W, dictate orientation. For these reasons, DOE has 
tentatively concluded that the revised lamp orientation requirement in 
IES LM-66-14 would not impact measured values or increase test burden.
    IES LM-66-14 also clarifies the voltage waveshape requirements of 
the power supply. Section 5.1.1 of IES LM-66-14 states that the power 
supply shall have a sinusoidal voltage waveshape such that the total 
harmonic distortion (THD) does not exceed 3 percent of the fundamental 
frequency when operating a purely resistive load. Section 2.1 of IES 
LM-66-1991 stated that the AC power supply, while operating the test 
lamp, should have a voltage waveshape such that the root mean square 
(RMS) summation of the harmonic components does not exceed 3 percent of 
the fundamental. DOE understands that alternating current (AC) power 
supplies are expected to provide a sinusoidal voltage waveshape, and 
that in practice industry may already use a purely resistive load to 
determine power supply THD. For these reasons, DOE has tentatively 
concluded that the clarified voltage waveshape requirements in IES LM-
66-14 would not impact measured values or increase test burden.
    IES LM-66-14 also restricts the type of instrument used for 
measurement of power, voltage, and current. Section 5.2 of IES LM-66-14 
requires the use of a multifunction instrument in the measurement 
circuit. Section 5 of IES LM-66-1991 permitted the use of multiple 
single-function instruments in lieu of a single multifunction 
instrument; however, it also stated that a single multifunction 
instrument offers the advantage of simplicity and in most cases 
eliminates the need for correction. DOE understands that in practice 
industry may already use a single multifunction instrument in lieu of 
multiple single-function instruments. DOE has tentatively concluded 
that the required use of a multifunction instrument would not impact 
measured values or increase test burden.
    IES LM-66-14 also adds a requirement for frequency response of 
measurement instruments. Section 5.3.1 of IES LM-66-14 states that for 
high frequency measurements, instruments shall have minimum frequency 
response of 100 kilohertz (kHz). IES LM-66-1991 did not state a minimum 
frequency response for high frequency measurements. DOE understands 
that in practice industry may already use instruments with a minimum 
100 kHz frequency response for high frequency measurements of MBCFLs 
that contain electronic ballasts. DOE has tentatively concluded that 
the added requirement for minimum frequency response would not impact 
measured values or increase test burden.
    IES LM-66-14 also modifies the impedance thresholds for electrical 
instrumentation. Section 5.3.2 of IES LM-66-14 states that voltage 
inputs of the multifunction meter must have input impedances greater 
than 1 megaohm (M[Omega]), and current inputs must have impedances less 
than 20 milliohms (m[Omega]). Accordingly, IES LM-66-14 also does not 
contain a section from IES LM-66-1991 addressing measurement 
corrections for using instruments with lower impendences (i.e., under 1 
M[Omega]). Section 8.2 of IES LM-66-1991 had stated that instruments 
connected in parallel with the lamp may not draw more than 1 percent of 
the lamp rated current, and instruments in series should have an 
impedance such that the voltage across the instrument coil does not 
exceed 2 percent of the rated lamp voltage. The updated impedance 
thresholds in IES LM-66-14 should help reduce potential error by 
eliminating the need to correct measured values. Because the updates to 
impedance limitations mainly affect error correction and ensure 
accurate measurements, DOE has tentatively concluded that these changes 
would not affect measured values or pose additional test burden.
    IES LM-66-14 also modifies electrical instrumentation requirements 
related to instrument tolerance and power factor. Section 5.3.3 of IES 
LM-66-14 states that instrument tolerance (i.e., accuracy) shall be 
0.5 percent or less for voltage and current, and 0.75 percent or less

[[Page 45729]]

for wattage. Section 8.1 of IES LM-66-1991 included these same criteria 
as recommendations rather than requirements, and had limited their 
application to frequencies up to 2,000 hertz (Hz). Further, IES LM-66-
14 does not contain a specification from IES LM-66-1991 that the power 
factor for ammeters and voltmeters not exceed 20 percent. Upon review, 
DOE has tentatively concluded that these modifications would ensure 
accurate and consistent measurements and would not have more than a de 
minimis impact on measured values and test burden.
    IES LM-66-14 also modifies the handling requirements for CFLs, 
including MBCFLs. Section 6.1.1 of IES LM-66-14 references the 
description for handling in IES LM-54-12. Section 6.1.1 of IES LM-54-12 
states that CFLs should cool for at least one hour prior to being 
disturbed. It also recommends that lamps removed for evaluation, 
handling, transporting, or storing should be maintained in the same 
orientation as during the seasoning to reduce lamp stabilization time. 
Section 7.2 of IES LM-66-1991 stated that the lamp will be less 
sensitive to movement if it is allowed to cool down for 15 minutes 
before being transferred to the photometric equipment. DOE understands 
that in practice industry may already be handling CFLs in this manner 
to maintain the consistency and integrity of the testing while 
evaluating, transporting, and/or storing lamps. Therefore, DOE has 
tentatively concluded that the modified handling requirements would not 
have a significant impact on measured values or increase test burden.
    Section 6.2.1 of IES LM-66-14 also modifies the lamp stabilization 
methodology by now including a preferred four step method for 
determining if a CFL is stable. The new methodology involves taking six 
consecutive lumen output measurements at 1-minute intervals, averaging 
these measurements, and then calculating the stability, as a 
percentage, by dividing the difference between the maximum and minimum 
measured values by the average value. If stability exceeds 1 percent 
for the period, lumen output measurements in 1-minute intervals must 
continue until stability over six consecutive lumen output measurements 
is achieved. When the 1 percent threshold is met, the lamp is 
considered stable. Section 1.2 of IES LM-66-1991 stated that 
stabilization refers to the burning of test lamps for a sufficient 
period of time such that electrical and photometric values are 
constant; section 7.3 further stated that 15 minutes is usually 
sufficient for stability, although periodically checking measured 
lumens, lamp volts, or both is preferred. Upon review, DOE has 
tentatively concluded that the new methodology provides more detailed 
instruction for determining when a lamp is stable and would have no 
more than a de minimis effect on measured values and test burden.
    In addition to the previously mentioned updates, IES LM-66-14 
provides recommendations and further guidance that remove a number of 
ambiguities in the previous version (e.g., updates to definitions, 
organization, and references). Because these proposed updates do not 
involve substantive changes to the test setup and methodology, but 
rather just clarifications, DOE has tentatively concluded they would 
not affect measured values or pose additional test burden.
    DOE requests comments on its assessment of the updates in IES LM-
66-14 and their impacts on measured values of MBCFLs and test burden.
b. IES LM-54-12 ``IES Guide to Lamp Seasoning''
    IES LM-54-1991 specified procedures for seasoning CFLs (including 
MBCFLs). As discussed in section III.B.1, IES LM-54-1991 has been 
updated with a 2012 edition, IES LM-54-12. Section 6.1.2 of IES LM-66-
14, which DOE is proposing to directly incorporate by reference, states 
that all new single-based fluorescent lamps selected for test shall be 
seasoned per IES LM-54-12. DOE is proposing to directly incorporate by 
reference IES LM-54-12, and to no longer incorporate by reference the 
August 2001 version of the ENERGY STAR Program Requirements for CFLs, 
which referenced the 1991 version of LM-54. A review of the updated 
standard indicates that incorporating the 2012 edition of IES LM-54 
would provide further clarification and improvements in the methodology 
for lamp seasoning.
    DOE has identified the following six key updates to the seasoning 
procedures in the 2012 edition of IES LM-54 (IES LM-54-12) and 
discusses their impact on MBCFL testing and their measured values. 
Specifically, IES LM-54-12
    (1) specifies ambient temperature limits and clarifies general 
temperature conditions,
    (2) adds an airflow requirement,
    (3) modifies the lamp operating cycle,
    (4) adds several electrical conditions,
    (5) modifies the lamp operating orientation, and
    (6) modifies the lamp seasoning time.
    The first key update in IES LM-54-12 is a specification of ambient 
temperature limits during seasoning. Section 4.3 of IES LM-54-12 allows 
ambient temperature to be within manufacturer specified limits and 
suggests that these limits are typically between 15 [deg]C and 35 
[deg]C. IES LM-54-1991 did not specify ambient temperature 
requirements. However, IES LM-66-1991, indirectly referenced in DOE's 
existing test procedures for MBCFLs, contained ambient temperature 
requirements for preburning. Specifically, section 7.1 of IES LM-66-
1991 stated that ambient temperature for preburning should not exceed 
40 [deg]C. While IES LM-54-12 does not contain this specification, it 
does state that seasoning should be suspended when the recommended 
testing temperature range is exceeded and notes that temperatures above 
40 [deg]C could be deleterious to the lamp and its components. The 
updated version also now requires maintaining critical lamp 
temperatures (e.g., bulb wall temperature or control point temperature) 
when specified by the manufacturer. Therefore, the changes in ambient 
temperature and general temperature requirements for seasoning from the 
adoption of IES LM-54-12 are not in conflict with the currently 
incorporated industry standards, but rather provide testing 
clarification and more substantial guidance. For these reasons, DOE has 
tentatively concluded that the updates in temperature conditions for 
seasoning adopted in IES LM-54-12 would not have more than a de minimis 
impact on measured values or test burden.
    IES LM-54-12 also adds an airflow requirement for CFLs during 
seasoning. Section 4.4 of IES LM-54-12 states that airflow shall be 
minimized for proper lamp starting and operation, and notes that the 
lamps shall be spaced to allow airflow around each lamp. IES LM-54-1991 
did not address airflow during seasoning. It is DOE's understanding, 
however, that the airflow requirements of IES LM-54-12 were, in 
practice, already followed prior to their adoption. Therefore, DOE has 
tentatively concluded that the addition of a qualitative requirement 
for lamp spacing to ensure proper airflow during seasoning in IES LM-
54-12 would not impact measured values. In addition, IES LM-54-12 
modifies the lamp operating cycle requirements. Section 2.2 of IES LM-
54-1991 required that all lamps be seasoned at a 3 hour on, 20 minute 
off cycle for 100 operating hours. Section 6.2.2.1 of IES LM-54-12 
specifies that lamps that are to be

[[Page 45730]]

lifetime tested shall be cycled during seasoning. However, IES LM-54-12 
further states that lamps to be tested for other performance metrics 
can be continuously burned during seasoning to shorten the time 
required for seasoning. Nonetheless, both versions of the standard 
require seasoning the lamp for a certain period of time before taking 
photometric and electrical measurements; consequently, DOE believes 
that measured photometric and electrical values do not depend on the 
extent to which lamps are cycled during seasoning. Similarly, because 
lamps are still required to be seasoned prior to lifetime testing, DOE 
believes that no longer providing a specific operating cycle for this 
seasoning would not have a significant impact on the measured value of 
lifetime. Because these modifications do not remove the requirement of 
seasoning but only modify how it is conducted, DOE believes that they 
do not change the ultimate result of seasoning the lamp prior to 
measurements and subsequently do not have more than a de minimis impact 
on the measured values and test burden.
    IES LM-54-12 specifies several electrical conditions that should be 
maintained during seasoning. Section 5.1.1 of IES LM-54-12 states that 
frequency of the power supply shall conform to the rated frequency of 
the ballast, while IES LM-54-1991 did not contain a requirement for 
frequency of the power supply. DOE does not anticipate measured values 
or test burden would be impacted by the added specification because 
this statement is simply a clarification and not a departure from 
existing test procedures.
    Section 5.1.2 of IES LM-54-12 states that for AC power 
installations, the power supply shall have a voltage waveshape such 
that the total harmonic distortion does not exceed 3 percent of the 
fundamental frequency. IES LM-54-1991 did not contain a requirement for 
voltage waveshape, but this same requirement was given in section 2.1 
of IES LM-66-1991 and is also given in section 5.1.1 of IES LM-66-14, 
as discussed in section III.B.1.a of this NOPR. DOE understands this is 
general practice in industry and is a clarifying statement only. For 
these reasons, DOE has tentatively concluded that the electrical 
conditions specified would not affect measured values or increase test 
burden.
    In addition, section 5.1.3 of IES LM-54-12 adds an electrical 
condition for voltage regulation of integrated CFLs (including MBCFLs). 
IES LM-54-12 requires AC voltage to be monitored and regulated to 
within 10 percent of the rated input voltage, or 2 percent of the rated input voltage if the seasoning time 
includes the preburning time. Voltage regulation limits were not 
prescribed in LM-54-1991. However, DOE has tentatively concluded that 
requiring the rated input voltage to adhere to certain tolerances 
during seasoning would not have a significant impact on measured values 
or test burden as it likely reflects current general industry practice.
    As discussed in section III.B.1.a of this NOPR, IES LM-54-12 also 
modifies the lamp position and orientation requirements during 
seasoning. Section 6.2.2.1 of IES LM-54-12 states that CFLs shall be 
seasoned and measured in the same orientation. Section 2.2 of IES LM-
54-1991 stated that non-linear lamps should be seasoned in their 
intended operating position or as recommended by the manufacturer. 10 
CFR 429.35 specifies the operating orientation for MBCFLs. The 
modification to the lamp orientation in IES LM-54-12 will not impact 
measured values as the requirements currently in 10 CFR 429.35, and as 
proposed in Appendix W, dictate orientation. Further, section 7.2 of 
IES LM-66-1991, a currently incorporated industry standard through the 
reference of ENERGY STAR program requirements, contained guidance to 
maintain lamp position when transferring lamps from preburning to the 
location for testing. As detailed in section III.B.2.d, DOE is 
proposing to clarify within Appendix W that lamp orientation must 
remain unchanged during testing. For these reasons, DOE has tentatively 
concluded that the revised lamp orientation requirement in IES LM-54-12 
would not impact measured values or increase test burden.
    Lastly, IES LM-54-12 modifies the lamp seasoning time. Section 
6.2.2.1 of IES LM-54-12 states that seasoning time shall be a minimum 
of 100 operating hours or as specified by the manufacturer so 
measurements can reliably establish initial lumen output values. 
Section 2.2 of IES LM-54-1991 stated that lamps are to be seasoned for 
100 operating hours. In practice industry may already be using 
manufacturer specifications for certain lamp designs that may require a 
different seasoning time than the standard 100 operating hours. 
Therefore, DOE has tentatively concluded that the allowance of using 
manufacturer specifications would not have a significant impact on 
measured values or increase test burden.
    In addition to the previously mentioned updates, IES LM-54-12 
provides recommendations and further guidance that remove a number of 
ambiguities in the previous version (e.g., updates definitions, 
instrumentation, and references). Because these proposed updates do not 
involve substantive changes to the test setup and methodology, but 
rather just clarification, DOE has tentatively concluded they would not 
affect measured values or increase test burden.
    DOE requests comments on its assessment of the updates in IES LM-
54-12 and their impacts on measured values of MBCFLs and test burden.
c. IES LM-65-14 ``IES Approved Method for Life Testing of Single-Based 
Fluorescent Lamps''
    IES LM-65-1991 specified procedures for lifetime testing of CFLs 
(including MBCFLs). As discussed in section III.B.1, this industry 
standard has been updated with a 2014 edition. DOE is proposing to 
directly incorporate by reference IES LM-65-14 and to no longer 
incorporate by reference the August 2001 version of the ENERGY STAR 
Program Requirements for CFLs, which referenced the 1991 version of LM-
65. A review indicates that incorporating the 2014 edition of IES LM-65 
would provide further clarification of the test procedures and 
improvements in test methodology. DOE has identified the following five 
key updates in the 2014 edition of IES LM-65 (IES LM-65-14) and 
discusses their impact on MBCFL testing and measured values. 
Specifically, IES LM-65-14
    (1) modifies ambient temperature conditions,
    (2) modifies the lamp spacing requirement,
    (3) clarifies the power supply voltage waveshape requirement,
    (4) modifies the lamp operating cycle requirement, and
    (5) specifies a methodology for the recording of lamp failures.
    One of the key updates in IES LM-65-14 is the modification of the 
ambient temperature requirement for lifetime testing. Section 4.3 of 
IES LM-65-14 specifies that ambient temperature shall be controlled 
between 15 [deg]C and 40 [deg]C, and that lifetime testing shall be 
suspended when this range is exceeded. Section 6.3 of IES LM-65-1991 
stated that the ambient temperature for CFL lifetime testing should be 
kept within the range of 25 [deg]C 10 [deg]C. Thus, the 
updated version only raises the maximum allowable ambient temperature 
by 5 [deg]C. DOE has tentatively concluded that this change in 
allowable ambient temperature range would not have a significant impact 
on measured values of lifetime or increase test burden.

[[Page 45731]]

    IES LM-65-14 also modifies the lamp spacing requirement of the 
lifetime testing rack. Section 4.5 of IES LM-65-14 states that lamps 
shall be spaced to allow airflow around each lamp and notes that this 
is facilitated by designing open lifetime testing racks with minimal 
structural components to block airflow. Section 6.4 of IES LM-65-1991 
had required spacing between lamps to be a minimum of 1 inch (25 
millimeters) to minimize mutual heating effects. DOE has tentatively 
concluded that the IES LM-65-14 guideline is sufficient to ensure that 
there are minimal mutual heating effects. Therefore, DOE has determined 
that removing the specific spacing criterion would not have a 
significant impact on measured values or increase test burden.
    IES LM-65-14 also clarifies the power supply voltage waveshape 
requirement. Section 5.1.2 of IES LM-65-14 states that the power supply 
shall have a sinusoidal voltage waveshape such that the total harmonic 
distortion does not exceed 3 percent of the fundamental frequency when 
operating a purely resistive load. Section 5.2 of IES LM-65-1991 stated 
that the type of the power supply used shall have a voltage wave shape 
such that the RMS summation of the harmonic components does not exceed 
3 percent of the fundamental. DOE understands that power supplies are 
expected to provide a sinusoidal voltage waveshape, and that in 
practice industry may already use a purely resistive load to determine 
power supply THD. For these reasons, DOE has tentatively concluded that 
the clarified voltage waveshape requirement in IES LM-65-14 would not 
impact measured values or increase test burden.
    In addition, section 6.4 of IES LM-65-14 revises the lamp operating 
cycle requirement to be used during CFL lifetime testing. Both versions 
of the standard prescribe an operating cycle of 180 minutes on and 20 
minutes off; however, section 6.1 of IES LM-65-1991 provided an 
allowance for other cycles to be used if the manufacturer's 
recommendation or use in the field dictates. IES LM-65-14 does not 
contain this allowance, and effectively requires the operating cycle to 
be 180 minutes on and 20 minutes off. DOE believes that this cycle (180 
minutes on and 20 minutes off) is industry standard and is already in 
use by manufacturers of MBCFLs and other CFLs. Therefore, DOE has 
tentatively concluded that removing the allowance of alternative 
operating cycles would not have a significant impact on the measured 
value of lifetime or increase test burden.
    Lastly, IES LM-65-14 specifies a more detailed methodology for 
recording lamp failures. Section 6.5 of IES LM-65-14 requires checking 
for lamp failure by visual observation or automatic monitoring at an 
interval of no more than 1 percent of the rated lifetime; it also added 
that the recorded failure time shall be determined as the midpoint of 
the last monitored interval. Section 6.5 of IES LM-65-1991 had only 
included a qualitative methodology for checking for lamp failure that 
required monitoring lifetime test racks on a regular basis. DOE has 
tentatively concluded that providing a specific interval for monitoring 
and recording failure time would not have a significant impact on the 
overall measured value of lifetime or increase test burden.
    In addition to the previously mentioned updates, IES LM-65-14 
provides recommendations and further guidance that remove a number of 
ambiguities in the previous version (e.g., updates to scope, 
instrumentation, and references). Because these proposed updates do not 
involve substantive changes to the test setup and methodology, but 
rather just clarification, DOE has tentatively concluded they would not 
affect lamp failure measurements or pose additional testing burden.
    DOE requests comments on its assessment of the updates in IES LM-
65-14 and their impacts on measured values of MBCFLs and test burden.
2. Clarifications to General Test Conditions and Setup
    DOE proposes to provide further clarification on general 
instructions for (1) instrumentation, (2) ambient temperature, (3) 
input voltage, (4) lamp orientation, (5) lamp seasoning, (6) lamp 
stabilization, (7) lifetime testing, (8) treatment of ballasted 
adapters, and (9) test setup for dimmable or multi-level lamps. These 
are clarifications to existing test methods and setup in Appendix W, 
and DOE has tentatively concluded that they would not impact measured 
values or increase test burden. DOE requests comment on the proposed 
clarifications to test methods and setup and the tentative conclusion 
that they would not have a significant impact on measured values or 
increase test burden. These clarifications on general instructions are 
discussed in detail in the following sections.
a. Instrumentation
    Section 6.3 of IES LM-66-14 (proposed for incorporation by 
reference in this NOPR) and section 11.0 of IES LM-66-1991 state that a 
goniophotometer or integrating sphere can be used to measure lumen 
output, CCT, and CRI. While DOE recognizes that the integrating sphere 
and goniophotometer (a goniometer fitted with a photometer as the light 
detector) are both valid means of photometric measurement, DOE is 
concerned about the potential for a difference in the measured values. 
The DOE test procedure must yield repeatable and reproducible results. 
If different parties use different test methods, the measured values 
may not be comparable.
    IES LM-66-14 also identifies several sources of measurement error 
related to the use of goniophotometers such as drafts introduced 
through goniophotometer movement and errors in the scan angles. 
Further, IES LM-66-14 does not explicitly specify the scanning 
resolution (i.e., quantity and location of measurements around the 
lamp), and instead provides general guidance to prevent inaccuracies 
from irregular distributions. In contrast, use of an integrating sphere 
enables photometric characteristics of the CFL to be determined with a 
single measurement. For these reasons, DOE is proposing to require all 
photometric measurements, including lumen output, CCT, and CRI, to be 
carried out in an integrating sphere, rather than a goniophotometer 
system. Additionally, for lumen output measurements, DOE is proposing 
to also reference IESNA LM-78-07, which is referenced by IES LM-66-14 
and provides more specific guidance on measuring lumen output in an 
integrated sphere. DOE requests comment on the proposal to require that 
all photometric values be measured by an integrating sphere.
b. Ambient Temperature
    Section 4.3 of IES LM-66-14 (proposed for incorporation by 
reference in this NOPR) states that the ambient temperature during 
photometric and electrical testing must be maintained at 25 [deg]C 
1 [deg]C unless the CFL is designed to perform optimally 
under non-standard conditions. One such example noted in IES LM-66-14 
is a CFL that is used in special fixtures or locations and therefore is 
designed to produce maximum lumen output at elevated temperatures. IES 
LM-66-14 indicates that testing at non-standard conditions may be 
desirable to quantify performance of the CFL in its expected operating 
environment. Similar requirements and allowance were given in IES LM-
66-1991. However, DOE analysis of manufacturer-published product 
literature suggests that photometric and electrical testing of MBCFLs 
is typically conducted at the standard 25 [deg]C 1 [deg]C 
temperature conditions. DOE believes that allowing testing to be 
conducted at non-standard

[[Page 45732]]

temperature conditions can introduce inconsistencies between 
represented values. DOE proposes to clarify in Appendix W that 
photometric and electrical testing of CFLs must be conducted at an 
ambient temperature within the range of 25 [deg]C 1 [deg]C. 
DOE requests comment on its proposal for ambient temperature 
requirements for photometric and electrical testing.
c. Input Voltage
    Section 5.1.1 of IES LM-65-14 (proposed for incorporation by 
reference in this NOPR) specifies that when the rated input voltage of 
a lamp or ballast is a range, a nominal value should be selected for 
lifetime testing and reported as a test condition. This allowance for 
selecting from a choice of input voltages, rather than requiring a 
specific input voltage, could result in testing variation. DOE is 
therefore proposing to require that if rated input voltage is a range 
that includes 120 volts, the CFL must be operated at 120 volts. If the 
CFL with multiple rated input voltages is not rated for 120 volts, the 
CFL must be operated at the highest rated input voltage. Specifying the 
input voltage to be used for testing will ensure more accurate and 
consistent measurements of time to failure (see section III.B.3.a). DOE 
requests comment on the proposed input voltage requirements.
d. Lamp Orientation
    As noted in section III.B.1.b, DOE proposes to clarify that lamp 
orientation must be maintained throughout all testing, including 
preparation (e.g., seasoning and preburning), storage, and handling 
between tests. This practice minimizes changes in lamp operating 
characteristics between various stages of testing and allows for more 
accurate and repeatable measurements. Further, maintaining lamp 
orientation can result in a shorter lamp stabilization period, thus 
reducing total testing time and subsequently testing burden. DOE 
requests comment on specifying that lamp orientation must be maintained 
throughout testing.
e. Lamp Seasoning
    DOE proposes that the seasoning guidance in IES LM-54-12 (proposed 
for incorporation by reference in this NOPR) must be followed prior to 
the testing of all CFLs. DOE also proposes to clarify two provisions 
related to lamp seasoning. First, DOE is proposing to clarify in 
Appendix W that unit operating time during seasoning can be counted 
toward time to failure, lumen maintenance at 40 percent of lifetime, 
and lumen maintenance at 1,000 hours if the required operating cycle 
and test conditions are satisfied as stated in the test method for time 
to failure (section 3.3 of Appendix W). This clarification is 
consistent with the specification in section 6.2.2.1 of IES LM-54-12 
that lamps intended to be tested for lifetime must be cycled during 
seasoning (see section III.B.1.b). Further, the clarification would 
reduce testing burden by minimizing the overall testing time required 
for measuring time to failure and lumen maintenance values.
    The second provision related to seasoning that DOE proposes to 
clarify is that, if a lamp breaks, becomes defective, fails to 
stabilize, exhibits abnormal behavior such as swirling prior to the end 
of the seasoning period, or stops producing light, the lamp must be 
replaced with a new unit. If a lamp fails after the seasoning period, 
the lamp's measurements must be included when calculating values 
submitted for compliance. The IES standards relevant to these test 
procedures do not provide specific guidance on lamp failure. However, 
section 6.1.2 of ANSI C78.5-2003,\17\ which provides specifications on 
integrated CFLs and is referenced by IES LM-65-14 (proposed for 
incorporation by reference in this NOPR), states that ``If a specimen 
breaks or becomes defective for reasons not as a result of the testing, 
the specimen shall be discarded. Similarly if a unit fails to stabilize 
or exhibits abnormal behavior, the lamp shall be discarded. Testing 
shall resume with a suitable replacement specimen procured and prepared 
in the same manner as the original specimen. The use of replacement 
specimens shall be documented in the test report.'' Therefore, based on 
this industry guidance, DOE proposes to clarify that test units must be 
replaced if deemed defective during the seasoning period (i.e., prior 
to measuring initial lumen output). DOE requests comment on the 
proposed clarifications to the lamp seasoning methods.
---------------------------------------------------------------------------

    \17\ American National Standard For Electric Lamps: 
Specifications for Performance of Self-Ballasted Compact Fluorescent 
lamps (approved 2003).
---------------------------------------------------------------------------

f. Lamp Stabilization
    DOE proposes to disallow the ``peak'' method provided for reference 
in Annex B of IES LM-66-14 (proposed for incorporation by reference in 
this NOPR), which can serve as a time saving alternative to the 
stabilization method specified in section 6.2.1. This method was also 
included in section 7.4 of IES LM-66-1991. However, IES LM-66-14 states 
that the information in the Annex is not intended to be a specific 
recommended procedure, but is presented as reference information; it 
also notes that the stabilized method specified in section 6.2.1 is 
preferred since considerable testing and experience with a given lamp 
design may be required due to the number of lamp design and process 
variations that exist. Consequently, DOE believes that the peak method 
could cause inconsistent and potentially inaccurate results. DOE 
requests comment on disallowing use of the peak method provided for 
reference in Annex B of IES LM-66-14.
g. Fixtures
    IES LM-65-14 (proposed for incorporation by reference in this NOPR) 
contains an allowance for fixtures to be used in CFL lifetime testing. 
Section 4.5 of IES LM-65-14 notes that fixtures used in applications 
can influence CFL lifetime, and thus allows simulated fixtures to be 
used in lifetime testing to approximate this effect. No such allowance 
was provided in IES LM-65-1991. DOE is proposing to clarify in Appendix 
W that the use of simulated fixtures during time to failure testing of 
CFLs is not allowed. Excluding this provision removes potential 
variation in the testing of CFLs and ensures that all CFLs are tested 
in a consistent manner. DOE requests comment on its proposal to 
disallow the time to failure testing of CFLs in a fixture.
h. Ballasted Adapters
    DOE proposes to further clarify the proposed CFL test procedures by 
defining in Appendix W that the term ``ballasted adapter'' means a 
ballast that is not permanently attached to a CFL, has no consumer-
replaceable components, and serves as an adapter by incorporating both 
a lamp socket and a lamp base. DOE proposes to specify in Appendix W 
that CFLs packaged with or designed exclusively for use with ballasted 
adapters must be tested as non-integrated CFLs, without the inclusion 
of the ballasted adapter. DOE requests comment on its proposed 
definition for the term ``ballasted adapter,'' and on its proposed 
requirement that CFLs packaged with or designed exclusively for use 
with ballasted adapters must be tested as non-integrated CFLs.
i. Multi-Level CFLs and Dimmable CFLs
    Footnote 2 to the energy conservation standards table at 10 CFR 
430.32(u) includes the statement that for multi-level or dimmable 
systems, measurements shall be at the highest

[[Page 45733]]

setting. To consolidate text pertaining to testing, DOE proposes to 
remove this text from Sec.  430.32(u), and address dimmable CFLs in the 
general instructions section of Appendix W. The lumen output level, and 
subsequently input power, can be adjusted for some CFLs (e.g., 
dimmable), and thus not clarifying the input power for testing these 
lamps can introduce testing variation. Therefore, to ensure consistent 
results, DOE also proposes to clarify in Appendix W that a dimmer 
cannot be used in the circuit. DOE requests comment on the 
clarification that all CFL testing must be conducted at labeled 
wattage, with no dimmer used in the circuit.
3. Clarifications to Definitions
    DOE proposes to make the following changes to the definitions 
provided in Appendix W: (1) Remove the existing term ``average rated 
life'' and add new terms ``lifetime'' and ``time to failure''; (2) 
remove the existing terms ``initial performance values'' and ``rated 
luminous flux or rated lumen output'' and add new terms ``initial lamp 
efficacy,'' ``measured initial input power,'' and ``measured initial 
lumen output''; (3) remove the existing term ``rated wattage'' and add 
the new term ``labeled wattage''; (4) amend the existing definition for 
the term ``lumen maintenance''; (5) delete the existing term ``rated 
supply frequency''; and (6) remove the existing term ``self-ballasted 
compact fluorescent lamp'' and add new terms ``integrated compact 
fluorescent lamp'' and ``non-integrated compact fluorescent lamp.'' 
Because the proposed changes are clarifications to existing definitions 
and only provide further guidance for existing test procedures and 
amended test procedures proposed in this NOPR, DOE has tentatively 
concluded that they would not impact measured values or increase test 
burden. DOE requests comment on the proposed changes to definitions in 
Appendix W and the tentative conclusion that they would not have a 
significant impact on measured values or test burden. These 
definitional clarifications are discussed in detail in the following 
sections.
    DOE also proposes to add definitions that are discussed in later 
sections. Specifically, DOE proposes to add definitions in Appendix W 
for the terms ``ballasted adapter,'' ``hybrid compact fluorescent 
lamp,'' ``percent variability,'' ``power factor,'' ``start plateau,'' 
and ``start time.'' These definitions support the proposed test 
procedures included in Appendix W for new CFL metrics and new CFL 
categories, and are addressed in sections III.B.2.h (ballasted 
adapter), III.B.4.a (power factor), III.B.4.c (percent variability, 
start plateau, and start time), and III.B.5.c (hybrid compact 
fluorescent lamp).
a. Average Rated Life
    DOE proposes to remove the term ``average rated life'' and adopt 
the terms ``lifetime of a compact fluorescent lamp'' and ``time to 
failure.'' Currently, ``average rated life'' is defined in Appendix W 
as the length of time declared by the manufacturer at which 50 percent 
of any large number of units of a lamp reaches the end of their 
individual lives.
    The definition of ``average rated life'' makes only general 
reference to the sample size for time to failure testing (i.e., large 
number of units) when an actual minimum sample size of 10 units is 
prescribed in DOE's existing sampling plan at 10 CFR 429.35. Further, 
DOE believes the use of the word ``average'' in the term ``average 
rated life'' may be confusing because the definition describes the 
process by which lifetime is determined, i.e., lifetime is, by 
definition, a median value. DOE also notes that the term ``average 
rated life,'' while defined in Appendix W, is not otherwise used in 
Appendix W or in specifications of existing MBCFL energy conservation 
standards. Further, the term ``rated life'' is used as a descriptor in 
Appendix W but is not defined.
    Therefore, DOE proposes to remove the terms ``average rated life'' 
and ``rated life'' in Appendix W and add definitions for ``lifetime of 
a compact fluorescent lamp'' in 10 CFR 430.2 and ``time to failure'' in 
Appendix W. The term ``lifetime of a compact fluorescent lamp'' denotes 
a measured value based on a sample of lamps; this term would provide 
sampling requirements and specify that the median value must be used. 
The term ``time to failure'' would support the revised definition of 
lifetime.
    In order to develop the definition for ``lifetime of a compact 
fluorescent lamp,'' DOE reviewed the EPCA definition of lifetime in 42 
U.S.C. 6291(30)(P). This statutory definition states that lifetime 
means the length of operating time of a statistically large group of 
lamps between first use and failure of 50 percent of the group in 
accordance with test procedures described in the IES Lighting 
Handbook--Reference Volume. Therefore, consistent with the statutory 
definition in EPCA, DOE proposes to define ``lifetime of a compact 
fluorescent lamp'' as the time to failure of 50 percent of the sample 
size (as defined and calculated in 10 CFR 429.35) in accordance with 
the test procedures described in of section 3.3 of Appendix W.
    DOE also proposes to define ``time to failure'' in Appendix W to 
support the proposed definition of lifetime of a compact fluorescent 
lamp. ``Time to failure'' in the context of CFLs is the time elapsed 
between first use and the point at which the lamp fully extinguishes 
and no longer creates light. DOE proposes to define ``time to failure'' 
as the time elapsed between first use and the point at which the CFL 
stops operating. This definition aligns with the definition of lamp 
failure in section 8.2 of ANSI/IES RP-16-14.\18\
---------------------------------------------------------------------------

    \18\ Nomenclature and Definitions for Illuminating Engineering 
(approved 2010).
---------------------------------------------------------------------------

    As noted in section III.B.1.c, DOE proposes to reference IES LM-65-
14 for lifetime testing of CFLs. Section 3.0 of IES LM-65-14 specifies 
the terms ``lamp failure,'' ``lamp life,'' and ``rated lamp life.'' 
However, DOE is specifically proposing the above terms, ``time to 
failure'' and ``lifetime of compact fluorescent lamp'' to support its 
proposed lifetime testing of CFLs and align with terminology used in 
other lamp test procedures. While the definitions in section 3.0 of IES 
LM-65-14 are not incorrect, to avoid confusion regarding terminology 
when executing the lifetime test procedure for CFLs, DOE proposes that 
section 3.0 of IES LM-65-14 be disregarded and the above proposed 
definitions be used for lifetime testing of CFLs.
    DOE requests comment on the proposal to remove the term ``average 
rated life'' and add definitions of ``lifetime of a compact fluorescent 
lamp'' and ``time to failure.''
b. Initial Performance Values
    Currently, ``initial performance values'' is defined in Appendix W 
as the photometric and electrical characteristics of the lamp at the 
end of 100 hours of operation. Such values include the initial 
efficacy, the rated luminous flux, and the rated lumen output. This 
term is not used, and conflicts with elements of other terms defined in 
section 2 of the existing Appendix W. To resolve these issues, and to 
provide specific guidance on calculations required in the test 
procedures, DOE proposes to (1) delete the term ``initial performance 
values''; (2) add a definition for the term ``initial lamp efficacy''; 
(3) add a definition for the term ``measured initial input power''; (4) 
delete the term ``rated luminous flux or rated lumen output''; and (5) 
add a definition for the term ``measured initial lumen output.''

[[Page 45734]]

    DOE proposes that the ``initial lamp efficacy'' is the lamp 
efficacy at the end of the seasoning period, which is calculated by 
dividing the measured initial lumen output of a lamp by its measured 
initial input power. Initial lamp efficacy would be expressed in lumens 
per watt (lm/W). In addition, DOE proposes to define ``measured initial 
input power'' as the root mean square (RMS) input power to the lamp, 
measured at the end of the lamp seasoning period, and expressed in 
watts (W). These definitions provide further guidance on the 
calculation of initial lamp efficacy.
    DOE proposes to delete the term ``rated luminous flux or rated 
lumen output'' in Appendix W. This term is defined in Appendix W as the 
initial lumen rating (100 hour) declared by the manufacturer, which 
consists of the lumen rating of a lamp at the end of 100 hours of 
operation. This term could be misinterpreted as a nominal rating, 
similar to other nominal ratings marked on a lamp and/or its packaging 
(e.g., wattage, voltage, or supply frequency). Therefore, to provide 
greater clarity in the definition and application of the term ``lumen 
maintenance,'' DOE proposes to remove the term ``rated luminous flux or 
rated lumen output'' and add the term ``measured initial lumen output'' 
to more clearly distinguish measured initial values from nominal rated 
values.
    DOE proposes to define ``measured initial lumen output'' in 
Appendix W as the lumen output of the lamp measured at the end of the 
lamp seasoning period, expressed in lumens (lm).
    In summary, DOE proposes to no longer define the terms ``initial 
performance values'' and ``rated luminous flux or rated lumen output,'' 
and proposes definitions for ``initial lamp efficacy,'' ``measured 
initial input power,'' and ``measured initial lumen output.'' These 
terms clarify the measurements of CFL initial performance values, and 
eliminate the need for the terms ``initial performance values'' and 
``rated luminous flux or rated lumen output.'' DOE requests comment on 
deletion of the terms ``initial performance values'' and ``rated 
luminous flux or rated lumen output,'' and addition of the terms 
``initial lamp efficacy,'' ``measured initial input power,'' and 
``measured initial lumen output.''
c. Lumen Maintenance
    DOE proposes to amend the definition of the term ``lumen 
maintenance'' to clarify that calculated lumen maintenance values are 
based on measured lumen output. ``Lumen maintenance'' is defined in 
Appendix W as the luminous flux or lumen output at a given time in the 
life of the lamp and expressed as a percentage of the rated luminous 
flux or rated lumen output, respectively.
    The term ``lumen maintenance'' does not clearly distinguish between 
rated and measured values. As noted in section III.B.3.b, DOE proposes 
to remove the term ``rated luminous flux or rated lumen output'' and 
add the term ``measured initial lumen output,'' which clearly specifies 
these to be measured values. DOE proposes to implement this change in 
the term ``lumen maintenance'' to clarify the definition and 
application of the term ``lumen maintenance.''
    In summary, DOE proposes to define ``lumen maintenance'' in 
Appendix W as the lumen output measured at a given time in the life of 
the lamp and expressed as a percentage of the measured initial lumen 
output, respectively. DOE requests comment on its proposed 
clarification of the definition for ``lumen maintenance.''
d. Rated Supply Frequency
    DOE proposes to remove from Appendix W the definition of the term 
``rated supply frequency'' because Appendix W does not use this term. 
DOE requests comment on the proposed removal of the definition of 
``rated supply frequency.''
e. Rated Wattage
    DOE proposes to change the term ``rated wattage'' to ``labeled 
wattage'' and amend the definition to clarify its applicability to 
multi-level (i.e., multi-power) and dimmable CFLs. Currently, in 
Appendix W ``rated wattage'' is defined as the wattage marked on the 
lamp. The term is intended to denote the wattage marked on the lamp 
that should be used to determine the applicable minimum efficacy 
requirement for existing MBCFL energy conservation standards as 
specified in 10 CFR 430.32(u). To avoid confusion with different usage 
of the term ``rated wattage'' in ANSI standards for non-integrated 
CFLs, DOE proposes to use the term ``labeled wattage'' rather than 
``rated wattage'' to denote the wattage marked on a CFL.
    Further, as discussed in section III.B.2.i, multi-level and 
dimmable CFLs can operate over a range of wattages, and the existing 
MBCFL energy conservation standards at 10 CFR 430.32(u) as well as the 
test procedures proposed in this rule prescribe that measurements be 
conducted at the lamp's highest power setting. The current definition 
of ``rated wattage'' does not provide clear direction on how to measure 
multi-level and dimmable lamps. Therefore, DOE proposes to remove this 
definition and define ``labeled wattage'' as the highest wattage marked 
on the lamp and/or lamp packaging. DOE requests comment on the proposed 
clarification to the definition of ``labeled wattage.''
f. Self-Ballasted Compact Fluorescent Lamp
    The term ``self-ballasted compact fluorescent lamp'' is defined in 
Appendix W as a CFL unit that incorporates, permanently enclosed, all 
elements that are necessary for the starting and stable operation of 
the lamp, and does not include any replaceable or interchangeable 
parts. The terms self-ballasted CFL, integrally ballasted CFL, and 
integrated CFL are used interchangeably in industry to identify a CFL 
in which all the elements for starting and stable operation are 
permanently enclosed within the lamp structure, enabling the lamp to be 
connected directly to a branch circuit through an ANSI base and socket.
    DOE proposes to remove the definition of ``self-ballasted compact 
fluorescent lamp'' and add a new definition of ``integrated compact 
fluorescent lamp'' as an integrally ballasted CFL that contains all 
components necessary for the starting and stable operation of the lamp, 
does not include any replaceable or interchangeable parts, and is 
connected directly to a branch circuit through an ANSI base and 
corresponding ANSI standard lamp-holder (socket).
    To support the proposed test procedures for additional categories 
of CFLs, DOE also proposes to define the term ``non-integrated compact 
fluorescent lamp'' in Appendix W as a CFL that is not integrated. DOE 
requests comment on the proposed removal of the term ``self-ballasted 
compact fluorescent lamp'' and addition of the new term ``integrated 
compact fluorescent lamp,'' and on the proposed new definition of 
``non-integrated compact fluorescent lamp.''
4. Test Procedures for Existing and New Metrics
    The following sections detail proposed new and amended test 
procedures for new and existing metrics. In addition, as noted in 
sections III.I.1 through III.I.3, DOE proposes to move all lamp 
orientation specifications from 10 CFR 429.35 to Appendix W in order to 
consolidate test requirements.

[[Page 45735]]

a. Test Procedures for Initial Lamp Efficacy, Lumen Maintenance, CCT, 
CRI, and Power Factor
    DOE proposes to continue to include test procedures for measuring 
initial lamp efficacy and lumen maintenance in Appendix W. In addition, 
DOE proposes to include test procedures for measuring CCT, CRI, and 
power factor in Appendix W. DOE proposes that test conditions and setup 
for measuring initial lamp efficacy, lumen maintenance at 1,000 hours, 
lumen maintenance at 40 percent of lifetime, CCT, CRI, and power factor 
be as specified in IES LM-66-14 (proposed for incorporation by 
reference in this NOPR).
    Appendix W currently does not explicitly state how initial lamp 
efficacy and lumen maintenance values should be measured and 
calculated. DOE proposes to clarify its existing method for measuring 
and calculating the initial lamp efficacy and lumen maintenance values 
in Appendix W. Specifically, DOE proposes to state in Appendix W that 
initial lamp efficacy must be the measured initial lumen output divided 
by the measured initial input power; lumen maintenance at 1,000 hours 
must be the measured lumen output at 1,000 hours divided by the 
measured initial lumen output; and lumen maintenance at 40 percent of 
lifetime must be the measured lumen output at 40 percent of lifetime of 
a compact fluorescent lamp divided by the measured initial lumen 
output. DOE requests comment on clarifications to measuring initial 
lamp efficacy and lumen maintenance values.
    DOE proposes that the test procedures for initial lamp efficacy, 
lumen maintenance at 1,000 hours, lumen maintenance at 40 percent of 
lifetime, CCT, and CRI apply to integrated and non-integrated lamps. 
DOE proposes that the test procedure for power factor only apply to 
integrated lamps. The following sections discuss in more detail the new 
metrics proposed to be measured in accordance with IES LM-66-14: CCT, 
CRI, and power factor.
Correlated Color Temperature (CCT)
    DOE proposes to establish a test procedure for measuring CCT in 
Appendix W. The term correlated color temperature is defined in 10 CFR 
430.2 as the absolute temperature of a blackbody whose chromaticity 
most nearly resembles that of the light source. DOE proposes to add the 
abbreviation ``CCT'' to this definition as explained in section 
III.C.2.
    DOE proposes that CCT must be measured and calculated in accordance 
with IES LM-66-14, which references CIE 15:2004 (3rd edition), 
``Colorimetry.'' As noted, IES LM-66-14 is the industry reference test 
method for electrical and photometric measurements of CFLs. CIE 15:2004 
is an internationally accepted industry standard that provides 
recommendations concerning basic colorimetry. CIE 15:2004 was 
previously incorporated by reference in a test procedure final rule 
published on July 6, 2009 for general service fluorescent lamps, 
incandescent reflector lamps, and general service incandescent lamps 
(hereafter ``2009 GSFL, IRL, and GSIL Test Procedure''). 74 FR 31829, 
31834 (July 6, 2009). DOE proposes in this NOPR to incorporate CIE 
15:2004 by reference for Appendix W. DOE requests comment on its 
proposed test procedure for measuring CCT.
Color Rendering Index (CRI)
    DOE proposes to establish a test procedure for measuring CRI in 
Appendix W. The term color rendering index or ``CRI'' is defined 10 CFR 
430.2 as the measured degree of color shift objects undergo when 
illuminated by a light source as compared with the color of those same 
objects when illuminated by a reference source of comparable color 
temperature. DOE proposes that CRI must be measured and calculated in 
accordance with IES LM-66-14, which references CIE 13.3-1995, ``Method 
of Measuring and Specifying Colour Rendering Properties of Light 
Sources.'' As noted, IES LM-66-14 is the industry reference test method 
for the electrical and photometric measurements of CFLs, and CIE 13.3-
1995 is an internationally accepted industry standard that provides 
guidance on measuring CRI. CIE 13.3-1995 was previously incorporated by 
reference in the 2009 GSFL, IRL, and GSIL Test Procedure. 74 FR 31834 
(July 6, 2009). DOE proposes in this NOPR to incorporate CIE 13.3-1995 
by reference for Appendix W. DOE requests comment on the proposed test 
procedure for CRI.
Power Factor
    DOE proposes to establish a test procedure for measuring power 
factor in Appendix W. Currently, DOE does not define power factor for 
CFLs. DOE proposes to define the term ``power factor'' in Appendix W as 
the measured RMS input power (watts) divided by the product of the 
measured RMS input voltage (volts) and the measured RMS input current 
(amps). This proposed definition aligns with the definition for power 
factor in the industry reference for power quality requirements of 
lighting equipment, ANSI C82.77-10-2014.\19\ Section 5 of the ANSI 
standard states that power factor is calculated by dividing input power 
(expressed in watts) by the product of the RMS input voltage and 
current.
---------------------------------------------------------------------------

    \19\ American National Standard for Lighting Equipment--Harmonic 
Emission Limits--Related Power Quality Requirements (approved August 
15, 2014).
---------------------------------------------------------------------------

    DOE proposes that power factor be required only for integrated 
CFLs. Power factor is a metric directly related to the ballast 
component of the lamp. Non-integrated CFLs are tested on reference 
ballasts (see section III.B.5.b for further details) and can be paired 
with multiple ballasts of varying performance in practice, and 
therefore, a measurement of a power factor would not be an accurate 
representation of an non-integrated CFL. DOE proposes that the power 
factor of an integrated CFL be determined based on electrical 
measurements conducted in accordance with section 5.0 of IES LM-66-14. 
DOE requests comment on the proposed definition and test procedure for 
power factor.
b. Test Procedures for Time to Failure and Rapid Cycle Stress
    DOE proposes to include test procedures for measuring time to 
failure and conducting rapid cycle stress testing in Appendix W for 
integrated and non-integrated CFLs. DOE proposes that test conditions, 
setup, measurement of time to failure, and rapid cycle stress testing 
be as specified in IES LM-65-14 (proposed for incorporation by 
reference in this NOPR). As noted in section III.G.4 and III.G.5, 
respectively, DOE proposes to move text relating to rapid cycle stress 
testing and measurement of lifetime from 10 CFR 430.32(u) into Appendix 
W. DOE proposes to retain its existing operating cycle for rapid cycle 
stress testing, i.e., that CFLs must be cycled continuously with each 
cycle consisting of one 5-minute on period followed by one 5-minute off 
period. DOE requests comment on the proposed test procedures for 
measuring time to failure and rapid cycle stress testing.
c. Test Procedure for Start Time
    DOE proposes to establish a test procedure for measuring start time 
in Appendix W. Currently, DOE does not define start time for CFLs. In 
determining the definition and test procedure for start time of a CFL, 
DOE reviewed the August 2013 ``ENERGY STAR[supreg] Program Requirements 
Product Specification for Lamps Version 1.0: Start Time Test Method'' 
\20\ (hereafter

[[Page 45736]]

``ENERGY STAR Start Time Test Method''), which still applies to the 
current ENERGY STAR Lamps Specification v1.1. DOE found the definitions 
and test methods described to be valid and an accurate representation 
of the start time for a CFL. Based on this method, DOE proposes to 
define the term ``start time'' in Appendix W as the time, measured in 
milliseconds, between the application of power to the CFL and the point 
when the measured full-cycle lumen output (the average value of the 
sampled waveform over an interval corresponding to one full cycle of 
sinusoidal input voltage) reaches 98 percent of the average measured 
lumen output of the start plateau.
---------------------------------------------------------------------------

    \20\ ENERGY STAR[supreg] Program Requirements Product 
Specification for Lamps Version 1.0: Start Time Test Method, August 
2013. www.energystar.gov/sites/default/files/specs//ENERGY%20STAR%20Lamps%20V1%200%20Final%20Test%20Methods%20and%20Recommended%20Practices.pdf.
---------------------------------------------------------------------------

    IES LM-28-12,\21\ the general guide to using electrical instruments 
in photometric laboratories, states that fluorescent lamps can 
oscillate at twice the fundamental frequency of the lamp input (i.e., 
line) voltage. IES LM-28-12 also recommends that a minimum of one 
complete cycle (not half cycle) of the line frequency be used because 
the waveform may not be exactly the same for the positive and negative 
phase of the line cycle. DOE understands that using shorter cycles such 
as half cycles in lamps with such asymmetry could result in inaccurate 
measurements.
---------------------------------------------------------------------------

    \21\ IES Guide for Selection, Care and Use of Electrical 
Instruments in the Photometric Laboratory (approved December 5, 
2012).
---------------------------------------------------------------------------

    To further clarify the definition of start time, DOE proposes to 
define the terms ``start plateau'' and ``percent variability.'' in 
Appendix W. DOE proposes to define the term ``start plateau'' in 
Appendix W as the first 100 millisecond period of operation during 
which the percent variability does not exceed 5 percent and the average 
measured lumen output is at least 10 percent of the measured initial 
lumen output. Section 9.1 of the ENERGY STAR Start Time Test Method 
gives the starting profile for an example CFL. No sinusoidal 
oscillation is evident in the blue trace of light output for this 
example; consequently, DOE understands the diagram presents moving-
average values, where each point along the trace is the average of 
sampled waveform values for some measurement interval. No scale is 
provided for the x-axis in the figure, but the period of the 50 Hz 
input voltage cycle is 20 milliseconds, and a start time of 18 
milliseconds is also indicated at 98 percent of the ``initial'' 
plateau; although the plateau duration is not indicated, it can be seen 
to persist for at least three power cycles, or 60 milliseconds. DOE 
proposes using a period of 100 milliseconds to calculate percent 
variability for determination of the start plateau; DOE selected this 
value to evenly capture either 5 or 6 full cycles of the sampled 
waveform (for 50 or 60 Hz input voltage, respectively). DOE 
additionally proposes using the term ``start plateau'' in lieu of the 
ENERGY STAR term ``initial plateau'' to avoid confusion between startup 
characteristics and initial performance characteristics.
    DOE proposes to add the term ``percent variability'' in Appendix W, 
defined as the range (calculated by subtracting the minimum from the 
maximum) expressed as a percentage of the mean for the contiguous set 
of separate lumen output measurements spanning the specified time 
period, where each lumen output measurement is the average value of the 
sampled waveform over an interval corresponding to one full cycle of 
sinusoidal input voltage. For example, 5 measurements at 20 millisecond 
intervals would span the 100 millisecond period of the start plateau at 
50 Hz input voltage; if the interval average was 10.0 lumens for each 
of the first four measurements and 12.0 lumens for the fifth 
measurement, then the percent variability would be 19 percent (not yet 
sufficiently stable) for the first 100 millisecond period of operation. 
In this way, definition of the term ``percent variability'' enables 
determination of the start plateau. The 5 percent and 10 percent 
thresholds proposed for percent variability in the proposed start time 
definition were determined based on start time testing conducted by DOE 
for a variety of CFLs; a summary of the testing and results can be 
found in the docket for this rulemaking.
    DOE proposes that start time only be measured for integrated CFLs. 
Start time is a metric directly related to the ballast component of the 
lamp and therefore could vary depending on the ballast used in 
practice. For test setup and conditions for measuring start time, DOE 
proposes to reference IES LM-66-14. As noted, IES LM-66-14 is the 
industry reference test method for the electrical and photometric 
measurements of CFLs. DOE proposes to adopt the measurement circuit 
requirements specified in section 5.2 of IES LM-66-14 for start time 
testing of integrated CFLs. DOE proposes that after seasoning, units 
must be stored at 25 [deg]C 5 [deg]C ambient temperature 
for a minimum of 16 hours prior to testing, after which the ambient 
temperature must be 25 [deg]C 1 [deg]C for a minimum of 2 
hours prior to testing. To further align with ENERGY STAR requirements, 
DOE also proposes that any units that have been off for more than 24 
hours must be operated for 3 hours and then be turned off for 16 to 24 
hours prior to testing.
    DOE proposes that lumen output measurements be taken as specified 
in section 6.3.1 of IES LM-66-14. DOE proposes that a multichannel 
oscilloscope with data storage capability be connected to record the 
input voltage to the CFL and its lumen output. DOE proposes that the 
power supply must be set as proposed in section III.B.2.c, and the 
oscilloscope must be set to trigger at 10 volts lamp input voltage. DOE 
proposes that the oscilloscope vertical scale be set such that vertical 
resolution is 1 percent of measured initial lumen output or finer. 
Similarly, DOE proposes that the oscilloscope be set to sample the 
lumen output waveform at a minimum rate of 2 kHz. ENERGY STAR requires 
a minimum 2 kHz sampling rate for flicker testing,\22\ and DOE 
understands that this requirement would also provide sufficient 
horizontal resolution for start time testing. DOE proposes that upon 
trigger for start time testing, the sampled lumen output waveform must 
be recorded until the measured lumen output has reached the start 
plateau. In addition, DOE proposes that the trace of full-cycle lumen 
output be calculated as a moving average, whereby values are determined 
at least once every millisecond and each value represents the full-
cycle interval in which it is centered.
---------------------------------------------------------------------------

    \22\ ENERGY STAR[supreg] Program Requirements Product 
Specification for Lamps Version 1.0--Light Source Flicker 
Recommended Practice. August 2013. Washington, DC. 
www.energystar.gov/sites/default/files/specs//ENERGY%20STAR%20Lamps%20V1%200%20Final%20Test%20Methods%20and%20Recommended%20Practices.pdf.
---------------------------------------------------------------------------

    As specified in the proposed definition, the start time is then 
determined as the time in milliseconds to reach 98 percent of the 
average measured lumen output of the start plateau. DOE requests 
comment on the proposed test procedure for start time and the proposed 
definitions for the terms ``start time,'' ``start plateau,'' and 
``percent variability.'' DOE also requests comment on the summary of 
start time testing and results that can be found in the docket for this 
rulemaking.
5. Test Procedures for New CFL Categories
a. Test Procedures for Integrated CFLs
    DOE proposes to specify test procedures to measure the applicable

[[Page 45737]]

metrics for integrated CFLs. As noted in section II, DOE is considering 
revising and/or developing standards in the ongoing GSL standards 
rulemaking for integrated CFLs including but not limited to MBCFLs. The 
definition of ``integrated compact fluorescent lamp'' that DOE is 
proposing in Appendix W (see section III.B.3.f) does not specify base 
type. Therefore, the test procedures proposed in Appendix W for 
integrated CFLs will apply to all integrated CFLs, including MBCFLs. 
DOE requests comment on its proposal that integrated CFLs with medium 
screw bases and other base types are to follow the same test 
procedures.
b. Test Procedures for Non-Integrated CFLs
    DOE proposes to specify test procedures for metrics applicable to 
non-integrated CFLs in Appendix W. As noted in section III.B.4.a, DOE 
proposes to adopt the measurement circuit requirements specified in 
section 5.2 of IES LM-66-14 (proposed for incorporation by reference in 
this NOPR) for electrical and photometric testing of non-integrated 
CFLs. Further, DOE proposes that non-integrated CFLs must be tested 
using the appropriate reference ballasts as specified in section 5.2 of 
IES LM-66-14. Specifically, DOE proposes that reference ballasts 
specifications listed in ANSI_IEC C78.901-2014, ``American National 
Standard for Electric Lamps--Single-Based Fluorescent Lamps--
Dimensional and Electrical Characteristics,'' (hereafter ``ANSI_IEC 
C78.901-2014'') must be used. Therefore, DOE proposes to incorporate by 
reference ANSI_IEC C78.901-2014. DOE requests comment on its proposed 
requirement that non-integrated CFLs be tested using reference ballasts 
that meet ANSI_IEC C78.901-2014 specifications, except as noted.
    DOE is aware that certain non-integrated CFL designs do not have 
reference ballast specifications listed in ANSI_IEC C78.901-2014. For 
these lamp designs, DOE has provided reference ballast specifications 
in Appendix W to reduce testing variation. In cases where there are no 
reference ballast specifications for a lower wattage CFL, DOE specified 
the reference ballast specifications of the corresponding full wattage 
version, if they existed. For all other cases, DOE developed 
specifications by matching the shape, diameter, and base of the CFL 
without reference ballast specifications to the most similar CFL with 
specifications that also had the closest wattage. DOE also proposes 
that manufacturers employ these two principles to apply the appropriate 
reference ballast specifications where none are provided in ANSI_IEC 
C78.901-2014 or specified in Appendix W. DOE requests comment on its 
proposed requirement that if not listed in ANSI_IEC C78.901-2014 or 
Appendix W, reference ballast specifications must be based on existing 
reference ballast specifications for the most similar lamp in ANSI_IEC 
C78.901-2014 or for the higher wattage lamp it is intended to replace.
    To reduce testing variation in Appendix W, DOE also proposes 
several clarifications and specifications. Some non-integrated CFLs can 
be operated on more than one type of circuit. DOE proposes to specify 
that when non-integrated CFLs can be operated on a low frequency or 
high frequency circuit, they are to be tested at low frequency. DOE has 
found that lamp efficacy can vary depending on if the lamp is operated 
at high frequency or low frequency. DOE therefore proposes that non-
integrated CFLs are to be tested at low frequency to ensure consistency 
and comparability across testing results. DOE requests comment on the 
proposed requirement that non-integrated CFLs are to be tested at low 
frequency when a choice is available between low and high frequency 
reference ballast specifications.
    In addition, DOE proposes that non-integrated CFLs rated for 
multiple circuit types (e.g., preheat or rapid start, instant start or 
rapid start) must be tested on rapid start circuits when possible to 
ensure consistent measurements. DOE has found that lamp efficacy can 
vary depending on the circuit type for testing. Therefore, DOE proposes 
that non-integrated CFLs that are rated for operation on a choice of 
preheat or rapid start circuits must be tested on rapid start circuits. 
Similarly, DOE proposes that non-integrated CFLs that are rated for 
operation on a choice of instant start or rapid start circuits must be 
tested on rapid start circuits. DOE requests comment on its proposal 
that non-integrated CFLs be tested on a rapid start circuit if rated 
for operation on (a) a choice of instant start or rapid start circuits, 
or (b) a choice of preheat or rapid start circuits.
c. Test Procedures for Hybrid CFLs
    DOE proposes to establish a test procedure to measure the 
applicable metrics for hybrid CFLs in Appendix W. DOE considers hybrid 
CFLs to be CFLs with an additional light source of a different 
technology that is not the primary source of light. DOE proposes to 
define the term ``hybrid compact fluorescent lamp'' in Appendix W as a 
CFL that incorporates one or more supplemental light sources of 
different technology. While DOE has only identified hybrid CFLs that 
are integrated, based on this definition a hybrid CFL could be either 
an integrated or non-integrated CFL.
    For hybrid CFLs capable of operation with both the fluorescent and 
supplemental light sources turned on, DOE considered proposing to apply 
a weighting of 7 percent to the efficacy of the lamp with both light 
sources on, and a weighting of 93 percent to the efficacy of the lamp 
with only the fluorescent light source on. DOE developed this weighting 
using the estimated average daily operating hours estimated for CFLs in 
the residential sector (1.9 hours),\23\ the estimated average number of 
times a CFL is turned on per day (4 times),\24\ and an estimated 
operation period of the supplemental light source of certain hybrid 
CFLs each time the hybrid CFL is turned on (120 seconds). The efficacy 
of the hybrid CFL would then be the sum of the weighted efficacy 
measured with both the fluorescent and supplementary light sources on, 
and the weighted efficacy measured with only the fluorescent light 
source on. However, DOE believes some hybrid CFLs might not fully 
stabilize when both the fluorescent and supplementary light sources are 
on, possibly presenting challenges in terms of measurement 
repeatability. Additionally, DOE has found at least one configuration 
where it may not be possible to turn on only the fluorescent light 
source. Therefore, DOE determined that the approach described above may 
not produce accurate and repeatable measurements for a majority of 
hybrid CFLs, and decided not to propose this methodology for testing 
hybrid CFLs.
---------------------------------------------------------------------------

    \23\ U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Building Technologies Office, Solid-State Lighting 
Program. Residential Lighting End-Use Consumption Study: Estimation 
Framework and Initial Estimates. December 2012. Washington, DC. 
http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/2012_residential-lighting-study.pdf.
    \24\ Jump, C. et al. Welcome to the Dark Side: The Effect of 
Switching on CFL Measure Life. ACEEE 2008 Summer Study on Energy 
Efficiency in Buildings. 2008. Asilomar, CA, August 17-22. American 
Council for an Energy-Efficient Economy. www.eceee.org/library/conference_proceedings/ACEEE_buildings/2008/Panel_2/2_111/paper.
---------------------------------------------------------------------------

    Instead, DOE proposes that hybrid CFLs must be tested with all 
supplemental light sources turned off, if possible, and that the lamp 
must be stabilized in the operating mode that corresponds to its 
labeled wattage, according to test procedures proposed for CFLs in 
Appendix W. DOE has tentatively determined that this is the most 
consistent manner in which the

[[Page 45738]]

required metrics for hybrid CFLs can be measured. DOE requests comment 
on the proposed definition of hybrid CFLs and to test hybrid CFLs 
according to test procedures for non-hybrid CFLs.
6. Test Procedure for Standby Mode Power
    DOE proposes to establish a test procedure to measure standby mode 
power for CFLs, where applicable, in Appendix W. EPCA directs DOE to 
amend its test procedures for all covered products to incorporate a 
measure of standby and off mode energy consumption in accordance with 
IEC 62301 and IEC 62087, if technically feasible. (42 U.S.C. 
6295(gg)(2)) EPCA defines the three modes that consumer products can be 
in as: (1) Active mode, (2) standby mode, and (3) off mode. (42 U.S.C. 
6295(gg)(1)) DOE incorporated EPCA's definitions for active, standby, 
and off modes into 10 CFR 430.2.
    Active mode is defined as the condition in which an energy-using 
product is connected to a main power source, has been activated, and 
provides one or more main functions. Standby mode is defined as the 
condition in which an energy using product is connected to a main power 
source and offers one or more of the following user-oriented or 
protective functions: (1) To facilitate the activation or deactivation 
of other functions (including active mode) by remote switch (including 
remote control), internal sensor, or timer; or (2) continuous 
functions, including information or status displays (including clocks) 
or sensor-based functions. Off mode is defined as the condition in 
which an energy using product is connected to a main power source and 
is not providing any standby or active mode function.
    DOE research indicates that there are integrated CFLs incorporating 
either wireless controls or photocells integral to integrated CFLs. DOE 
did not find non-integrated CFLs that are capable of standby mode 
operation. Certain ballasts associated with a non-integrated lamp may 
be capable of a standby mode. However, this proposed test procedure 
covers performance of the lamp and not the lamp-and-ballast system. In 
addition, the controls and power requirements associated with the 
standby mode would be found in the ballast and not the non-integrated 
lamp itself. In conclusion, DOE has tentatively determined that 
integrated CFLs can operate in standby mode but not off mode, and non-
integrated CFLs cannot operate in either standby or off mode. 
Consistent with EPCA's requirements in 42 U.S.C. 6295(gg)(2), DOE 
proposes in this NOPR to include standby mode power in its test 
procedures for integrated CFLs.
    DOE also proposes that standby mode power for integrated CFLs be 
measured in accordance with IEC 62301. Therefore, DOE proposes to 
approve IEC 62301, which is already incorporated by reference in 10 CFR 
430.3, for Appendix W. DOE proposes that the test conditions and setup 
be as prescribed in IEC 62301, except for ambient temperature and 
ambient airflow. DOE proposes instead to prescribe the ambient 
temperature and ambient airflow requirements in IES LM-66-14 (proposed 
for incorporation by reference in this NOPR), to minimize differences 
between test procedures for active mode and standby mode. DOE also 
proposes to season lamps in the same manner as for the other proposed 
test procedures, as described in section III.B.2.e. DOE notes that the 
method of measuring standby mode power consumption prescribed in 
section 5 of IEC 62301 is to be followed for the testing of standby 
mode power. Standby mode must be initiated when the CFL is connected to 
the power supply and lumen output is set to zero via remote or other 
wireless/sensor control, prior to taking measurements. DOE requests 
comment on its proposed test procedure for standby mode power of 
integrated CFLs, and on its proposal to season lamps according to 
requirements in the proposed active mode test procedures prior to 
taking measurements. DOE also requests comment on its assessment that 
integrated CFLs can operate in standby mode but not off mode, and that 
non-integrated CFLs cannot operate in either standby or off mode.
7. Rounding Values
    DOE proposes to amend certain rounding requirements for existing 
metrics. Section 3 of the existing Appendix W specifies rounding of 
values; rounding requirements for individual units in a given test 
sample are inconsistent with rounding requirements for the test sample 
as a whole. Measurements are recorded at the resolution of the test 
instrumentation and calculations to the same number of significant 
digits as the previous step. While final values for initial efficacy 
must be rounded to one decimal place, final values for lumen 
maintenance at 1,000 hours, lumen maintenance at 40 percent of rated 
life, rapid cycle stress test surviving units, and lifetime must be 
rounded to whole numbers. However, existing standards for lumen 
maintenance at 1,000 hours (90.0 percent) and lumen maintenance at 40 
percent of lifetime (80.0 percent) are at one decimal place precision 
in 10 CFR 430.32(u).
    DOE proposes to specify rounding requirements for represented 
values in 10 CFR 429.35. Further, DOE proposes to revise the rounding 
requirements for lumen maintenance at 1,000 hours and lumen maintenance 
at 40 percent of lifetime to be to the nearest tenth, and for rapid 
cycle stress test surviving units to be to the nearest whole number, to 
align with existing standards for these metrics. DOE proposes to 
specify that lifetime of a compact fluorescent lamp be rounded to the 
nearest hour.
    Additionally, DOE proposes rounding requirements for new metrics, 
also to be specified in 10 CFR 429.35. Based on a review of 
manufacturer catalogs, DOE proposes that CRI be rounded to the nearest 
whole number, CCT to the nearest 100 kelvins (K), and power factor to 
the nearest hundredth. These rounding requirements are consistent with 
other lighting technologies. DOE also proposes that the represented 
value of start time be rounded to the nearest whole number in 
milliseconds based on the requirements specified in ENERGY STAR Lamps 
Specification v1.1 and the ENERGY STAR Start Time Test Method. DOE 
confirmed the rounding requirement for start time was reasonable based 
on the precision of commercially available equipment. For standby mode 
power, DOE proposes rounding to the nearest tenth of a watt, as it 
believes this to be an achievable level of accuracy.
    DOE requests comment on its proposed rounding requirements for 
metrics.

C. Amendments to Definitions at 10 CFR 430.2

    DOE proposes to revise the definition in 10 CFR 430.2 for the 
existing term ``correlated color temperature,'' and to create a 
definition for the term ``compact fluorescent lamp.'' The following 
sections detail these proposed changes. DOE is also proposing a 
definition for ``lifetime of a compact fluorescent lamp'' (see section 
III.B.3.a. for further details) in 10 CFR 430.2. DOE also expects to 
propose amendments to the term ``basic model'' to include CFLs, but has 
tentatively determined that these amendments should be proposed as part 
of the GSL standards rulemaking, to align the product-specific 
definition of ``basic model'' with any additional metrics proposed in 
that rulemaking.
1. Compact Fluorescent Lamp
    DOE proposes to add the term ``compact fluorescent lamp'' at 10 CFR 
430.2. While the term ``compact fluorescent lamp'' is currently

[[Page 45739]]

referenced in the EPCA and DOE definitions of ``general service lamp,'' 
``medium base compact fluorescent lamp,'' and ``self-ballasted compact 
fluorescent lamp,'' compact fluorescent lamp is not itself defined 
either in EPCA or by DOE. As discussed in section III.B.5, DOE is 
proposing test procedures for CFLs including both non-integrated and 
integrated CFLs. Therefore, in this NOPR, DOE proposes a definition for 
``compact fluorescent lamp.''
    DOE reviewed its definitions for other lighting products and 
considered the existing definition of the term ``fluorescent lamp'' as 
a basis for its proposed definition of ``compact fluorescent lamp.'' 
DOE defines a fluorescent lamp as a low pressure mercury electric-
discharge source in which a fluorescing coating transforms some of the 
ultraviolet energy generated by the mercury discharge into light, and 
explicitly limits the definition to six specific categories of double-
based linear fluorescent lamps. 10 CFR 430.2 In comparison, DOE's 
existing definition of the term ``medium base compact fluorescent 
lamp'' does not describe the lamp's operating principles, but rather 
its physical characteristics (integrated, medium screw base), rated 
input voltage range (115-130 V), intended application, and lamp designs 
excluded from the definition. DOE believes a more general CFL 
definition, similar to DOE's definition of the term ``fluorescent 
lamp,'' is the most suitable to support DOE's coverage of additional 
CFL categories.
    DOE also considered current IES definitions of ``compact 
fluorescent lamp'' contained in ANSI/IES RP-16-14 and IES LM-66-14 
(proposed for incorporation by reference in this NOPR). Section 
6.5.6.1.4 of ANSI/IES RP-16-14 defines a CFL as a fluorescent lamp with 
a small diameter glass tube (T5 or less) that is folded, bent, or 
bridged to create a long discharge path in a small volume; it also 
states that CFL designs generally include an amalgam and a cold 
chamber, or a cold spot to control the mercury vapor pressure and light 
output. The introduction to IES LM-66-14 provides a similar definition, 
but clarifies that CFLs are single-based lamps, and excludes circline 
(circular-shaped) and U-bent (U-shaped) lamps (which are included in 
IES LM-9-09, ``Electrical and Photometric Measurements of Fluorescent 
Lamps''). Unlike DOE's more general fluorescent lamp definition, the 
IES CFL definitions focus less on basic operational principles and more 
on specific physical characteristics.
    DOE considered whether specific physical characteristics should be 
included in the definition of CFL. In addition to the lamp tube 
diameter and lamp geometry elements of the IES definitions, DOE also 
considered including a maximum overall lamp length of 21 inches, which 
was the greatest lamp length observed in DOE's review of commercially 
available non-integrated CFLs. A disadvantage to including detailed 
physical dimensions or descriptions of lamp geometry in a definition is 
that it may exclude future CFL form factors. However, DOE considers the 
single-based lamp construction specified in the IES LM-66-14 CFL 
definition to be a defining characteristic of common CFL designs. DOE 
therefore proposes to define a CFL as a single-based lamp.
    DOE also considered whether U-shaped lamps and circline lamps 
should be included in the definition of CFL. As discussed, IES LM-66-14 
specifically excludes U-shaped and circline fluorescent lamps from its 
CFL definition. The statutory and DOE definition for general service 
fluorescent lamp (GSFL) includes U-shaped lamps, and in the current 
energy conservation standards rulemaking for GSFLs, DOE considers 
circline lamps to be GSFLs as well.\25\ Therefore, DOE proposes to 
explicitly exclude circline and U-shaped lamps from its proposed 
definition for CFL, as they are considered GSFLs.
---------------------------------------------------------------------------

    \25\ GSFL-IRL Preliminary Analysis, Technical Support Document, 
Chapter 2--Analytical Framework, 2013-02-28 (http://eere.energy.gov/buildings/appliance_standards/rulemaking.aspx/ruleid/24).
---------------------------------------------------------------------------

    Specifically, DOE proposes to define ``compact fluorescent lamp'' 
as an integrated or non-integrated single-base, low-pressure mercury, 
electric-discharge source in which a fluorescing coating transforms 
some of the ultraviolet energy generated by the mercury discharge into 
light; however, the term does not include circline or U-shaped 
fluorescent lamps. DOE also proposes to clarify that the term may be 
abbreviated ``CFL,'' thereby enabling use of this common initialism. 
The proposed definition of CFL aligns with the existing fluorescent 
lamp definition by describing the general lamp operating principles, 
and incorporates the salient feature of the IES definitions by 
describing the distinguishing physical characteristic of single-based 
lamp construction. It is able to encompass all categories of CFLs, 
including hybrid CFLs, while specifying the characteristics unique to a 
CFL. DOE requests comment on its proposed definition of the term 
``compact fluorescent lamp.''
2. Correlated Color Temperature
    DOE proposes to clarify the definition of ``correlated color 
temperature'' in 10 CFR 430.2 by adding the abbreviation ``CCT,'' 
similar to the inclusion of ``CRI'' in the definition for ``color 
rendering index.'' The initialism ``CCT'' is widely used in industry as 
well as by ENERGY STAR and in 10 CFR part 430, subpart B, appendix R. 
DOE proposes this change to support the inclusion of this metric in the 
proposed new and amended test procedures for CFLs. DOE requests comment 
on the proposed clarification of the term ``correlated color 
temperature.''

D. Amendments to Materials Incorporated by Reference at 10 CFR 430.3

    As noted in preceding sections of this NOPR, DOE proposes to 
incorporate by reference portions of a number of industry test methods 
in support of the proposed new and amended test procedures for CFLs. In 
section III.B.1, DOE proposed to incorporate by reference portions of 
IES LM-54-12, IES LM-65-14, and IES LM-66-14; none of these three test 
methods are presently listed in 10 CFR 430.3.
    In section III.B.4.a, DOE proposed to incorporate by reference 
portions of CIE 13.3-1995 and CIE 15:2004. In section III.B.5.b, DOE 
proposed to incorporate by reference portions of ANSI_IEC C78.901-2014. 
In section III.B.6, DOE proposed to incorporate by reference portions 
of IEC 62301. All four of these test methods are presently listed in 10 
CFR 430.3 but require reference to Appendix W. DOE requests comment on 
its proposed incorporation by reference of portions of these eight test 
methods in support of the proposed new and amended test procedures for 
CFLs.

E. Amendments to 10 CFR 430.23(y)

    DOE proposes to revise and add text at 10 CFR 430.23(y) to reflect 
the proposed changes detailed in section III.B of this NOPR. The 
existing text at 10 CFR 430.23(y) indicates that for MBCFLs, the 
initial efficacy, lumen maintenance at 1,000 hours, lumen maintenance 
at 40-percent of rated life, and lamp life must be measured, and the 
rapid cycle stress test conducted, in accordance with section 4 of 
appendix W of this subpart. DOE proposes to delete the text medium base 
to reflect the inclusion of additional CFL categories.
    DOE also proposes to require that specific sections of Appendix W 
be used as follows: Initial lamp efficacy, lumen

[[Page 45740]]

maintenance at 1,000 hours, lumen maintenance at 40 percent of 
lifetime, CRI, CCT, and power factor must be measured in accordance 
with section 3.2; time to failure must be measured and rapid cycle 
stress test must be conducted in accordance with section 3.3; start 
time must be measured in accordance with section 3.4; and standby mode 
power must be measured in accordance with section 4. DOE requests 
comment on the proposed amendments to 10 CFR 430.23(y).

F. Amendments to Laboratory Accreditation Requirements at 10 CFR 430.25

    DOE proposes to amend 10 CFR 430.25 to extend the laboratory 
accreditation requirements for MBCFL testing to additional CFL 
categories and metrics covered under its proposed new and amended test 
procedures. Specifically, DOE proposes to replace the text ``medium 
base compact fluorescent lamps'' with the text ``compact fluorescent 
lamps'' and also that if a manufacturer's or importer's laboratory is 
accredited it may conduct the applicable testing. DOE requests comment 
on the proposed amendments to 10 CFR 430.25.

G. Clarifications to Energy Conservation Standard Text at 10 CFR 
430.32(u)

    MBCFL energy conservation standards are codified in a table at 10 
CFR 430.32(u). Certain language in the MBCFL energy conservation 
standards table provides clarification relevant to test procedures 
(e.g., sampling, test methods, and test calculations). While this 
clarifying language is not in conflict with the specifications in the 
test procedures for MBCFLs contained in Appendix W and in 10 CFR 
429.35, DOE proposes to modify the text in the MBCFL energy 
conservation standards table to remove specific test procedure language 
and instead reference the relevant parts of the MBCFL test procedures. 
In addition, in the introductory paragraph of 10 CFR 430.32(u), DOE 
proposes to replace the text bare lamp and covered lamp with the text 
bare or covered, to align with existing text in 10 CFR 429.35. DOE 
considers these revisions to be clarifications that do not modify the 
energy conservation standards. Revisions to specific metrics in the 
table at 10 CFR 430.32(u) are described in the sections that follow. 
DOE requests comment on the proposed amendments to the energy 
conservations standards for MBCFLs at 10 CFR 430.32(u) that remove test 
procedure specifications and align the language with existing and 
proposed terminology in Appendix W and 10 CFR 429.35.
1. Initial Lamp Efficacy
    DOE proposes to amend the first column of the table in 10 CFR 
430.32(u) by replacing the seven instances of the text ``lamp power'' 
with the text ``labeled wattage.'' DOE also proposes to amend the last 
two sentences of footnote 1, which pertains to labeled wattage. DOE 
proposes to delete the current text in footnote 1 that indicates to use 
wattages placed on packaging to select proper specification efficacy in 
this table, not measured wattage, and that labeled wattages are for 
reference only. DOE proposes to replace this language with text 
indicating to use labeled wattage to determine the appropriate minimum 
efficacy requirements in this table, to not use measured wattage for 
this purpose. These revisions clarify that the labeled wattage must be 
used to determine the applicable standard (see section III.B.3.e 
regarding proposed definition of ``labeled wattage'').
    DOE also proposes to remove the first two sentences from footnote 
1, which currently indicate that performance and electrical 
requirements must be taken at the end of the 100-hour aging period 
according to ANSI Standard C78.5, and that the lamp efficacy shall be 
the average of the lesser of the lumens per watt measured in the base 
up and/or other specified positions. These are sampling and calculation 
specifications that are provided in more detail and clarity in Appendix 
W and 10 CFR 429.35.
    Additionally, DOE proposes to correct initial lamp efficacy 
requirements for covered lamps with no reflector in the table in 10 CFR 
430.32(u). Specifically DOE proposes to amend the first column of the 
table by replacing the greater than or equal to operators in the eighth 
and ninth rows (addressing lamps rated at least 15 W but less than 25 
W) with less than or equal to operators. These changes would clarify 
the intended continuity from category to category (grouped by labeled 
wattage). DOE proposes replacing the text in the second row of the 
second column (which indicates that the six values in the next rows 
correspond to minimum efficacy and lumens/watt based upon initial lumen 
data) with text that indicates these six values correspond to minimum 
initial lamp efficacy, expressed in lumens per watt. The data upon 
which initial lamp efficacy must be based are specified in Appendix W.
    In addition, as detailed in sections III.B.2.i and III.I.1, DOE 
proposes to remove the text from footnote 2 indicating that for multi-
level or dimmable systems, measurements shall be at the highest 
setting, and acceptable measurement error is 3%. DOE 
proposes to address dimmable systems and measurement error in Appendix 
W and 10 CFR 429.35, respectively, thereby clarifying the test 
procedures. DOE also proposes to remove footnote 2, which indicates 
that efficacies are based on measured values for lumens and wattages 
from pertinent test data, and that wattages and lumens placed on 
packages may not be used in calculation and are not governed by this 
specification.
    DOE proposes to make these amendments in order to maintain Appendix 
W and 10 CFR 429.35 as the main references for test procedure 
requirements, thereby avoiding confusion and ambiguity regarding the 
source of pertinent test data. DOE considers these proposed revisions 
to the energy conservation standards requirements table to be 
clarifications that align with the existing test procedures and do not 
modify the energy conservation standards.
2. Lumen Maintenance at 1,000 Hours
    DOE proposes to amend the text for 1,000-hour lumen maintenance in 
the second column of the table in 10 CFR 430.32(u), which indicates 
that the average of at least 5 lamps must be a minimum 90.0 percent of 
initial (100-hour) lumen output at 1,000 hours of rated life. DOE 
proposes to delete this text and to only state the standard (>=90.0 
percent). Complete sampling requirements are provided in 10 CFR 429.35, 
and complete test procedures are provided in Appendix W. In addition, 
DOE proposes to replace the text in the first column of this row to 
read lumen maintenance at 1,000 hours. This provides a more specific 
label of the metric and corresponds with the terminology used in the 
test procedures. DOE considers these proposed revisions to the energy 
conservation standards table to be clarifications that do not modify 
the energy conservation standards.
3. Lumen Maintenance at 40 Percent of Lifetime
    DOE proposes to amend the text for lumen maintenance in the second 
column of the table in 10 CFR 430.32(u), which indicates 80.0 percent 
of initial (100-hour) rating at 40 percent of rated life (per ANSI 
C78.5 Clause 4.10). DOE proposes to delete this text and state only the 
standard (>=80.0 percent). The reference to ANSI C78.5 Clause 4.10 only 
reiterates the requirement that lumen maintenance at 40 percent of 
lifetime shall not be less than 80

[[Page 45741]]

percent, and is therefore unnecessary. Further, the test procedures for 
lumen maintenance are provided in more detail and complete form in 
Appendix W. In addition, DOE proposes to replace the text in the first 
column of this row to read lumen maintenance at 40 percent of lifetime. 
This provides a more specific label of the metric and corresponds with 
the terminology used in the test procedures. DOE considers these 
proposed revisions to the energy conservation standards to be 
clarifications that do not modify the energy conservation standards.
4. Rapid Cycle Stress Test
    DOE proposes to amend the text in the second column of the table 
for rapid cycle stress test in 10 CFR 430.32(u). DOE proposes to delete 
the first two sentences of this text, which indicate that testing must 
be conducted as per ANSI C78.5 and IESNA LM-65 (clauses 2, 3, 5, and 6) 
except cycle times must be 5 minutes on and 5 minutes off. DOE proposes 
to state that each lamp must be cycled once for every 2 hours of 
lifetime and at least 5 lamps must meet or exceed the minimum number of 
cycles. ANSI C78.5 does not address rapid cycle stress testing, and DOE 
proposes to incorporate by reference IES LM-65 in the test procedures 
proposed in this NOPR. DOE proposes to address these test 
specifications in Appendix W instead, thereby avoiding confusion and 
ambiguity by maintaining Appendix W as the main reference for test 
procedures. DOE considers these proposed revisions to the energy 
conservation standards requirements table to be clarifications that do 
not modify the energy conservation standards.
5. Lifetime
    As detailed in section III.B.3.a, DOE proposes to amend 10 CFR 
430.32(u) by deleting the term ``average rated lamp life'' and 
replacing it with the term ``lifetime.'' In addition, DOE proposes to 
amend the text in the second column of this row, which indicates that 
lifetime must be >=6,000 hours as declared by the manufacturer on 
packaging, and that at 80 percent of rated life, statistical methods 
may be used to confirm lifetime claims based on sampling performance. 
DOE proposes to remove this text and state only the standard (>=6,000 
hours). DOE proposes to no longer allow the use of statistical methods 
at 80 percent of rated life to determine the represented value of 
lifetime. DOE is proposing to allow manufacturers to submit annual 
certifications of lifetime based on an estimated value followed by full 
certification once lifetime testing is completed (see section III.H for 
details).

H. Amendments to Certification Report Requirements

    DOE recognizes that testing of CFL lifetime and lumen maintenance 
at 40 percent of lifetime requires considerably more time than testing 
of other required CFL metrics. Currently, MBCFLs may be marketed before 
completion of testing for lifetime and lumen maintenance at 40 percent 
of lifetime with supporting engineering predictions and analysis, 
pursuant to 42 U.S.C. 6293(b)(12)(C). DOE proposes to allow new basic 
models of CFLs to be distributed prior to completion of the full 
testing for lifetime and lumen maintenance at 40 percent of lifetime, 
as well as for the rapid cycle stress test because it is also dependent 
on lifetime. Similar to treatment of GSFLs and incandescent reflector 
lamps in 10 CFR 429.12(e)(2), DOE proposes that prior to distribution 
of the new basic model of CFL, manufacturers must submit an initial 
certification report. If testing for time to failure is not complete, 
manufacturers may include estimated values for lifetime, lumen 
maintenance at 40 percent of lifetime, and rapid cycle stress surviving 
units. If reporting estimated values, the certification report must 
state the description of the prediction method and the prediction 
method must be generally representative of the methods specified in 
appendix W. Manufacturers are also required to maintain records per 10 
CFR 429.71 of the development of all estimated values and any 
associated initial test data. If reporting estimated values, the 
certification report must indicate that the values are estimated until 
testing for time to failure is complete. If, prior to completion of 
testing, a manufacturer ceases to distribute in commerce a basic model, 
the manufacturer must submit a full certification report and provide 
all of the information listed in 10 CFR 429.12(b), including the 
product-specific information required by 10 CFR 429.35(b)(2), as part 
of its notification to DOE that the model has been discontinued.
    DOE requests comment on the proposed changes to the certification 
report requirements.

I. Amendments to 10 CFR 429.35

    The text of the 10 CFR 429.35 title currently addresses bare or 
covered (no reflector) medium base compact fluorescent lamps. DOE 
proposes to remove this text and identical text found in Sec.  
429.35(a)(1) and Sec.  429.35(a)(2), and replace it with the text 
``compact fluorescent lamps'' to reflect the proposed inclusion of 
additional CFL categories.
    In addition, to support the proposed new and amended test 
procedures in Appendix W, DOE proposes to clarify and amend the 
sampling requirements for existing and new metrics, including standby 
mode power, and to provide clarification on reuse of samples. DOE has 
tentatively concluded that these clarifications and amendments would 
not have a significant impact on measured values or test burden. DOE 
requests comment on the proposed clarifications to sampling 
requirements for initial lamp efficacy, lumen maintenance, rapid cycle 
stress test, and lifetime, and the tentative conclusion that they would 
not have a significant impact on measured values or test burden. These 
proposed changes to sampling requirements are discussed in detail in 
the following sections.
1. Initial Lamp Efficacy and Lumen Maintenance
    Currently, in 10 CFR 429.35, sampling requirements are specified 
for efficacy, 1,000-hour lumen maintenance, and lumen maintenance. DOE 
proposes to replace the terms efficacy, 1,000-hour lumen maintenance, 
and lumen maintenance, respectively, with the terms initial lamp 
efficacy, lumen maintenance at 1,000 hours, and lumen maintenance at 40 
percent of lifetime. Further, DOE proposes to include language that 
specifies that for each sample unit, a measured value for each metric 
must be determined. This addition will clarify that the mean and lower 
confidence limit (LCL) calculations must be applied to measured values 
of each metric.
    DOE also proposes to create a separate sampling requirement section 
for initial efficacy in order to include an allowance of 3 percent 
tolerance on the represented value of this metric until the compliance 
date of any amended energy conservation standards for MBCFLs.\26\ MBCFL 
energy conservation standards are codified in 10 CFR 430.32(u) and 
include footnotes that provide clarification on test procedures. 
Footnote 2 includes the statement that acceptable measurement error is 
3%. Because this statement pertains to measurement of 
initial lamp efficacy, DOE proposes to remove this statement from the 
table in 10 CFR 430.32(u), as noted in section III.G.1, and to reflect 
this provision instead in an amendment to 10 CFR 429.35.
---------------------------------------------------------------------------

    \26\ The provision would not be applicable for early 
certification to the proposed GSL standards.
---------------------------------------------------------------------------

    Specifically, DOE proposes to state that, to account for 
measurement error,

[[Page 45742]]

the represented value for MBCFL initial lamp efficacy may include 3 
percent added to the lower of (a) the mean of the sample and (b) the 
lower 97.5 percent LCL of the true mean divided by 0.95. For example, 
if the mean of the sample is the lower value at 60.0 lumens per watt, 
then the 1.03 multiplier could be applied to yield a represented value 
for initial lamp efficacy of 61.8 lumens per watt. DOE has tentatively 
concluded that this clarification will not result in a significant 
impact to measured values. In addition, DOE proposes to amend 10 CFR 
429.35 to clarify that the 3 percent tolerance is only applicable to 
MBCFLs, and only until the compliance date of any amended energy 
conservation standards for MBCFLs if adopted by the ongoing GSL 
standards rulemaking. DOE requests comment on its proposed amendments 
to 10 CFR 429.35 regarding the existing allowance for measurement error 
of initial lamp efficacy.
    Additionally, DOE proposes to expand the sample size from a minimum 
of 5 units to a minimum of 10 units for initial lamp efficacy, 1,000 
hour lumen maintenance, and lumen maintenance at 40 percent of 
lifetime. DOE also proposes to require that half of the units are 
tested base up and half of the units are tested base down, rather than 
testing all units base up as currently required. DOE further proposes 
to specify that if more than 10 units are tested as part of the sample 
for these three metrics, the total number of units must be a multiple 
of two so that an equal number of units can be tested base up and base 
down. Testing in both the base up and base down positions provides an 
accurate representation of performance under both orientations since 
the end-use orientation is unknown. Because the current sampling 
requirements already require at least 10 units for determining 
lifetime, and initial lamp efficacy and lumen maintenance values can be 
determined in the course of time to failure testing, DOE has 
tentatively concluded that the proposed sampling size would not be 
overly burdensome for manufacturers. Further, DOE is proposing to 
require the use of the same samples for representations of lifetime and 
lumen maintenance values (see section III.I.5 for details). 
Additionally, this sampling plan is consistent with the sampling 
requirements for these metrics in the current ENERGY STAR Lamps 
Specification v1.1.
    As noted in section III.B.4, DOE proposes to move all lamp 
orientation text from Sec.  429.35 to Appendix W in order to 
consolidate test requirements. DOE therefore proposes to specify in 
section 3.2.1.1 of Appendix W that half of the units must be tested in 
the base up position, and half of the units must be tested in the base 
down position; if the position is restricted by the manufacturer, units 
must be tested in the manufacturer specified position. DOE also 
proposes to specify in 10 CFR 429.35 that any represented value of 
lumen maintenance at 40 percent of lifetime must be based on a lifetime 
value that is equal to or greater than the represented value of 
lifetime.
    DOE also proposes to specify in 10 CFR 429.35 that any represented 
value of initial lamp efficacy be expressed in lumens per watt and 
rounded to the nearest tenth; any represented value of lumen 
maintenance at 1,000 hours be expressed as a percentage and rounded to 
the nearest tenth; and any represented value of lumen maintenance at 40 
percent of lifetime be expressed as a percentage and rounded to the 
nearest tenth. DOE requests comment on its proposed rounding 
requirements.
2. Rapid Cycle Stress Testing
    DOE proposes to restrict the sample size for rapid cycle stress 
testing to an exact number of units. Currently, the sampling size for 
rapid cycle stress testing is specified at 10 CFR 429.35(a)(2)(ii) as 
no less than 6 unique units. DOE proposes to specify that exactly 6 
unique units must be tested per basic model for rapid cycle stress 
testing. This proposed specification will minimize confusion and 
improve consistency in the number of samples used for testing. This 
proposed sampling requirement would also align with the sample size 
requirement for rapid cycle stress testing in the ENERGY STAR Lamps 
Specification v1.1. As noted in section III.B.4, DOE proposes to move 
all lamp orientation text from 10 CFR 429.35 to Appendix W in order to 
consolidate test requirements; the relevant text for rapid cycle stress 
testing currently indicates that each unit can be tested in the base up 
or base down position as stated by the manufacturer. To align with 
other test procedures, DOE proposes to specify in section 3.3.1.1 of 
Appendix W that half of the units must be tested in the base up 
position, and half of the units must be tested in the base down 
position; if the position is restricted by the manufacturer, units must 
be tested in the manufacturer-specified position. DOE also proposes to 
specify at a new paragraph in 10 CFR 429.35 that any represented value 
of rapid cycle stress test surviving units must be based on a lifetime 
value that is equal to or greater than the represented value of 
lifetime. DOE also proposes to specify in 10 CFR 429.35 that any 
represented value of the results of rapid cycle stress testing be 
expressed in the number of surviving units. DOE requests comment on its 
proposed rounding requirements.
3. Lifetime of a Compact Fluorescent Lamp
    DOE proposes to clarify the sampling requirements for lifetime of a 
compact fluorescent lamp, including the position in which lamps are 
tested. Currently, 10 CFR 429.35(a)(2)(iii) states that no less than 10 
units per basic model must be used when testing for the average rated 
lamp life, and that half the sample should be tested in the base up 
position and half of the sample should be tested in the base down 
position, unless specific use or position appears on the packaging of 
that particular unit.
    As noted in section III.B.3.a, DOE proposes to replace the term 
``average rated lamp life'' with the term ``lifetime of a compact 
fluorescent lamp.'' In addition, DOE proposes amendments to align the 
sampling requirements for lifetime with the sampling requirements for 
initial lamp efficacy and lumen maintenance. DOE proposes to specify 
within the sampling requirements for lifetime, that if more than 10 
units are tested as part of the sample, the total number of units must 
be a multiple of two. DOE also proposes to specify how the time to 
failure value determined per Appendix W must be used to determine the 
represented value of lifetime. Specifically, DOE proposes the lifetime 
of a compact fluorescent lamp must be calculated by determining the 
median time to failure of the sample (calculated as the arithmetic mean 
of the time to failure of the two middle sample units when the numbers 
are sorted in value order). DOE also proposes to reference section 3.3 
of Appendix W in the sampling requirements for lifetime to clarify the 
use of the time to failure test procedure when determining lifetime. 
DOE also proposes to specify in 10 CFR 429.35 that any represented 
value of lifetime be expressed in hours and rounded to nearest whole 
number. DOE requests comment on its proposed rounding requirements.
    As noted in section III.B.4, DOE proposes to move all lamp 
orientation text from Sec.  429.35 to Appendix W in order to 
consolidate test requirements. DOE therefore proposes to specify in 
section 3.3.1.1 of Appendix W that half of the units must be tested in 
the base up position and half of the units must be tested in the base 
down position, but that if the position is restricted by the 
manufacturer, units must be tested in the manufacturer-specified 
position.

[[Page 45743]]

4. New Metrics
    As discussed in section III.B.4, DOE is proposing test procedures 
for measuring new metrics including CRI, power factor, CCT, start time, 
and standby mode power. For CRI, power factor, CCT, and standby mode 
power, DOE proposes to require a sample size of at least 10 (half base 
up and half base down). Testing in both the base up and base down 
positions provides an accurate representation of performance under both 
orientations since the end-use orientation is unknown. DOE also 
proposes to specify within the sampling requirements for CRI, power 
factor, CCT, and standby mode power, that, if more than 10 units are 
tested as part of the sample, the total number of units must be a 
multiple of two.
    DOE proposes to specify the same sampling requirements for CRI and 
power factor as those specified for initial lamp efficacy, lumen 
maintenance at 1,000 hours, and lumen maintenance at 40 percent of 
lifetime in 10 CFR 429.35. Thus, for CRI and power factor, DOE proposes 
that representations of these metrics be equal to the lesser of the 
mean of the sample and the 97.5 percent LCL divided by 0.95. Since 
higher values are desirable for CRI and power factor, use of the lesser 
of the mean and LCL ensures that a representative value is reported.
    Because there are no targeted upper or lower bound values for CCT, 
DOE proposes to specify in 10 CFR 429.35 that representations of CCT be 
the mean of the sample.
    For the start time, DOE proposes a sample size of three units. DOE 
believes this is an appropriate sample size to determine an accurate 
value for the lamp start time. Further, DOE proposes that 
representations be equal to the greater of the mean of the sample and 
the 97.5 percent upper confidence limit (UCL) divided by 1.05, since 
lower values are desirable. DOE proposes to describe the sampling 
requirements for start time in 10 CFR 429.35.
    For standby mode power, DOE proposes to specify in 10 CFR 429.35 a 
sample size of at least 10 units, consistent with that used for the 
active mode power metric, initial lamp efficacy. DOE proposes that 
representations be equal to the greater of the mean of the sample and 
the 97.5 percent UCL divided by 1.05, since lower values are desirable.
    DOE has tentatively concluded that the proposed sampling size for 
CRI, power factor, CCT, start time, and standby mode power would not 
increase test burden on manufacturers. The current sampling 
requirements already require 10 units for determining lifetime, and 
several of these metrics (e.g., CRI, CCT, and power factor values) can 
be determined in the course of time to failure testing. Additionally, 
this sampling plan is consistent with the sampling requirements for 
these metrics in the ENERGY STAR Lamps Specification v1.1. DOE requests 
comment on the proposed sampling requirements for CRI, power factor, 
CCT, start time, and standby mode power and the preliminary 
determination that these requirements do not increase test burden on 
manufacturers.
    DOE proposes to specify in 10 CFR 429.35 that any represented value 
of CCT be expressed in kelvins (K) and rounded to the nearest 100; any 
represented value of standby mode power be expressed in watts and 
rounded to the nearest tenth; any represented value of CRI be rounded 
to the nearest whole number; and any represented value of power factor 
be rounded to the nearest hundredths place. Further DOE proposes to 
specify in 10 CFR 429.35 any represented value of start time be 
expressed in milliseconds and rounded to the nearest whole number. DOE 
requests comment on its proposed rounding requirements.
5. Reuse of Samples
    DOE proposes to specify in 10 CFR 429.35 that the same sample of 
units must be used to determine initial lamp efficacy, lumen 
maintenance at 1,000 hours, lumen maintenance at 40 percent of 
lifetime, lifetime, CRI, CCT, power factor, start time, and standby 
mode power. DOE believes that using the same sample units for all 
metrics reduces testing burden. For example, lifetime and lumen 
maintenance testing are inherently lengthy procedures, involving 
thousands of hours of lamp operation. Avoiding duplicate sets of long-
term sample units could therefore reduce the effort and resources 
required for testing. DOE requests comment on its proposed 
clarifications and amendments to the reuse of samples.

J. Federal Trade Commission (FTC) Labeling Requirements

    DOE is proposing to add provisions to 10 CFR 429 to support FTC's 
labeling program. DOE is including provisions for initial lumen output, 
input power, correlated color temperature, estimated annual energy 
cost, and life (in years) to enable FTC to allow manufacturers to 
submit data through DOE's Compliance Certification Management System 
(CCMS) for the FTC labeling requirements. The measurements required for 
these metrics are already described in Appendix W because they support 
other metrics described in this test procedure. For example, initial 
lumen output and input power (a standalone metric and also part of the 
calculation for estimated annual energy cost) are the two quantities 
required to calculate initial lamp efficacy. Furthermore, the life 
(expressed in years) is determined by dividing the lifetime by an 
average operating hour value specified by FTC. Both initial lamp 
efficacy and lifetime are metrics already required by DOE and described 
in detail throughout this test procedure. DOE proposes modifications to 
10 CFR 429.35 to support the addition of provisions for initial lumen 
output, input power, correlated color temperature, estimated annual 
energy cost, and life (expressed in years).

K. Effective Date and Compliance Dates

    If adopted, the effective date for the test procedures proposed in 
this NOPR would be 30 days after publication of the CFL test procedure 
final rule in the Federal Register. The compliance date for an amended 
or new test procedure is 180 days after publication of the final rule. 
(42 U.S.C. 6293(c)(2))
    DOE proposes that after the effective date and prior to the 
compliance date of a CFL test procedure final rule, manufacturers may 
voluntarily begin to make representations with respect to the energy 
use or efficiency of CFLs (including but not limited to MBCFLs) using 
the results of testing pursuant to that final rule. On or after 180 
days after publication of a final rule, any representations including 
certifications of compliance (if required), made with respect to the 
energy use or efficiency of CFLs (including but not limited to MBCFLs) 
must be made in accordance with the results of testing pursuant to the 
proposed new and amended test procedures.
    DOE requests comment on the proposed effective date and compliance 
dates for the proposed new and amended CFL test procedures.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (OMB) has determined that test 
procedure rulemakings do not constitute ``significant regulatory 
actions'' under section 3(f) of Executive Order 12866, ``Regulatory 
Planning and Review.'' 58 FR 51735 (Oct. 4, 1993). Accordingly, this 
action was not subject to review under the Executive Order by the 
Office of Information and Regulatory Affairs (OIRA) in the OMB.

[[Page 45744]]

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IRFA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (Aug. 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site: http://energy.gov/gc/office-general-counsel.
    DOE reviewed the proposed rule to amend the test procedures for 
CFLs under the provisions of the Regulatory Flexibility Act and the 
procedures and policies published on February 19, 2003. DOE certifies 
that the proposed rule, if adopted, would not have a significant 
economic impact on a substantial number of small entities. The factual 
basis for this certification is set forth in the following paragraphs.
1. Small Business Manufacturers of Covered Products
    The Small Business Administration (SBA) has set a size threshold 
for electric lamp manufacturers to describe those entities that are 
classified as ``small businesses'' for the purposes of the Regulatory 
Flexibility Act. DOE used the SBA's small business size standards to 
determine whether any small manufacturers of CFLs 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 descriptions are 
available at www.sba.gov/content/small-business-size-standards.
    In a final rule published in March 2011 for certification, 
compliance, and enforcement (2011 CCE final rule), DOE identified NAICS 
code 335110, ``Electric Lamp Bulb and Part Manufacturing,'' for MBCFLs. 
76 FR 12422, 12488 (March 7, 2011). Although the 2011 CCE final rule 
focused on MBCFLs, the NAICS code 335110 is applicable to all CFLs, 
including but not limited to MBCFLs. The SBA sets a threshold of 1,000 
employees or less for an entity to be considered as a small business 
for NAICS code 335110.
    DOE conducted a focused inquiry of manufacturers of products 
covered by this rulemaking. During its market survey, DOE used all 
available public information to identify potential small manufacturers. 
DOE's research involved the review of DOE's Compliance Certification 
Database, the ENERGY STAR databases, individual company Web sites, and 
marketing research tools (e.g., Hoovers.com, Manta.com) to create a 
list of companies that manufacture CFLs covered by this rulemaking. 
Using these sources, DOE identified 159 distinct manufacturers of CFLs 
(integrated and non-integrated lamps).
    DOE then reviewed these data to determine whether the entities met 
the SBA's definition of a small business manufacturer of covered 
lighting products and screened out companies that do not offer products 
covered by this rulemaking, do not meet the definition of a ``small 
business,'' or are foreign owned and operated. Based on this review, 
DOE has identified 26 manufacturers that would be considered small 
businesses. Through this analysis, DOE determined the expected impacts 
of the rule on affected small businesses and whether an IRFA was needed 
(i.e., whether DOE could certify that this rulemaking would not have a 
significant economic impact on a substantial number of small entities).
    Table IV.1 stratifies the small businesses according to their 
number of employees. The smallest company has 1 employee and the 
largest company 167 employees. Annual revenues associated with these 
small businesses were estimated at $269 million ($10.4 million average 
annual sales per small business). According to DOE's analysis, small 
businesses comprise 16 percent of the entire CFL manufacturing industry 
covered by the proposed rule.

                             Table IV.1--Small Business Size by Number of Employees
----------------------------------------------------------------------------------------------------------------
                                                          Number of small     Percentage of        Cumulative
                  Number of employees                        businesses      small businesses      percentage
----------------------------------------------------------------------------------------------------------------
1-10...................................................                  9               34.6               34.6
11-20..................................................                  4               15.4               50.0
21-30..................................................                  2                7.7               57.7
31-40..................................................                  4               15.4               73.1
41-50..................................................                  1                3.8               76.9
51-60..................................................                  2                7.7               84.6
61-70..................................................                  0                0.0               84.6
71-80..................................................                  1                3.8               88.5
81-90..................................................                  1                3.8               92.3
91-100.................................................                  0                0.0               92.3
101-150................................................                  1                3.8               96.2
151-200................................................                  1                3.8              100.0
201-300................................................                  0                0.0              100.0
301-400................................................                  0                0.0              100.0
401-500................................................                  0                0.0              100.0
501-1,000..............................................                  0                0.0              100.0
                                                        --------------------------------------------------------
    Total..............................................                 26
----------------------------------------------------------------------------------------------------------------

    DOE assessed elements (testing methodology, testing times and 
sample size) in the proposed test procedure amendments that could 
affect costs associated with complying with this rule. The following is 
a synopsis of changes and analysis of costs associated with this 
proposed rulemaking.
2. Burden Related to Proposed Amendments to Appendix W
    DOE's analysis of burden for Appendix W focused on updates to

[[Page 45745]]

industry test methods, test procedures scope of coverage, proposed new 
test procedures, and sample size.
a. Updates to Industry Test Methods
    DOE proposes in this NOPR to incorporate by reference the latest 
versions of industry test methods relevant to CFL performance 
measurements, which would collectively replace the test procedures 
adopted from the August 2001 version of the ENERGY STAR program 
requirements for CFLs that is incorporated by reference in DOE's 
existing MBCFL test procedures. DOE proposes to incorporate by 
reference the latest IES and CIE industry test methods contained in the 
current ENERGY STAR Lamps Specification v1.1. Further, DOE proposes to 
incorporate these latest industry test methods directly, instead of 
indirectly through an ENERGY STAR reference as in the existing test 
procedures. These updated test methods provide revised procedures and 
do not require additional equipment. Therefore, updating the test 
methods should not increase the burden.
b. Test Procedures Scope of Coverage
    This notice proposes test procedures that cover all CFLs and not 
just the MBCFLs currently covered by the existing test procedures. The 
additional scope of coverage will increase burden compared to the 
existing burden. DOE analyzes the cost of testing the additional CFL 
categories in the analysis of burden.
c. Proposed New Test Procedures
    DOE's proposed amendments to Appendix W include additional elements 
not currently addressed in Appendix W. The additional testing for power 
factor, start time, and standby mode power will increase the labor and 
energy burden compared to the existing burden. DOE analyzes the costs 
of these additional metrics in the analysis of burden. As previously 
stated in this NOPR, DOE is also considering proposing test procedures 
for CCT and CRI in support of the ongoing GSL standards rule. DOE does 
not believe that the additional metrics of CCT or CRI will increase 
burden because the data to calculate the metrics can be measured at the 
same time and without additional setup and labor as the lumen output 
measurements. Further, most manufacturers already measure, calculate, 
and report these values as part of Lighting Facts labels and 
specification sheets and, in many cases, participation in the ENERGY 
STAR program.
d. Sample Size
    In addition to the change in scope of coverage and the additional 
tests added to the proposed test procedures, Appendix W also proposes 
to increase the sample size of lamps being tested. Many of the sample 
sizes would increase from 5 to 10 which will increase burden. DOE 
analyzes the costs associated with increased sample size in the 
analysis of burden.
e. Analysis of Burden
    To determine the costs, DOE analyzed the labor cost and the cost of 
electricity for the different measurements discussed in the proposed 
test procedure. To determine the cost of labor, DOE reviewed the 2012 
median pay for electrical and electronic engineering technicians 
($57,850), electrical and electronics engineers ($89,630) and electro-
mechanical technicians ($51,820) based on data published by the U.S. 
Department of Labor Bureau of Labor Statistics.\27\ The average annual 
salary of $66,433 was divided by 1,920 hours per year (40 hours per 
week for 48 weeks per year) to develop an hourly rate of $34.60. The 
hourly labor rate was increased 31.3 percent \28\ to account for 
benefits,\29\ yielding an estimated total hourly labor rate of $45.43. 
The cost of labor was then calculated by multiplying the estimated 
hours of labor by the total hourly labor rate.
---------------------------------------------------------------------------

    \27\ United States Department of Labor. Bureau of Labor 
Statistics Occupational Outlook Handbook. Washington, DC. (Last 
accessed February 25, 2015.) www.bls.gov/ooh/Architecture-and-Engineering/home.htm.
    \28\ Obtained from the Bureau of Labor Statistics News Release: 
Employer Cost For Employee Compensation--December 2014, U.S. 
Department of Labor (December 2014) www.bls.gov/news.release/ecec.nr0.htm.
    \29\ Additional benefits include paid leave, supplemental pay, 
insurance, retirement savings, Social Security, Medicare, 
unemployment insurance, and workers compensation.
---------------------------------------------------------------------------

    To determine the cost of electricity, DOE used the labeled wattage 
of integrated lamps or referred to a ballast catalog for non-integrated 
lamps. The wattage value was multiplied by the estimated operating time 
needed to complete the required testing to determine the energy use of 
the lamp during testing. The energy use of the lamp during testing was 
then multiplied by an electricity rate of $0.1077 per kilowatt-hour 
(kWh) to determine the cost of electricity.\30\
---------------------------------------------------------------------------

    \30\ The electricity rate of $0.1077 per kWh is the average 
commercial rate year to date for 2014 from the U.S. Energy 
Information Administration's (EIA's) Electric Power Monthly, March 
2014, Table 5.3, available at www.eia.gov/electricity/monthly/ (last 
accessed February 25, 2015).
---------------------------------------------------------------------------

    DOE collected annual revenue estimates for 26 small businesses for 
CFLs using the Hoovers.com and Manta.com company profile databases. 
Hoovers.com and Manta.com report significantly different annual revenue 
for certain manufacturers; in these situations, DOE averaged the two 
datasets for each manufacturer. DOE determined that the mean revenue of 
the identified small businesses is $10,356,384. According to a 
combination of Hoovers.com and Manta.com, the smallest of the 26 small 
businesses had revenues of $0.29 million per year.
    DOE analyzed the potential burden for 8 of the 26 small businesses 
identified, including the following: The manufacturer with the fewest 
employees, the manufacturer with the most employees, a manufacturer 
with a relatively high number of MBCFL basic models, a manufacturer 
with a relatively high number of CFL basic models (34 basic models, 11 
of which were MBCFLs), and 4 others that were near median for the 26-
manufacturer dataset in terms of number of employees and basic models.
    Table IV.2 compares the total number of basic models, the testing 
cost per basic model, and the testing costs as a portion of their 
revenues for both the existing Appendix W and the proposed amendments 
to Appendix W. The average cost of testing in accordance with the 
existing Appendix W is $1,180 per basic model, versus $2,602 for the 
proposed amended Appendix W. This is a 120 percent increase in testing 
costs per basic model. For the 8 small businesses analyzed, costs 
associated with testing in accordance with the proposed Appendix W 
represent on average 3 percent of their annual revenue. For one small 
business, the proposed testing in Appendix W could represent 7.6 
percent of their annual revenue; however, this value is likely 
overstated since the analysis for each of these businesses assumes just 
one unique product configuration per basic model.

[[Page 45746]]



                                                        Table IV.2--Analysis of Small Businesses
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Small Business #
                                                 -------------------------------------------------------------------------------------------------------
                                                       1            2            3            4            5            6            7            8
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                            Existing Appendix W
--------------------------------------------------------------------------------------------------------------------------------------------------------
# of basic models...............................            8           28            5           28           25           27           85           19
Testing cost/basic model........................       $1,154       $1,292       $1,186       $1,246       $1,187       $1,110       $1,187       $1,078
Testing cost portion of revenue.................        0.13%        3.12%        1.19%        0.17%        0.61%        1.58%        0.36%        1.08%
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                     Proposed Amendments to Appendix W
--------------------------------------------------------------------------------------------------------------------------------------------------------
# of basic models...............................           11           34            5          116           59           31           87           44
Testing cost/basic model........................       $2,708       $2,598       $2,500       $2,732       $2,585       $2,506       $2,657       $2,531
Testing cost portion of revenue.................        0.43%        7.62%        2.50%        1.57%        3.13%        4.09%        0.82%        5.90%
--------------------------------------------------------------------------------------------------------------------------------------------------------

f. Summary
    The final cost per manufacturer primarily depends on the number of 
basic models the manufacturer sells. These are not annual costs because 
DOE does not require manufacturers to retest a basic model annually. 
The initial test results used to generate a certified rating for a 
basic model remain valid as long as the basic model has not been 
modified from the tested design in a way that makes it less efficient 
or more consumptive, which would require a change to the certified 
rating. If a manufacturer has modified a basic model in a way that 
makes it more efficient or less consumptive, new testing is required 
only if the manufacturer wishes to make representations of the new, 
more efficient rating.
    DOE analyzed the industry for CFL manufacturing to determine all 
manufacturers of CFLs covered in this NOPR. Analysis of the industry 
determined that 16 percent of all CFL manufacturers could be classified 
as small businesses according to SBA classification guidelines. 
Although 16 percent of the market could be considered a significant 
portion of the overall industry, these manufacturers are not 
substantially affected by this proposed rule because the testing 
represents a small portion of annual revenue and does not need to be 
repeated annually. Further, 80 percent of the small businesses 
identified participate in ENERGY STAR. Therefore, a vast majority of 
small businesses are already testing these same quantities and metrics 
for ENERGY STAR certification.
    Based on the criteria outlined earlier, DOE certifies that proposed 
testing procedure amendments would not have a ``significant economic 
impact on a substantial number of small entities,'' and the preparation 
of an IRFA is not warranted. DOE will transmit the certification and 
supporting statement of factual basis to the Chief Counsel for Advocacy 
of the SBA for review under 5 U.S.C. 605(b). DOE requests comment on 
its tentative conclusion that the proposed test procedure changes will 
not have a significant economic impact on a substantial number of small 
entities.

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of covered products must certify to DOE that their 
products comply with any applicable energy conservation standards. In 
certifying compliance, manufacturers must test their products according 
to the applicable DOE test procedure, including any amendments adopted 
for that test procedure. DOE has established regulations for the 
certification and recordkeeping requirements for all covered consumer 
products and commercial equipment, including MBCFLs. 76 FR 12422 (March 
7, 2011); 80 FR 5099 (January 30, 2015). The collection-of-information 
requirement for the certification and recordkeeping is subject to 
review and approval by OMB under the Paperwork Reduction Act (PRA). 
This requirement has been approved by OMB under OMB Control Number 
1910-1400 and includes an estimated public reporting burden for 
manufacturers of other CFL categories, in addition to MBCFLs, should 
DOE set any future energy conservation standards for these products. 
Public reporting burden for the certification is estimated to average 
30 hours per response, including the time for reviewing instructions, 
searching existing data sources, gathering and maintaining the data 
needed, and completing and reviewing the collection of information.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to, a penalty 
for failure to comply with a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

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

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (Aug. 4, 1999), 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have Federalism 
implications. The

[[Page 45747]]

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

F. Review Under Executive Order 12988

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

G. Review Under the Unfunded Mandates Reform Act of 1995

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

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

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

I. Review Under Executive Order 12630

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

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

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

K. Review Under Executive Order 13211

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

[[Page 45748]]

distribution, or use of energy, nor has it been designated as a 
significant energy action by the Administrator of OIRA. Therefore, it 
is not a significant energy action, and, accordingly, DOE has not 
prepared a Statement of Energy Effects.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the Chairman of the FTC concerning the impact 
of the commercial or industry standards on competition.
    The proposed test procedures incorporate testing methods contained 
in the following commercial standards:
    (1) ANSI_IEC C78.901-2014, ``American National Standard for 
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and 
Electrical Characteristics,'' 2014;
    (2) CIE 13.3-1995, ``Technical Report: Method of Measuring and 
Specifying Colour Rendering Properties of Light Sources,'' 1995;
    (3) CIE 15:2004, ``Technical Report: Colorimetry, 3rd edition,'' 
2004;
    (4) IES LM-54-12, ``IES Guide to Lamp Seasoning,'' 2012;
    (5) IES LM-65-14, ``IES Approved Method for Life Testing of Single-
Based Fluorescent Lamps,'' 2014;
    (6) IES LM-66-14, ``IES Approved Method for the Electrical and 
Photometric Measurements of Single-Based Fluorescent Lamps,'' 2014; and
    (7) IEC Standard 62301 (Edition 2.0), ``Household electrical 
appliances--Measurement of standby power,'' 2011.
    DOE has evaluated these standards and is unable to conclude whether 
they fully comply with the requirements of section 32(b) of the FEAA 
(i.e., that they were developed in a manner that fully provides for 
public participation, comment, and review). DOE will consult with the 
Attorney General and the Chairman of the FTC concerning the impact of 
these test procedures on competition, prior to prescribing a final 
rule.

M. Description of Materials Proposed To Be Incorporated by Reference

    In this NOPR, DOE proposes to incorporate by reference the test 
standard published by ANSI, titled ``American National Standard for 
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and 
Electrical Characteristics,'' ANSI_IEC C78.901-2014. ANSI_IEC C78.901-
2014 is an industry accepted test standard that specifies physical and 
electrical characteristics of non-integrated CFLs and is applicable to 
products sold in North America. The test procedures proposed in this 
NOPR reference ANSI_IEC C78.901-2014 for characteristics of reference 
ballasts that must be used when testing non-integrated CFLs. ANSI_IEC 
C78.901-2014 is readily available on ANSI's Web site at http://webstore.ansi.org/.
    DOE also proposes to incorporate by reference the test standard 
published by IES, titled ``IES Guide to Lamp Seasoning,'' IES LM-54-12. 
IES LM-54-12 is an industry accepted test standard that specifies a 
method for seasoning CFLs prior to testing and is applicable to 
products sold in North America. The test procedures proposed in this 
NOPR reference various sections of IES LM-54-12 that address seasoning 
of CFLs prior to testing. IES LM-54-12 is readily available on IES's 
Web site at www.ies.org/store.
    DOE also proposes to incorporate by reference the test standard 
published by IES, titled ``IES Approved Method for Life Testing of 
Single-Based Fluorescent Lamps,'' IES LM-65-14. IES LM-65-14 is an 
industry accepted test standard that specifies a method for measuring 
the time to failure of CFLs and is applicable to products sold in North 
America. The test procedures proposed in this NOPR reference various 
sections of IES LM-65-14 that address test conditions and procedures 
for measuring time to failure and rapid cycle stress testing of CFLs. 
IES LM-65-14 is readily available on IES's Web site at www.ies.org/store.
    DOE also proposes to incorporate by reference the test standard 
published by IES, titled ``IESNA Approved Method for Total Luminous 
Flux Measurement of Lamps Using an Integrating Sphere Photometer,'' 
IESNA LM-78-07. IESNA LM-78-07 is an industry accepted test standard 
that specifies a method for measuring lumen output in an integrated 
sphere and is applicable to products sold in North America. The test 
procedures proposed in this NOPR reference sections of IESNA LM-78-07 
that address measurements of lumen output. IESNA LM-78-07 is readily 
available on IES's Web site at www.ies.org/store.
    DOE also proposes to incorporate by reference the test standard 
published by IES, titled ``IES Approved Method for the Electrical and 
Photometric Measurements of Single-Based Fluorescent Lamps,'' IES LM-
66-14. IES LM-66-14 is an industry accepted test standard that 
specifies methods for measuring the photometric and electrical 
characteristics of CFLs and is applicable to products sold in North 
America. The test procedures proposed in this NOPR reference various 
sections of IES LM-66-14 that address test conditions and procedures 
for measuring initial lamp efficacy, lumen maintenance, CCT, CRI, power 
factor, start time, and standby mode power of CFLs. IES LM-66-14 is 
readily available on IES's Web site at www.ies.org/store.

V. Public Participation

A. Attendance at Public Meeting

    The time, date, and location of the public meeting are listed in 
the DATES and ADDRESSES sections at the beginning of this notice. If 
you plan to attend the public meeting, please notify Ms. Brenda Edwards 
at (202) 586-2945 or [email protected].
    Please note that foreign nationals visiting DOE Headquarters are 
subject to advance security screening procedures which require advance 
notice prior to attendance at the public meeting. If a foreign national 
wishes to participate in the public meeting, please inform DOE of this 
fact as soon as possible by contacting Ms. Regina Washington at (202) 
586-1214 or by email: [email protected] so that the 
necessary procedures can be completed.
    DOE requires visitors to have laptops and other devices, such as 
tablets, checked upon entry into the building. Any person wishing to 
bring these devices into the Forrestal Building will be required to 
obtain a property pass. Visitors should avoid bringing these devices, 
or allow an extra 45 minutes to check in. Please report to the 
visitor's desk to have devices checked before proceeding through 
security.
    Due to the REAL ID Act implemented by the Department of Homeland 
Security (DHS), there have been recent changes regarding ID 
requirements for individuals wishing to enter Federal buildings from 
specific states and U.S. territories. Driver's licenses from the 
following states or territory will not be accepted for building entry 
and one of the alternate forms of ID listed below will be required. DHS 
has determined that regular driver's licenses (and ID

[[Page 45749]]

cards) from the following jurisdictions are not acceptable for entry 
into DOE facilities: Alaska, American Samoa, Arizona, Louisiana, Maine, 
Massachusetts, Minnesota, New York, Oklahoma, and Washington. 
Acceptable alternate forms of Photo-ID include: U.S. Passport or 
Passport Card; an Enhanced Driver's License or Enhanced ID-Card issued 
by the states of Minnesota, New York or Washington (Enhanced licenses 
issued by these states are clearly marked Enhanced or Enhanced Driver's 
License); a military ID or other Federal government issued Photo-ID 
card.
    In addition, you can attend the public meeting via webinar. Webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants will be 
published on DOE's Web site http://eere.energy.gov/buildings/appliance_standards/product.aspx/productid/28. Participants are 
responsible for ensuring that their systems are compatible with the 
webinar software.

B. Procedure for Submitting Prepared General Statement for Distribution

    Any person who has plans to present a prepared general statement 
may request that copies of his or her statement be made available at 
the public meeting. Such persons may submit requests, along with an 
advance electronic copy of their statement in PDF (preferred), 
Microsoft Word or Excel, WordPerfect, or text (ASCII) file format, to 
the appropriate address shown in the ADDRESSES section at the beginning 
of this notice. The request and advance copy of statements must be 
received at least one week before the public meeting and may be 
emailed, hand-delivered, or sent by mail. DOE prefers to receive 
requests and advance copies via email. Please include a telephone 
number to enable DOE staff to make a follow-up contact, if needed.

C. Conduct of Public Meeting

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

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule before or after the public meeting, but no later than the 
date provided in the DATES section at the beginning of this notice. 
Interested parties may submit comments, data, and other information 
using any of the methods described in the ADDRESSES section at the 
beginning of this notice.
    Submitting comments via regulations.gov. The regulations.gov Web 
page will require you to provide your name and contact information. 
Your contact information will be viewable to DOE Building Technologies 
staff only. Your contact information will not be publicly viewable 
except for your first and last names, organization name (if any), and 
submitter representative name (if any). If your comment is not 
processed properly because of technical difficulties, DOE will use this 
information to contact you. If DOE cannot read your comment due to 
technical difficulties and cannot contact you for clarification, DOE 
may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to regulations.gov information for which disclosure 
is restricted by statute, such as trade secrets and commercial or 
financial information (hereinafter referred to as Confidential Business 
Information (CBI)). Comments submitted through regulations.gov cannot 
be claimed as CBI. Comments received through the Web site will waive 
any CBI claims for the information submitted. For information on 
submitting CBI, see the Confidential Business Information section.
    DOE processes submissions made through regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email, hand delivery, or mail. Comments and 
documents submitted via email, hand delivery, or mail also will be 
posted to regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information on a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery, please provide all items on a CD, if feasible. It is not 
necessary to submit printed copies. No facsimiles (faxes) will be 
accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in

[[Page 45750]]

PDF (preferred), Microsoft Word or Excel, WordPerfect, or text (ASCII) 
file format. Provide documents that are not secured, written in English 
and free of any defects or viruses. Documents should not contain 
special characters or any form of encryption and, if possible, they 
should carry the electronic signature of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. According to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery two well-marked copies: One copy 
of the document marked confidential including all the information 
believed to be confidential, and one copy of the document marked non-
confidential with the information believed to be confidential deleted. 
Submit these documents via email or on a CD, if feasible. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

    Although comments are welcome on all aspects of this proposed 
rulemaking, DOE is particularly interested in comments on the following 
issues.
    (1) DOE requests comment on its proposed incorporation of updated 
versions of industry standards and its tentative conclusion that the 
updates would not have a significant impact on measured values for 
MBCFLs or pose additional test burden for CFL manufacturers. DOE 
specifically requests comments on its assessment of the updates to the 
following standards and their impacts on test burden and measured 
values of MBCFLs: (a) IES LM-66-14, (b) IES LM-54-12, and (c) IES LM-
65-14.
    (2) DOE requests comment on the proposed clarifications to test 
methods and setup and the tentative conclusion that they would not have 
a significant impact on test burden and measured values. DOE 
specifically requests comment on the proposed (a) requirement that all 
photometric values be measured by an integrating sphere, (b) ambient 
temperature requirements for photometric and electrical testing, (c) 
input voltage requirements, (d) requirement that lamp orientation must 
be maintained throughout testing, (e) clarifications to the lamp 
seasoning methods, (f) disallowed use of the peak method as an 
alternative to the stabilization method, (g) disallowance of the time 
to failure testing of CFLs in a fixture, (h) definition for the term 
``ballasted adapter,'' and on its proposed requirement that CFLs 
packaged with or designed exclusively for use with ballasted adapters 
must be tested as non-integrated CFLs, and (i) clarification that all 
CFL testing must be conducted at labeled wattage, with no dimmer used 
in the circuit.
    (3) DOE requests comment on the proposed changes to definitions in 
10 CFR 430.2 and Appendix W, and the tentative conclusion that they 
would not have a significant impact on test burden and measured values. 
DOE specifically requests comment on the proposed (a) removal of the 
term ``average rated life'' and addition of definitions of ``lifetime 
of a compact fluorescent lamp'' and ``time to failure,'' (b) removal of 
the terms ``initial performance values'' and ``rated luminous flux or 
rated lumen output,'' and addition of the terms ``initial lamp 
efficacy,'' ``measured initial input power,'' and ``measured initial 
lumen output,'' (c) clarification to the definition of ``lumen 
maintenance,'' (d) removal of the term ``rated supply frequency,'' (e) 
relabeling of the term ``rated wattage'' to ``labeled wattage'' and 
amendments to this definition, and (f) removal of the term ``self-
ballasted compact fluorescent lamp'' and addition of definitions of 
``integrated compact fluorescent lamp'' and ``non-integrated compact 
fluorescent lamp.''
    (4) DOE requests comment on the proposed clarifications to test 
procedures for measuring initial lamp efficacy and lumen maintenance 
values.
    (5) DOE requests comment on the proposed test procedures for 
measuring time to failure and for rapid cycle stress testing.
    (6) DOE requests comment on its proposed test procedures for 
measuring CCT, CRI, and power factor.
    (7) DOE requests comment on the proposed test procedure for start 
time and the proposed definitions for the terms ``start time,'' ``start 
plateau,'' and ``percent variability.'' DOE also requests comment on 
the summary of start time testing and results that can be found in the 
docket for this rulemaking.
    (8) DOE requests comment on its proposal that integrated CFLs with 
medium screw bases and other base types are to follow the same test 
procedures.
    (9) DOE requests comment on the proposed (a) requirement that non-
integrated CFLs be tested using reference ballasts that meet ANSI_IEC 
C78.901-2014 specifications, except as noted, (b) requirement that non-
integrated CFLs are to be tested at low frequency when a choice is 
available between low and high frequency reference ballast 
specifications, (c) requirement that non-integrated CFLs are to be 
tested on a rapid start circuit when possible, and (d) requirement that 
if not listed in ANSI_IEC C78.901-2014 or Appendix W, reference ballast 
specifications be based on existing reference ballast specifications of 
the most similar lamp in ANSI_IEC C78.901-2014 or for the higher 
wattage lamp it is intended to replace.
    (10) DOE requests comment on the proposed definition of and test 
procedure for hybrid CFLs.
    (11) DOE requests comment on its proposed test procedure for 
standby mode power of integrated CFLs, and on its proposal to season 
lamps according to requirements in the proposed active mode test 
procedures prior to measuring standby mode power. DOE also requests 
comment on its assessment that integrated CFLs can operate in standby 
mode but not off mode, and that non-integrated CFLs cannot operate in 
either standby mode or off mode.
    (12) DOE requests comment on the proposed amendments to 10 CFR 
430.23(y).
    (13) DOE requests comment on its proposed rounding requirements for 
represented value of metrics.
    (14) DOE requests comment on its proposed definition of the term 
``compact fluorescent lamp.'' DOE also requests comment on the proposed

[[Page 45751]]

clarification of the term ``correlated color temperature.''
    (15) DOE requests comment on its proposed incorporation by 
reference of eight test methods in support of the proposed new and 
amended test procedures for CFLs.
    (16) DOE requests comment on the proposed amendments to 10 CFR 
430.25.
    (17) DOE requests comment on the proposed amendments to the energy 
conservations standards for MBCFLs at 10 CFR 430.32(u) that remove test 
procedures specifications and align the language with existing and 
proposed terminology in Appendix W and 10 CFR 429.35. DOE also requests 
comment on its proposed amendments to 10 CFR 429.35 regarding the 
existing allowance for measurement error of initial lamp efficacy for 
MBCFLs.
    (18) DOE requests comment on the proposed changes to the 
certification report requirements.
    (19) DOE requests comment on the proposed clarifications and 
amendments to sampling requirements for initial lamp efficacy, lumen 
maintenance, lifetime, and rapid cycle stress testing, and the 
tentative conclusion that they would not have a significant impact on 
measured values or manufacturer test burden.
    (20) DOE requests comment on the proposed sampling requirements for 
CRI, power factor, CCT, and standby mode power, and the determination 
that these requirements do not increase the test burden on 
manufacturers.
    (21) DOE requests comment on its proposed clarifications and 
amendments to the reuse of samples.
    (22) DOE requests comment on the proposed effective date and 
compliance dates for the proposed new and amended CFL test procedures.
    (23) DOE requests comment on its tentative conclusion that the 
proposed test procedure changes will not have a significant economic 
impact on a substantial number of small entities.

VI. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

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

10 CFR Part 430

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

    Issued in Washington, DC, on July 9, 2015.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

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

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

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

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

0
2. Section 429.12 is amended by revising paragraph (f) to read as 
follows:


Sec.  429.12  General requirements applicable to certification reports.

* * * * *
    (f) Discontinued model filing. When production of a basic model has 
ceased and it is no longer being sold or offered for sale by the 
manufacturer or private labeler, the manufacturer must report this 
discontinued status to DOE as part of the next annual certification 
report following such cessation. For each basic model, the report shall 
include the information specified in paragraphs (b)(1) through (b)(7) 
of this section, except that for compact fluorescent lamps, the 
manufacturer must submit a full certification report, including all of 
the information required by paragraph (b) of this section and the 
product-specific information required by Sec.  429.35(b)(2).
* * * * *
0
3. Section 429.35 is revised to read as follows:


Sec.  429.35  Compact fluorescent lamps.

    (a) Determination of represented value. Manufacturers must 
determine represented values, which includes the certified ratings, for 
each basic model of compact fluorescent lamp by testing, in conjunction 
with the following sampling provisions:
    (1) Units to be tested. (i) The requirements of Sec.  429.11(a) are 
applicable; and
    (ii) For each basic model of CFL, the minimum number of units 
tested shall be no less than 10 units when testing for the initial 
lumen output, input power, initial lamp efficacy, lumen maintenance at 
1,000 hours, lumen maintenance at 40 percent of lifetime, lifetime, 
CCT, CRI, power factor, and standby mode power. If more than 10 units 
are tested as part of the sample, the total number of units must be a 
multiple of 2. The same sample of units must be used as the basis for 
representations for initial lumen output, input power, initial lamp 
efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 
percent of lifetime, lifetime, CCT, CRI, power factor, and standby mode 
power. No less than three units from the same sample of units must be 
used when testing for the start time. Exactly six unique units (i.e., 
units that have not previously been tested under this paragraph but are 
representative of the same basic model tested under this paragraph) 
must be used for rapid cycle stress testing.
    (iii) For each basic model, a sample of sufficient size shall be 
randomly selected and tested to ensure that:
    (A) Represented values of initial lumen output, initial lamp 
efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 
percent of lifetime, CRI, power factor, or other measure of energy 
consumption of a basic model for which consumers would favor higher 
values must be less than or equal to the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP31JY15.000
    
x is the sample mean,
n is the number of units in the sample, and
xi is the i\th\ unit;

    Or,

    (2) The lower 97.5-percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP31JY15.001

x is the sample mean of the characteristic value;
s is the sample standard deviation;
n is the number of units in the sample, and
t0.975 is the t statistic for a 97.5% one-tailed confidence 
interval with n-1 degrees of freedom (from appendix A of this subpart).

    (B) The represented value of CCT must be equal to the mean of the 
sample, where:
[GRAPHIC] [TIFF OMITTED] TP31JY15.002


[[Page 45752]]


x is the sample mean,
n is the number of units in the sample, and
xi is the i\th\ unit.

    (C) Represented values of input power, standby mode power, start 
time or other measure of energy consumption of a basic model for which 
consumers would favor lower values must be greater than or equal to the 
higher of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP31JY15.003
    
x is the sample mean,
n is the number of units in the sample, and
xi is the i\th\ unit;

    Or,

    (2) The upper 97.5-percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TP31JY15.004

x is the sample mean of the characteristic value;
s is the sample standard deviation;
n is the number of units in the sample, and
t0.975 is the t statistic for a 97.5% one-tailed confidence 
interval with n-1 degrees of freedom (from appendix A of this subpart).

    (D) The represented value of lifetime is the median time to failure 
of the sample (calculated as the arithmetic mean of the time to failure 
of the two middle sample units when the numbers are sorted in value 
order).
    (E) The represented value of the results of rapid cycle stress 
testing must be
    (1) Expressed in the number of surviving units and
    (2) Based on a lifetime value that is equal to or greater than the 
represented value of lifetime.
    (2) The represented value of life (in years) of a compact 
fluorescent lamp must be calculated by dividing the lifetime of a 
compact fluorescent lamp by the estimated annual operating hours as 
specified in 16 CFR 305.15(b)(3)(iii).
    (3) The represented value of the estimated annual energy cost for a 
compact fluorescent lamp, expressed in dollars per year, must be the 
product of the input power in kilowatts, an electricity cost rate as 
specified in 16 CFR 305.15(b)(1)(ii), and an estimated average annual 
use as specified in 16 CFR 305.15(b)(1)(ii).
    (4) For compliance with standards specified in Sec.  430.32(u)(1) 
of this chapter, initial lamp efficacy may include a 3 percent 
tolerance added to the value determined in accordance with paragraph 
(a)(1)(iii)(A) of this section.
    (5) The represented value of lumen maintenance at 40 percent of 
lifetime must be based on a lifetime value that is equal to or greater 
than the represented value of lifetime.
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to bare or covered medium base compact fluorescent lamps; 
and
    (2) Values reported in certification reports are represented 
values. Lifetime, lumen maintenance at 40 percent of lifetime, life, 
and rapid cycle stress test surviving units are estimated values until 
testing is complete. When reporting estimated values, the certification 
report must specifically describe the prediction method, which must be 
generally representative of the methods specified in appendix W. 
Manufacturers are required to maintain records per Sec.  429.71 of the 
development of all estimated values and any associated initial test 
data. Pursuant to Sec.  429.12(b)(13), a certification report shall 
include the following public product-specific information: The testing 
laboratory's NVLAP identification number or other NVLAP-approved 
accreditation identification, the seasoning time in hours (h), the 
initial lumen output in lumens (lm), the input power in watts (W), the 
initial lamp efficacy in lumens per watt (lm/W), the correlated color 
temperature in kelvin (K), the lumen maintenance at 1,000 hours in 
percent (%), the lumen maintenance at 40 percent of lifetime in percent 
(%), the results of rapid cycle stress testing in number of units 
passed, the lifetime in hours (h), and the life in years.
    (c) Rounding requirements. For represented values,
    (1) Round initial lamp efficacy to the nearest tenth of a lumen per 
watt.
    (2) Round lumen maintenance at 1,000 hours to the nearest tenth of 
a percent.
    (3) Round lumen maintenance at 40 percent of lifetime to the 
nearest tenth of a percent.
    (4) Round CRI to the nearest whole number.
    (5) Round power factor to the nearest hundredths place.
    (6) Round lifetime to the nearest whole hour.
    (7) Round CCT to the nearest 100 kelvin (K).
    (8) Round standby mode power to the nearest tenth of a watt.
    (9) Round start time to the nearest whole millisecond.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

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

0
5. Section 430.2 is amended by:
0
a. Revising the definition of ``correlated color temperature''; and
0
b. Adding in alphabetical order definitions of ``compact fluorescent 
lamp'' and ``lifetime of a compact fluorescent lamp.''
    The revision and additions read as follows:


Sec.  430.2  Definitions.

* * * * *
    Compact fluorescent lamp or CFL means an integrated or non-
integrated single-base, low-pressure mercury, electric-discharge source 
in which a fluorescing coating transforms some of the ultraviolet 
energy generated by the mercury discharge into light; however, the term 
does not include circline or U-shaped fluorescent lamps.
* * * * *
    Correlated color temperature or CCT means the absolute temperature 
of a blackbody whose chromaticity most nearly resembles that of the 
light source.
* * * * *
    Lifetime of a compact fluorescent lamp means the length of 
operating time between first use and failure of 50 percent of the 
sample units (as defined in Sec.  429.35(a)(1)), in accordance with the 
test procedures described in section 3.3 of appendix W to subpart B of 
this part.
* * * * *
0
6. Section 430.3 is amended by:
0
a. Redesignating paragraphs (d)(8) through (d)(19) as paragraphs (d)(9) 
through (d)(20), respectively, and adding paragraph (d)(8);
0
b. Revising paragraph (l);
0
c. Redesignating paragraph (o)(7) to be paragraph (o)(8) and adding 
paragraphs (o)(7), (o)(9), (o)(10), and (o)(11);
0
d. Revising paragraph (p)(4); and
0
e. Removing and reserving paragraph (v)(2).
    The revisions and additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (d) * * *
    (8) ANSI_IEC C78.901-2014, Revision of ANSI C78.901-2005 
(``ANSI_IEC C78.901-2014''), American National Standard for Electric 
Lamps--Single-Based Fluorescent Lamps--Dimensional

[[Page 45753]]

and Electrical Characteristics, approved July 2, 2014; IBR approved for 
Sec.  430.2 and appendix W to subpart B.
* * * * *
    (l) * * *
    (1) CIE 13.3-1995 (``CIE 13.3''), Technical Report: Method of 
Measuring and Specifying Colour Rendering Properties of Light Sources, 
1995, ISBN 3 900 734 57 7; IBR approved for Sec.  430.2 and appendices 
R and W to subpart B.
    (2) CIE 15:2004 (``CIE 15''), Technical Report: Colorimetry, 3rd 
edition, 2004, ISBN 978 3 901906 33 6; IBR approved for appendices R 
and W to subpart B.
* * * * *
    (o) * * *
    (7) IES LM-54-12, IES Guide to Lamp Seasoning, approved October 22, 
2012; IBR approved for appendix W to subpart B.
* * * * *
    (9) IES LM-65-14, IES Approved Method for Life Testing of Single-
Based Fluorescent Lamps, approved December 30, 2014; IBR approved for 
appendix W to subpart B.
    (10) IES LM-66-14, IES Approved Method for the Electrical and 
Photometric Measurements of Single-Based Fluorescent Lamps, except 
Annexes A, B and C, approved December 30, 2014; IBR approved for 
appendix W to subpart B.
    (11) IESNA LM-78-07, IESNA Approved Method for Total Luminous Flux 
Measurement of Lamps Using an Integrating Sphere Photometer, approved 
January 28, 2007; IBR approved for appendix W to subpart B.
* * * * *
    (p) * * *
    (4) IEC 62301 (``IEC 62301''), Household electrical appliances--
Measurement of standby power, (Edition 2.0, 2011-01); IBR approved for 
appendices C1, D1, D2, G, H, I, J2, N, O, P, W, and X1 to subpart B.
* * * * *
    (v) * * *
    (2) [Reserved]
0
7. Section 430.23 is amended by revising paragraph (y) to read as 
follows:


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

* * * * *
    (y) Compact fluorescent lamps. (1) Measure initial lumen output in 
accordance with section 3.2 of appendix W to this subpart.
    (2) Measure input power in accordance with section 3.2 of appendix 
W to this subpart.
    (3) Measure lamp initial lamp efficacy in accordance with section 
3.2 of appendix W to this subpart.
    (4) Measure lamp lumen maintenance at 1,000 hours in accordance 
with section 3.2 of appendix W to this subpart.
    (5) Measure lamp lumen maintenance at 40 percent of lifetime of a 
compact fluorescent lamp (as defined in 10 CFR 430.2) in accordance 
with section 3.2 of appendix W to this subpart.
    (6) Measure lamp color rendering index (CRI) in accordance with 
section 3.2 of appendix W to this subpart.
    (7) Measure lamp correlated color temperature (CCT) in accordance 
with section 3.2 of appendix W to this subpart.
    (8) Measure lamp power factor in accordance with section 3.2 of 
appendix W to this subpart.
    (9) Measure lamp time to failure in accordance with section 3.3 of 
appendix W to this subpart, and express time to failure in hours.
    (10) Conduct the rapid cycle stress test in accordance with section 
3.3 of appendix W to this subpart.
    (11) Measure lamp start time in accordance with section 3.4 of 
appendix W to this subpart.
    (12) Measure lamp standby mode power in accordance with section 4 
of appendix W to this subpart.
0
8. Section 430.25 is revised to read as follows:


Sec.  430.25  Laboratory Accreditation Program.

    The testing for general service fluorescent lamps, general service 
incandescent lamps (with the exception of lifetime testing), 
incandescent reflector lamps, compact fluorescent lamps, and 
fluorescent lamp ballasts must be conducted by test laboratories 
accredited by an Accreditation Body that is a signatory member to the 
International Laboratory Accreditation Cooperation (ILAC) Mutual 
Recognition Arrangement (MRA). A manufacturer's or importer's own 
laboratory, if accredited, may conduct the applicable testing.
0
9. Appendix W to subpart B of part 430 is revised to read as follows:

Appendix W to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Compact Fluorescent Lamps

    Note: Before January 27, 2016, any representations, including 
certifications of compliance, made with respect to the energy use or 
efficiency of medium base compact fluorescent lamps must be made in 
accordance with the results of testing pursuant either to this 
appendix, or to the applicable test requirements set forth in 10 CFR 
parts 429 and 430 as they appeared in the 10 CFR parts 200 to 499 
annual edition revised as of January 1, 2015.


    On or after January 27, 2016, any representations, including 
certifications of compliance (if required), made with respect to the 
energy use or efficiency of CFLs must be made in accordance with the 
results of testing pursuant to this appendix.

1. Scope

    1.1. This appendix specifies the test methods required to 
measure the initial lamp efficacy, lumen maintenance at 1,000 hours, 
lumen maintenance at 40 percent of lifetime of a compact fluorescent 
lamp (as defined in 10 CFR 430.2), time to failure, power factor, 
correlated color temperature (CCT), color rendering index (CRI), and 
start time, and to conduct rapid cycle stress testing, of CFLs.
    1.2. This appendix also provides test requirements applicable to 
integrated CFLs capable of operation in standby mode (as defined in 
Sec.  430.2), such as those that can be controlled wirelessly.

2. Definitions

    2.1. Ballasted adapter means a ballast that is not permanently 
attached to a CFL, has no consumer-replaceable components, and 
serves as an adapter by incorporating both a lamp socket and a lamp 
base.
    2.2. Hybrid compact fluorescent lamp means a CFL that 
incorporates one or more supplemental light sources of different 
technology.
    2.3. Initial lamp efficacy means the lamp efficacy (as defined 
in Sec.  430.2) at the end of the seasoning period, as calculated 
pursuant to section 3.2.2.9 of this appendix.
    2.4. Integrated compact fluorescent lamp means an integrally 
ballasted CFL that contains all components necessary for the 
starting and stable operation of the lamp, contains an ANSI standard 
base, does not include any replaceable or interchangeable parts, and 
is capable of being connected directly to a branch circuit through a 
corresponding ANSI standard lamp-holder (socket).
    2.5. Labeled wattage means the highest wattage marked on the 
lamp and/or lamp packaging.
    2.6. Lumen maintenance means the lumen output measured at a 
given time in the life of the lamp and expressed as a percentage of 
the measured initial lumen output, respectively.
    2.7. Measured initial input power means the root mean square 
(RMS) input power to the lamp, measured at the end of the lamp 
seasoning period, and expressed in watts (W).
    2.8. Measured initial lumen output means the lumen output of the 
lamp measured at the end of the lamp seasoning period, expressed in 
lumens (lm).
    2.9. Non-integrated compact fluorescent lamp means a CFL that is 
not an integrated CFL.
    2.10. Percent variability means the range (calculated by 
subtracting the minimum from the maximum) expressed as a percentage 
of the mean for the contiguous set of separate lumen output 
measurements spanning the specified time period, where each 
measurement is the average value of the sampled waveform over an 
interval corresponding to one full cycle of sinusoidal input 
voltage.

[[Page 45754]]

    2.11. Power factor means the measured RMS input power (watts) 
divided by the product of the measured RMS input voltage (volts) and 
the measured RMS input current (amps).
    2.12. Start plateau means the first 100 millisecond period of 
operation during which the percent variability does not exceed 5 
percent and the average measured lumen output is at least 10 percent 
of the measured initial lumen output.
    2.13. Start time means the time, measured in milliseconds, 
between the application of power to the CFL and the point when the 
measured full-cycle lumen output (the average value of the sampled 
waveform over an interval corresponding to one full cycle of 
sinusoidal input voltage) reaches 98 percent of the average measured 
lumen output of the start plateau.
    2.14. Time to failure means the time elapsed between first use 
and the point at which the CFL ceases to produce measureable lumen 
output.

3. Active Mode Test Procedures

    3.1. General Instructions.
    3.1.1. Maintain lamp operating orientation throughout seasoning 
and testing, including storage and handling between tests.
    3.1.2. Season CFLs prior to photometric and electrical testing 
in accordance with sections 4, 5, 6.1, and 6.2.2.1 of IES LM-54-12 
(incorporated by reference, see Sec.  430.3).
    3.1.2.1. Unit operating time during seasoning may be counted 
toward time to failure, lumen maintenance at 40 percent of lifetime 
of a compact fluorescent lamp (as defined in Sec.  430.2), and lumen 
maintenance at 1,000 hours if the required operating cycle and test 
conditions for time to failure testing per section 3.3 of this 
appendix are satisfied.
    3.1.2.2. If a lamp breaks, becomes defective, fails to 
stabilize, exhibits abnormal behavior (such as swirling), or stops 
producing light prior to the end of the seasoning period, the lamp 
must be replaced with a new unit. If a lamp exhibits one of the 
conditions listed in the previous sentence after the seasoning 
period, the lamp's measurements must be included in the sample.
    3.1.3. Conduct all testing with the lamp operating at labeled 
wattage and with no dimmer in the circuit. This requirement applies 
to all integrated CFLs, including those that are dimmable or multi-
level.
    3.1.4. Operate the CFL at the rated input voltage throughout 
testing. For a CFL with multiple rated input voltages including 120 
volts, operate the CFL at 120 volts. If a CFL with multiple rated 
input voltages is not rated for 120 volts, operate the CFL at the 
highest rated input voltage.
    3.1.5. Test CFLs packaged with ballasted adapters or designed 
exclusively for use with ballasted adapters as non-integrated CFLs, 
with no ballasted adapter in the circuit.
    3.1.6. Conduct all testing of hybrid CFLs with all supplemental 
light sources in the lamp turned off, if possible. Before taking 
measurements, verify that the lamp has stabilized in the operating 
mode that corresponds to its labeled wattage.

3.2. Test Procedures for Determining Initial Lamp Efficacy, Lumen 
Maintenance, CCT, CRI, and Power Factor

    Use the test procedures specified in IES LM-66-14 (incorporated 
by reference; see Sec.  430.3) where those procedures do not 
conflict with the test procedures specified in this section. 
Determine initial lamp efficacy, lumen maintenance at 1,000 hours, 
lumen maintenance at 40 percent of lifetime of a compact fluorescent 
lamp (as defined in Sec.  430.2), CCT, and CRI for integrated and 
non-integrated CFLs. Determine power factor for integrated CFLs 
only.

3.2.1. Test Conditions and Setup

    3.2.1.1. Test half of the units in the sample in the base-up 
position, and half of the units in the base-down position; if the 
position is restricted by the manufacturer, test the units in the 
manufacturer-specified position.
    3.2.1.2. Establish the ambient conditions, power supply, 
auxiliary equipment, circuit setup, lamp connections, and 
instrumentation in accordance with the specifications in sections 
(and corresponding subsections) 4.0, 5.0 and 6.0 of IES LM-66-14 
(incorporated by reference; see Sec.  430.3). The following 
exceptions apply:
    3.2.1.2.1. Maintain ambient temperature at 25 [deg]C 1 [deg]C (77 [deg]F 1.8 [deg]F).
    3.2.1.3. Non-integrated CFLs must adhere to the ballast 
requirements in section 5.2 of IES LM-66-14 (incorporated by 
reference; see Sec.  430.3).
    3.2.1.3.1. Test non-integrated lamps rated for operation on a 
choice of low frequency or high frequency circuits (e.g., many 
preheat lamps) at low frequency.
    3.2.1.3.2. Test non-integrated lamps rated for operation on a 
choice of preheat (starter) or rapid start (no starter) circuits on 
rapid start.
    3.2.1.3.3. Test non-integrated lamps rated for operation on a 
choice of instant start (shunted) or rapid start (non-shunted) 
circuits on rapid start.
    3.2.1.3.4. Operate non-integrated CFLs not listed in ANSI_IEC 
C78.901-2014 (incorporated by reference; see Sec.  430.3) using the 
following reference ballast settings:
    3.2.1.3.4.1. Operate 25-28 W, T5 twin 2G11-based lamps that are 
lower wattage replacements of the 40 W, T5 twin 2G11-based lamps 
using the following reference ballast settings: 400 volts, 0.270 
amps, and 1240 ohms.
    3.2.1.3.4.2. Operate 14-15 W, T4 quad G24q-2-based lamps using 
the following reference ballast settings: 220 volts, 0.220 amps, and 
815 ohms.
    3.2.1.3.4.3. Operate 21 W, T4 quad G24q-3-based lamps using the 
following reference ballast settings: 220 volts, 0.315 amps, and 546 
ohms.
    3.2.1.3.4.4. Operate 21 W, T4 quad G24d-3-based lamps using the 
following reference ballast settings: 220 volts, 0.315 amps, and 546 
ohms.
    3.2.1.3.4.5. Operate 21 W, T4 multi (6) GX24q-3-based lamps 
using the following reference ballast settings: 220 volts, 0.315 
amps, and 546 ohms.
    3.2.1.3.4.6. Operate 27-28 W, T4 multi (6) GX24q-3-based lamps 
using the following reference ballast settings: 200 volts, 0.320 
amps, and 315 ohms.
    3.2.1.3.4.7. Operate 33-38 W, T4 multi (6) GX24q-4-based lamps 
using the following reference ballast settings: 270 volts, 0.320 
amps, and 420 ohms.
    3.2.1.3.4.8. Operate 10 W, T4 square GR10q-4-based lamps using 
the following reference ballast settings: 236 volts, 0.165 amps, and 
1,200 ohms.
    3.2.1.3.4.9. Operate 16 W, T4 square GR10q-4-based lamps using 
the following reference ballast settings: 220 volts, 0.195 amps, and 
878 ohms.
    3.2.1.3.4.10. Operate 21 W, T4 square GR10q-4-based lamps using 
the following reference ballast settings: 220 volts, 0.260 amps, and 
684 ohms.
    3.2.1.3.4.11. Operate 28 W, T6 square GR10q-4-based lamps using 
the following reference ballast settings: 236 volts, 0.320 amps, and 
578 ohms.
    3.2.1.3.4.12. Operate 38 W, T6 square GR10q-4-based lamps using 
the following reference ballast settings: 236 volts, 0.430 amps, and 
439 ohms.
    3.2.1.3.4.13. Operate 55 W, T6 square GRY10q-3-based lamps using 
the following reference ballast settings: 236 volts, 0.430 amps, and 
439 ohms.
    3.2.1.3.4.14. For all other lamp designs not listed in ANSI_IEC 
C78.901-2014 or in section 3.2.1.3.4 of this appendix:
    3.2.1.3.4.14.1. If the lamp is a lower wattage replacement of a 
lamp with specifications in ANSI_IEC C78.901-2014, use the reference 
ballast specifications of the corresponding higher wattage lamp 
replacement in ANSI_IEC C78.901-2014.
    3.2.1.3.4.14.2. For all other lamps, use the reference ballast 
specifications in ANSI_IEC C78.901-2014 for a lamp with the most 
similar shape, diameter, and base specifications, and next closest 
wattage.

3.2.2. Test Methods, Measurements, and Calculations

    3.2.2.1. Season CFLs as specified in section 3.1.2 of this 
appendix.
    3.2.2.2. Stabilize CFLs as specified in section 6.2.1 of IES LM-
66-14 (incorporated by reference; see Sec.  430.3).
    3.2.2.3. Measure the input power (in watts), the input voltage 
(in volts), and the input current (in amps) as specified in section 
5.2 of IES LM-66-14 (incorporated by reference; see Sec.  430.3).
    3.2.2.4. Measure initial lumen output as specified in section 
6.3.1 of IES LM-66-14 (incorporated by reference; see Sec.  430.3) 
and in accordance with IESNA LM-78-07 (incorporated by reference; 
see Sec.  430.3).
    3.2.2.5. Measure lumen output at 1,000 hours as specified in 
section 6.3.1 of IES LM-66-14 (incorporated by reference; see Sec.  
430.3) and in accordance with IESNA LM-78-07 (incorporated by 
reference; see Sec.  430.3).
    3.2.2.6. Measure lumen output at 40 percent of lifetime of a 
compact fluorescent lamp (as defined in 10 CFR 430.2) as specified 
in section 6.3.1 of IES LM-66-14 (incorporated by reference; see 
Sec.  430.3) and in accordance with IESNA LM-78-07 (incorporated by 
reference; see Sec.  430.3).
    3.2.2.7. Measure CCT as specified in section 6.4 of IES LM-66-14 
(incorporated by reference; see Sec.  430.3) and in accordance with 
CIE 15:2004 (incorporated by reference; see Sec.  430.3).

[[Page 45755]]

    3.2.2.8. Measure CRI as specified in section 6.4 of IES LM-66-14 
(incorporated by reference; see Sec.  430.3) and in accordance with 
CIE 13.3-1995 (incorporated by reference; see Sec.  430.3).
    3.2.2.9. Determine initial lamp efficacy by dividing measured 
initial lumen output by the measured initial input power.
    3.2.2.10. Determine lumen maintenance at 1,000 hours by dividing 
measured lumen output at 1,000 hours by the measured initial lumen 
output.
    3.2.2.11. Determine lumen maintenance at 40 percent of lifetime 
of a compact fluorescent lamp (as defined in Sec.  430.2) by 
dividing measured lumen output at 40 percent of lifetime of a 
compact fluorescent lamp (as defined in Sec.  430.2) by the measured 
initial lumen output.
    3.2.2.12. Determine power factor by dividing the measured RMS 
input power (watts) by the product of measured RMS input voltage 
(volts) and measured RMS input current (amps).

3.3. Test Method for Time to Failure and Rapid Cycle Stress Test

    Use the test procedures specified in IES LM-65-14 (incorporated 
by reference; see Sec.  430.3) where those procedures do not 
conflict with the test procedures specified in this section. 
Disregard section 3 of IES LM-65-14. Determine time to failure and 
conduct rapid cycle stress testing for integrated and non-integrated 
CFLs.

3.3.1. Test Conditions and Setup

    3.3.1.1. Test half of the units in the base up position and half 
of the units in the base down position; if the position is 
restricted by the manufacturer, test in the manufacturer specified 
position.
    3.3.1.2. Establish the ambient and physical conditions and 
electrical conditions in accordance with the specifications in 
sections 4.0 and 5.0 of IES LM-65-14 (incorporated by reference; see 
Sec.  430.3). The following exceptions apply:
    3.3.1.2.1. Do not test lamps in fixtures or luminaires.
    3.3.1.3. Non-integrated CFLs must adhere to ballast requirements 
as specified in section 3.2.1.3 of this appendix.

3.3.2. Test Methods and Measurements

    3.3.2.1. Season CFLs as specified in section 3.1.2 of this 
appendix.
    3.3.2.2. Measure time to failure of CFLs as specified in section 
6.0 of IES LM-65-14 (incorporated by reference; see Sec.  430.3).
    3.3.2.3. Conduct rapid cycle stress testing of CFLs as specified 
in section 6.0 of IES LM-65-14 (incorporated by reference; see Sec.  
430.3), except cycle the lamp continuously with each cycle 
consisting of one 5-minute ON period followed by one 5-minute OFF 
period.
    3.4. Test Method for Start Time.
    Use the test procedures specified in IES LM-66-14 (incorporated 
by reference; see Sec.  430.3) where those procedures do not 
conflict with the test procedures specified in this section. 
Determine start time for integrated CFLs only.

3.4.1. Test Conditions and Setup

    3.4.1.1. Test all units in the base up position; if the position 
is restricted by the manufacturer, test units in the manufacturer 
specified position.
    3.4.1.2. Establish the ambient conditions, power supply, 
auxiliary equipment, circuit setup, lamp connections, and 
instrumentation in accordance with the specifications in sections 
4.0, 5.0 and 6.0 of IES LM-66-14 (incorporated by reference; see 
Sec.  430.3). The following exceptions apply:
    3.4.1.2.1. Maintain ambient temperature at 25 [deg]C 1 [deg]C (77[emsp14][deg]F 1.8[emsp14][deg]F).

3.4.2. Test Methods and Measurement

    3.4.2.1. Season CFLs as specified in section 3.1.2 of this 
appendix.
    3.4.2.2. After seasoning, store units at 25 [deg]C 5 
[deg]C ambient temperature for a minimum of 16 hours prior to the 
test, after which the ambient temperature must be 25 [deg]C 1 [deg]C for a minimum of 2 hours immediately prior to the 
test. Any units that have been off for more than 24 hours must be 
operated for 3 hours and then be turned off for 16 to 24 hours prior 
to testing.
    3.4.2.3. Measure lumen output as specified in section 3.2.2.4 of 
this appendix.
    3.4.2.4. Connect multichannel oscilloscope with data storage 
capability to record input voltage to CFL and lumen output. Set 
oscilloscope to trigger at 10 V lamp input voltage. Set oscilloscope 
vertical scale such that vertical resolution is 1 percent of 
measured initial lumen output or finer. Set oscilloscope to sample 
the lumen output waveform at a minimum rate of 2 kHz.
    3.4.2.5. Apply rated voltage and frequency to CFL.
    3.4.2.6. Upon trigger for start time testing, record sampled 
lumen output waveform until the measured full-cycle lumen output has 
reached the start plateau. Determine the start plateau as defined in 
this appendix.
    3.4.2.7. Calculate the measured full-cycle lumen output as a 
moving average, whereby values are determined at least once every 
millisecond and each value represents the full-cycle interval in 
which it is centered. Measure input voltage and start time.

4. Standby Mode Test Procedure

    Use the test procedures specified in IEC 62301 (incorporated by 
reference; see Sec.  430.3) where those procedures do not conflict 
with the test procedures specified in this section. Measure standby 
mode power only for integrated CFLs that are capable of standby mode 
operation.

4.1. Test Conditions and Setup

    4.1.1. Test half of the units in the sample in the base up 
position and half of the units in the base down position; if the 
position is restricted by the manufacturer, test units in the 
manufacturer specified position.
    4.1.2. Maintain ambient temperature at 25 [deg]C 1 
[deg]C (77[emsp14][deg]F 1.8[emsp14][deg]F).
    4.1.3. Ambient airflow must be maintained in accordance with 
section 4.4 of IES LM-66-14 (incorporated by reference, see Sec.  
430.3).

4.2. Test Methods and Measurements

    4.2.1. Season CFLs as specified in section 3.1.2 of this 
appendix.
    4.2.2. Utilize the methodology for measuring power consumption 
specified in section 5 of IEC 62301 (incorporated by reference; see 
Sec.  430.3) for the testing of standby mode power.
    4.2.3. Standby mode is initiated when the CFL is connected to 
the power supply and lumen output is zero.
0
10. Section 430.32 is amended by revising paragraph (u) to read as 
follows:


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

* * * * *
    (u) Compact fluorescent lamps--(1) Medium base compact fluorescent 
lamps. A bare or covered (no reflector) medium base compact fluorescent 
lamp manufactured on or after January 1, 2006, must meet the following 
requirements:

------------------------------------------------------------------------
                 Factor                            Requirements
------------------------------------------------------------------------
Labeled Wattage (Watts) & Configuration  Measured initial lamp efficacy
 *.                                       (lumens per watt) must be at
                                          least:
Bare Lamp:
    Labeled Wattage < 15...............  45.0.
    Labeled Wattage >= 15..............  60.0.
Covered Lamp (no reflector):             ...............................
    Labeled Wattage < 15...............  40.0.
    15 <= Labeled Wattage < 19.........  48.0.
    19 <= Labeled Wattage < 25.........  50.0.
    Labeled Wattage >= 25..............  55.0.
Lumen Maintenance at 1,000 Hours.......  >=90.0%.
Lumen Maintenance at 40 Percent of       >=80.0%.
 Lifetime.
Rapid Cycle Stress Test................  Each lamp must be cycled once
                                          for every 2 hours of lifetime
                                          of compact fluorescent lamp as
                                          defined in Sec.   430.2. At
                                          least 5 lamps must meet or
                                          exceed the minimum number of
                                          cycles.

[[Page 45756]]

 
Lifetime...............................  >=6,000 hours.
------------------------------------------------------------------------
* Use labeled wattage to determine the appropriate efficacy requirements
  in this table; do not use measured wattage for this purpose.

    (2) [Reserved]
* * * * *
[FR Doc. 2015-17866 Filed 7-30-15; 8:45 am]
 BILLING CODE 6450-01-P