[Federal Register Volume 81, Number 167 (Monday, August 29, 2016)]
[Rules and Regulations]
[Pages 59386-59420]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-19967]



[[Page 59385]]

Vol. 81

Monday,

No. 167

August 29, 2016

Part IV





Department of Energy





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10 CFR Parts 429 and 430





Energy Conservation Program: Test Procedure for Compact Fluorescent 
Lamps; Final Rule

  Federal Register / Vol. 81 , No. 167 / Monday, August 29, 2016 / 
Rules and Regulations  

[[Page 59386]]


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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 Procedure for Compact 
Fluorescent Lamps

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

ACTION: Final rule.

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SUMMARY: This final rule amends the U.S. Department of Energy's (DOE) 
test procedures for medium base compact fluorescent lamps (MBCFLs) and 
adopts test procedures for new metrics for all CFLs including hybrid 
CFLs and CFLs with bases other than medium screw base. In this final 
rule, DOE replaces references to ENERGY STAR[supreg] testing 
requirements with references to the latest versions of the relevant 
industry standard test methods referenced by the ENERGY STAR testing 
requirements, with certain modifications. In addition, DOE adopts new 
test procedures to support the ongoing energy conservation standards 
rulemaking for general service lamps (GSLs), the recently revised final 
test procedure and energy conservation standards for ceiling fan light 
kits (CFLKs), and the labeling requirements specified by the Federal 
Trade Commission (FTC). The test procedures will also support the 
ENERGY STAR program requirements for lamps and luminaires. 
Specifically, this final rule adopts test methods for new metrics 
including color rendering index (CRI), correlated color temperature 
(CCT), power factor, and start time. DOE also adopts test procedures 
for additional CFL categories, including non-integrated CFLs and 
integrated CFLs that are not MBCFLs. This final rule also revises the 
sampling plan for performance metrics and incorporates methods to 
measure standby mode power.

DATES: The effective date of this rule is September 28, 2016. 
Representations must be based on testing in accordance with the final 
rule starting February 27, 2017. The incorporation by reference of 
certain publications listed in this rule was approved by the Director 
of the Federal Register on September 28, 2016.

ADDRESSES: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at www.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 https://www1.eere.energy.gov/buildings/appliance_standards/product.aspx/productid/28. This Web page will contain a link to the docket for this 
notice on the www.regulations.gov site. The www.regulations.gov Web 
page will contain simple instructions on how to access all documents, 
including public comments, in the docket.
    For further information on how to review the docket, contact Ms. 
Emily Marchetti at (202) 586-6636 or by email: 
[email protected].

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].
    Mr. Peter Cochran, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 586-9496. Email: [email protected].

SUPPLEMENTARY INFORMATION: This final rule incorporates by reference 
into part 430 specific sections of the following industry standards:

    (1) American National Standards Institute and International 
Electrotechnical Commission (ANSI) C78.901-2014, American National 
Standard for Electric Lamps--Single-Based Fluorescent Lamps--
Dimensional and Electrical Characteristics. Copies of ANSI 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) 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.
    (3) CIE 15:2004 (``CIE 15''), Technical Report: Colorimetry, 3rd 
edition, 2004, ISBN 978 3 901906 33 6.
    Copies of CIE 13.3 and CIE 15 can be obtained from Commission 
Internationale de l'Eclairage, Central Bureau, Kegelgasse 27, A-
1030, Vienna, Austria, 011 + 43 1 714 31 87 0, or by going to http://www.cie.co.at.
    (4) IEC 62301 (``IEC 62301-W''), Household electrical 
appliances--Measurement of standby power (Edition 2.0, 2011-01).
    A copy of IEC 62301 can be obtained from the American National 
Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 
10036, (212) 642-4900, or by going to http://webstore.ansi.org.
    (5) Illuminating Engineering Society of North America (IES) LM-
54-12, IES Guide to Lamp Seasoning.
    (6) IES LM-65-14, IES Approved Method for Life Testing of 
Single-Based Fluorescent Lamps.
    (7) IES LM-66-14, (``IES LM-66''), IES Approved Method for the 
Electrical and Photometric Measurements of Single-Based Fluorescent 
Lamps.
    (8) 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 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.
    For a further discussion of these standards, see section IV.M.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Final Rule
III. Discussion
    A. Amendments to Appendix W to Subpart B of 10 CFR part 430
    1. Updates to Industry Test Methods
    2. Clarifications to General Test Conditions and Setup
    3. Clarifications to Definitions
    4. Test Procedures for Existing and New Metrics
    5. Test Procedures for New CFL Categories
    6. Test Procedure for Standby Mode Energy Consumption
    7. Rounding Values
    B. Amendments to Definitions at 10 CFR 430.2
    1. Compact Fluorescent Lamp
    2. Correlated Color Temperature
    3. Lifetime of a Compact Fluorescent Lamp
    C. Amendments to Materials Incorporated by Reference at 10 CFR 
430.3
    D. Amendments to 10 CFR 430.23(y)
    E. Amendments to Laboratory Accreditation Requirements at 10 CFR 
430.25
    F. 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
    G. Amendments to Certification Report Requirements
    H. 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
    6. Lamp Failures
    I. Federal Trade Commission (FTC) Labeling Requirements
    J. Effective Date
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act

[[Page 59387]]

    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Description of Materials Incorporated by Reference
    N. Congressional Notification
V. Approval of the Office of the Secretary

I. Authority and Background

A. Authority

    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.\1\ 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), 
established the ``Energy Conservation Program for Consumer Products 
Other Than Automobiles.'' CFLs are among the consumer products affected 
by these provisions.
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    \1\ All references to EPCA refer to the statute as amended 
through the Energy Efficiency Improvement Act of 2015, Public Law 
114-11 (April 30, 2015).
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    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)).
    EPCA sets forth the criteria and procedures DOE must follow when 
prescribing or amending test procedures for covered products. EPCA 
provides, in relevant part, that any new or amended test procedure 
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))
    In addition, if DOE determines that a test procedure amendment is 
warranted, it must publish a proposed test procedure and offer the 
public an opportunity to present oral and written comments. (42 U.S.C. 
6293(b)(2)) Finally, in any rulemaking to amend a test procedure, DOE 
must determine to what extent, if any, the proposed test procedure 
would alter the measured energy efficiency of the covered product as 
determined under the existing test procedure. (42 U.S.C. 6293(e)(1))
    EPCA also requires that, at least once every 7 years, DOE evaluate 
test procedures for each type of covered equipment, including MBCFLs, 
to determine whether amended test procedures would more accurately or 
fully comply with the requirements for the test procedures to not be 
unduly burdensome to conduct and be reasonably designed to produce test 
results that reflect energy efficiency, energy use, and estimated 
operating costs during a representative average use cycle. (42 U.S.C. 
6293(b)(1)(A))
    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)) 
DOE has determined that, while no CFLs are capable of operating under 
off mode, some CFLs are capable of operating under standby mode. 
Consequently, DOE adopts a test procedure for measuring standby mode 
power in appendix W, as detailed in section III.A.6 of this final rule.

B. Background

    The Energy Policy Act of 2005 (Public Law 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. (42 U.S.C. 
6293(b)(12)) Consistent with this requirement, DOE published a final 
rule on December 8, 2006 (December 2006 final rule) that established 
DOE's current test procedures for MBCFLs under 10 CFR part 430, subpart 
B, appendix W. 71 FR 71340. The December 2006 final rule established 
test procedures for initial lamp efficacy, lumen maintenance at 1,000 
hours, lumen maintenance at 40 percent of lifetime, rapid cycle stress 
test, and lifetime for MBCFLs. Id.
    EPCA, however, also requires that at least once every 7 years, DOE 
must conduct an evaluation of all covered products and either amend the 
test procedures (if the Secretary determines that amended test 
procedures would more accurately or fully comply with the requirements 
of 42 U.S.C. 6293(b)(3)) or publish a determination in the Federal 
Register not to amend them. (42 U.S.C. 6293(b)(1)(A)) The ENERGY STAR 
Program Requirements for CFLs have been updated several times since 
2001 to reflect current best practices and technological developments. 
This final rule amends the CFL test procedure to directly reference the 
latest industry standards in accordance with this EPCA requirement.
    On July 31, 2015, DOE issued a NOPR (July 2015 NOPR) to amend and 
expand its test procedures for CFLs. 80 FR 45723. DOE then held a 
public meeting to discuss these proposed amendments on August 31, 2015, 
and allowed for written comments to be submitted through October 14, 
2015. This rule addresses comments that were received on the proposal 
and finalizes many of the proposed changes to appendix W to subpart B 
of 10 CFR part 430 and to 10 CFR part 429.

II. Synopsis of the Final Rule

    In this final rule, DOE replaces the existing references to ENERGY 
STAR program requirements with direct references to the latest versions 
of the appropriate industry test methods from the Illuminating 
Engineering Society of North America (IES) (see section III.A.1 for 
further details). Directly referencing the latest industry standards 
will allow DOE to adopt current best practices and technological 
developments in its test procedures.
    DOE also adopts, in this rule, test procedures for additional CFL 
categories and metrics to support energy conservation standard 
rulemakings for GSLs and CFLKs. DOE's existing test procedures apply 
only to integrated CFLs with medium screw bases (i.e., MBCFLs). 
Integrated CFLs (also referred to as self-ballasted or integrally 
ballasted) contain all components necessary for the starting and stable 
operation of the lamp, do not include any replaceable or 
interchangeable parts, and are connected directly to a branch circuit 
through an American National Standards Institute (ANSI) base and 
corresponding ANSI standard lamp-holder (socket). Non-integrated CFLs 
(also referred to as pin-base) require an external ballast to function, 
and mainly have pin bases, (e.g., 2-pin or 4-pin). On March 17, 2016, 
DOE issued a NOPR (March 2016 NOPR) that proposes a new definition for 
general service lamp that includes both non-integrated CFLs and 
integrated CFLs. 81 FR 14527. The March 2016 NOPR also proposes minimum 
efficacy and power factor standards for certain types of general 
service lamps and additional metrics for

[[Page 59388]]

MBCFLs. On January 6, 2016, DOE issued a final rule (January 2016 final 
rule) establishing amended energy conservation standards for CFLs, both 
integrated and non-integrated, packaged with a CFLK. 81 FR 579.
    DOE is also adopting these new test procedures to support: (1) The 
Federal Trade Commission (FTC) labeling requirements for lighting 
products as specified in 16 CFR 305.15; and (2) the U.S. Environmental 
Protection Agency's ENERGY STAR program for lamps and luminaires. Under 
the FTC Lighting Facts labeling requirement, manufacturers are required 
to include basic and consistent information about certain types of 
light bulbs (lamps) including information about the lumen output, input 
power, life, and correlated color temperature (CCT) on the lamp 
packaging. Regarding ENERGY STAR, DOE's adopted CFL test procedure 
provides test methods for certain metrics included in the ENERGY STAR 
specification for lamps \2\ and luminaires.\3\ The ENERGY STAR lamps 
specification includes, among others, metrics for initial lamp 
efficacy, lumen maintenance at 1,000 hours, lumen maintenance at 40 
percent of lifetime, rapid cycle stress test, lifetime, CCT, color 
rendering index (CRI), power factor, and start time. The ENERGY STAR 
luminaires specification includes, among others, metrics for efficacy, 
lumen maintenance at 40 percent of lifetime, lifetime, CCT, CRI, power 
factor, and start time.
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    \2\ ENERGY STAR[supreg] Program Requirements Product 
Specification for Lamps (Light Bulbs), Eligibility Criteria, Version 
2.0. December 31, 2015. Washington, DC. https://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Lamps%20V2_0%20Program%20Requirements.pdf.
    \3\ ENERGY STAR[supreg] Program Requirements Product 
Specification for Luminaires (Light Fixtures), Eligibility Criteria, 
Version 2.0. May 29, 2015. Washington, DC. https://www.energystar.gov/sites/default/files/asset/document/Luminaires%20V2%200%20Final.pdf.
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    Table II.1 summarizes the metrics adopted in this final rule and 
which agency requires them.

                           Table II.1--CFL Metrics in DOE Regulations, FTC Labeling Requirements, and the ENERGY STAR Program
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                                                                          DOE proposed or established regulations                        EPA ENERGY STAR
                                                                    ---------------------------------------------------   FTC labeling     program for
                               Metric                                                                                     requirements       lamps or
                                                                          MBCFL             GSL              CFLK                           luminaires
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                                                                     Integrated CFLs
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Efficacy...........................................................               X                X                X                X                X
CCT................................................................  ...............              --               --                X                X
CRI................................................................  ...............               X               --               --                X
Lumen maintenance at 1,000 hours...................................               X                X                X               --                X
Lumen maintenance at 40% of lifetime...............................               X                X                X               --                X
Lifetime...........................................................               X                X                X                X                X
Rapid Cycle Stress Test............................................               X                X                X               --                X
Power Factor.......................................................  ...............               X               --               --                X
Start Time.........................................................  ...............               X               --               --                X
Standby Mode Energy Consumption....................................  ...............               X               --               --                X
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                                                                   Non-Integrated CFLs
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Efficacy...........................................................              --                *                X               --                X
CCT................................................................              --               --               --               --                X
CRI................................................................              --               --               --               --                X
Lumen maintenance at 40% of lifetime...............................              --               --               --               --                X
Lifetime...........................................................              --               --               --               --                X
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* In the March 2016 NOPR, DOE notes that the backstop provision in 6296(i)(6)(A)(v) is automatically triggered. The backstop provision requires all
  lamps that meet the definition of a general service lamp (which includes many non-integrated compact fluorescent lamps) comply with a minimum efficacy
  standard of 45 lumens per watt. 81 FR 14528, 14540 (March 17, 2016).

    Additionally, DOE establishes a test procedure for CFL standby mode 
power measurement, as directed by EPCA. However, this test procedure 
will only apply to integrated CFLs because non-integrated CFLs are not 
capable of standby mode operation (see section III.A.6).
    Finally, DOE also revises the current sampling plan in 10 CFR 
429.35. This revised sampling plan is consistent with ENERGY STAR Lamps 
Specification V2.0, as detailed in section III.H.

III. Discussion

A. Amendments to Appendix W to Subpart B of 10 CFR part 430

1. Updates to Industry Test Methods
    DOE's existing MBCFL test procedures contained in appendix W to 
subpart B of 10 CFR part 430 are based on the August 2001 version of 
the ENERGY STAR program requirements for CFLs,\4\ which has since been 
updated several times. In the July 2015 NOPR, DOE proposed replacing 
the existing references to ENERGY STAR program requirements with direct 
references to the latest versions of the appropriate industry test 
methods from the IES. DOE explained that directly referencing the 
latest industry standards would allow DOE to adopt current best 
practices and technological developments in its test procedures. As a 
result, DOE proposed to directly incorporate by reference in appendix W 
the latest versions of the following industry test procedures: IES LM-
66-14,\5\ IES LM-65-14,\6\ and IES LM-54-12.\7\ DOE also proposed to no 
longer incorporate by reference the August 2001 version of the ENERGY 
STAR Program Requirements for CFLs, previously approved for appendix W.
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    \4\ ENERGY STAR[supreg] Program Requirements for CFLs Partner 
Commitments, Version 2.0, Washington, DC (Aug. 9, 2001). 
www.energystar.gov/ia/partners/product_specs/program_reqs/archive/CFLs_Program_RequirementsV2.0.pdf.
    \5\ IES Approved Method for the Electrical and Photometric 
Measurements of Single-Based Fluorescent Lamps (approved December 
30, 2014).
    \6\ IES Approved Method for Life Testing of Single-Based 
Fluorescent Lamps (approved December 30, 2014).
    \7\ IES Guide to Lamp Seasoning (approved October 22, 2012).

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[[Page 59389]]

    DOE compared the currently referenced versions and the new 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 as determined under the current 
DOE test procedure. DOE determined that these changes would have a de 
minimis effect on measured values.
    Both the National Electrical Manufacturers Association (NEMA) and 
OSRAM SYLVANIA, Inc. (OSI) supported the incorporation by reference of 
IES LM-66-14 and IES LM-65-14 stating that it would not significantly 
affect the testing or measured values. (NEMA, No. 9 at pp. 3,8; OSI, 
No. 5 at pp. 2-3) \8\
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    \8\ DOE identifies comments received in response to the July 
2015 CFL TP NOPR on Docket No. EERE-2015-BT-TP-0014 by the 
commenter, the document number as listed in the docket maintained at 
www.regulations.gov, and the page number of that document where the 
comment appears (for example: OSI, No. 5 at p. 7). If a comment was 
made verbally during the August 2015 NOPR public meeting, DOE
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    DOE received comments regarding the provisions on cycling lamps 
during seasoning in IES LM-54-12. Under the current test procedure, in 
accordance with IES LM-54-1991, all lamps are seasoned at a 3 hour on, 
20 minute off cycle for 100 operating hours. The latest version of the 
standard, IES LM-54-12, also specifies that lamps that are to be 
lifetime tested shall be cycled during seasoning. However, IES LM-54-12 
does not specify a specific operating cycle during seasoning for 
lifetime testing. IES LM-54-12 also states that lamps to be tested for 
other performance metrics can be continuously burned (not cycled) 
during seasoning to shorten the time required for seasoning. In the 
July 2015 NOPR, DOE tentatively determined that not providing a 
specific operating cycle during seasoning for lifetime testing and not 
requiring cycling during seasoning for other performance metrics would 
have a de minimis impact on measured values.
    The California Investor Owned Utilities (CA IOUs) \9\ and the 
Energy Efficiency Advocates (EEAs),\10\ however, disagreed and 
recommended that DOE require lamps to be cycled (operated 3 hours and 
then turned off for 20 minutes) during seasoning as was specified in 
IES LM-54-1991. (CA IOUs, No. 7 at p. 3; EEAs, No. 8 at p. 4)
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    \9\ The CA IOUs are Pacific Gas and Electric Company (PG&E), 
Southern California Gas Company (SCG), San Diego Gas and Electric 
Company (SDG&E), and Southern California Edison (SCE).
    \10\ The EEAs are the Appliance Standards Awareness Project 
(ASAP), American Council for an Energy Efficient Economy (ACEEE), 
Alliance to Save Energy (ASE), Natural Resources Defense Council 
(NRDC), Northeast Energy Efficiency Partnerships (NEEP), and 
Northwest Energy Efficiency Alliance (NEEA).
---------------------------------------------------------------------------

    DOE continues to find that cycling during seasoning would have a de 
minimis impact on measured values. However, in this final rule, in 
order to establish a more consistent test procedure, DOE specifies 
cycling during seasoning for all metrics. As discussed in section 
III.H.5, in this final rule, DOE requires that the same set of lamps be 
used for measurement of initial lamp efficacy, lumen maintenance, 
lifetime, color measurements, start time, and power factor. Because of 
this requirement to use the same set of lamps and the specification in 
IES LM-54-12 that lamps should be cycled during seasoning for lifetime 
measurements, lamps used in DOE's test procedure must be cycled during 
seasoning for all other measurements as well. Rapid cycle stress 
testing is conducted on a unique set of lamps--a separate set of lamps 
than used for all other metrics. However, DOE requires in this final 
rule that lamps used for rapid cycle stress testing also be cycled 
while seasoned and thereby provides a consistent methodology for 
seasoning across all metrics.
    To provide further consistency and specificity in test method, in 
this final rule, DOE specifies in this test procedure how to cycle 
lamps. Although section 6.2.2.1 of LM-54-12 states that for lifetime 
testing, lamps should be cycled during seasoning, IES LM-54-12 does not 
define the cycling time. IES LM-54-1991 required that all lamps be 
seasoned at a 3 hour (180 minutes) on, 20 minute off cycle for 100 
operating hours. Additionally, section 6.4 of IES LM-65-14 states that 
the standard life operating cycle shall be 180 minutes on, 20 minutes 
off. Therefore, in this final rule, DOE specifies in section 3.1.3 of 
appendix W that lamps must be cycled during seasoning, and the 
operating cycle must be 180 minutes on, 20 minutes off in accordance 
with section 6.4 of IES LM-65-14. In this final rule, DOE incorporates 
by reference IES LM-54-12, and supplements its seasoning requirements 
with the additional requirements noted in this section.
    DOE also received several comments regarding how industry standards 
incorporated by reference should be cited within the DOE test 
procedure. Both NEMA and OSI commented that in the NOPR, DOE proposed 
text copied directly from the referenced industry standards for 
incorporation into the CFR. NEMA recommended that instead, DOE should 
incorporate these publications by reference, ensuring that interested 
parties understand the context. (NEMA, No. 9 at p. 2; OSI, No. 5 at p. 
2) Philips Lighting (Philips) expressed concern that when the DOE test 
procedure deviates from a document incorporated by reference it adds 
another level of complexity and possibly leads to confusion. (Philips, 
Public Meeting Transcript, No. 4 at pp. 83-84) As a solution, Philips 
suggested that DOE provide specific instructions to the testing 
laboratory like ENERGY STAR and other programs. (Philips, Public 
Meeting Transcript, No. 4 at p. 68) Westinghouse stated that, although 
they preferred DOE incorporate by reference the entire document, it was 
acceptable if only portions can be referenced. Westinghouse stated that 
it can cause confusion when DOE makes modifications such that something 
not in the referenced standard is included in the DOE test procedure. 
In particular, when auditing a test lab, Westinghouse noted that the 
lab may meet requirements based on the referenced standard but not 
based on DOE's test procedure. (Westinghouse, Public Meeting 
Transcript, No. 4 at p. 85)
    DOE appreciates the feedback related to incorporation by reference 
of industry standards as well as ways to improve the clarity of DOE's 
test procedure. In the NOPR and in this final rule, DOE did not include 
text in the regulatory language copied directly from an industry 
standard and instead incorporated by reference relevant industry 
standards in 10 CFR 430.3 and referenced sections of the incorporated 
industry standards as relevant in DOE's test procedures. DOE lays out 
instructions regarding the test setup conditions, test methods, and 
measurements for each CFL metric in appendix W. In these instructions, 
DOE references relevant sections of industry standards, and provides 
further clarification as needed. To generate reliable and consistent 
results, DOE, in some instances, provides further clarification and/or 
exceptions to the industry standards referenced. For example, appendix 
W states that lamps should be seasoned according to sections 4, 5, 6.1, 
and 6.2.2.1 of IES LM-54-12. To reduce test burden, DOE provides 
further clarification in appendix W that time during seasoning can be 
counted toward time to failure and lumen maintenance at 40 percent of 
lifetime (see section III.A.2.e for further details). IES LM-54-12 
states that, for lifetime testing, lamps shall be cycled during 
seasoning, and for all other performance metrics, lamps can be 
continuously burned during seasoning.

[[Page 59390]]

To ensure consistent seasoning requirements across all metrics, DOE 
requires in this final rule that, for all metrics, including lifetime, 
lamps must be cycled during seasoning (as noted in this section). 
Therefore, DOE's test procedure in appendix W is streamlined to 
provide, at each step, only the relevant sections of industry 
standards, and any related additional instructions and/or 
clarifications specific to the DOE test procedure. In summary, DOE 
finds that the test procedures for CFLs as prescribed in this final 
rule address the concerns of interested parties to provide clear, 
unambiguous instruction regarding the appropriate procedures for 
testing CFLs.
2. Clarifications to General Test Conditions and Setup
a. Instrumentation
    In the July 2015 NOPR, DOE proposed that photometric measurements 
including lumen output, CCT, and CRI be carried out in an integrating 
sphere. DOE made this proposal because of potential differences in 
measured values when conducting testing with an integrating sphere 
versus a goniophotometer and certain issues with the use of 
goniophotometers. DOE received comments related to its proposal to only 
allow the use of integrating spheres for photometric measurements. P.R. 
China noted that although the integrating sphere method is simpler, the 
goniophotometer measures luminous flux using an absolute method and is 
therefore more accurate. Specifically, P.R. China argued that the 
goniophotometer method should be allowed because integrating spheres 
might lead to errors with large-sized lamps or lamps with special 
shapes. P.R. China added that additional testing cost and/or burden 
could be introduced by only allowing the use of integrating spheres. 
(P.R. China, No. 10 at p. 3) However, NEMA and OSI were supportive of 
using only an integrating sphere for testing. (NEMA, No. 9 at p. 3; 
OSI, No. 5 at p. 3)
    Both the integrating sphere and goniophotometer methods are allowed 
in IES LM-66-14. DOE understands that both these methods are valid ways 
to take photometric measurements. However, DOE is concerned about the 
potential difference in measured values generated from the two 
different measurement approaches. Because DOE test procedures must 
yield repeatable and reproducible results and comparable measured 
values, DOE determined that it must specify one method of measurement. 
DOE believes that the integrating sphere method is preferable to the 
goniophotometer method because of certain issues that make 
goniophotometer testing more variable and potentially less accurate. 
The goniophotometer is potentially problematic for lamps that emit 
light in all directions as the setup may result in a dead angle where 
some part of the light output is blocked by the equipment (e.g., the 
arm in which the lamp is held). The goniophotometer method also 
requires a precise scanning resolution that may differ by lamp and is 
not subject to a specific industry requirement that could provide 
consistency across measurements. Integrating spheres can come in a 
range of sizes and can accordingly be used to test a variety of sizes 
and shapes of lamps, including linear fluorescent lamps, which are much 
larger than CFLs. Therefore, DOE is not aware of any constraints or 
limitations regarding testing CFLs using integrating spheres.
    DOE also proposed to incorporate by reference IESNA LM-78-07 in the 
July 2015 NOPR, which provides more specific guidance on measuring 
lumen output in an integrated sphere. DOE did not receive any comments 
related to IESNA LM-78-07.
    For these reasons, DOE requires that all photometric measurements, 
including lumen output, CCT, and CRI, must be carried out using the 
integrating sphere method. Additionally, to provide a method for 
measuring lumen output in an integrating sphere, DOE incorporates by 
reference IESNA LM-78-07.
b. Ambient Temperature
    In the July 2015 NOPR, DOE proposed that photometric and electrical 
testing of CFLs must be conducted at an ambient temperature of 25 
 1 [deg]C. 80 FR 45731. Section 4.3 of IES LM-66-14 states 
that the ambient temperature during photometric and electrical testing 
must be maintained at 25  1 [deg]C unless the CFL is 
designed to perform optimally under non-standard conditions. Similar 
requirements and allowance were given in IES LM-66-1991. DOE's review 
of manufacturer-published product literature suggests that photometric 
and electrical testing of CFLs is typically conducted at the standard 
25  1 [deg]C temperature conditions and possible 
inconsistencies could arise between represented values if testing 
occurred at other temperatures.
    OSI commented that the ambient temperature requirement of 25  1 [deg]C is acceptable for most lamps, but not for non-
integrated lamps specifically designed for high ambient temperature 
operation. (OSI, No. 5 at p. 3) General Electric (GE) was also 
supportive of the temperature range for testing for most products, but 
requested an exclusion for products that are specifically designed for 
high ambient temperatures. (GE, Public Meeting Transcript, No. 4 at pp. 
32-33) NEMA commented that non-integrated lamps specifically designed 
for high ambient temperature operation should not be tested at 25 
[deg]C. (NEMA, No. 9 at p. 3)
    DOE understands the concerns of interested parties, but believes 
that it is important to establish test procedures that provide a 
consistent set of measurements. That is, DOE believes that adopting a 
consistent rating condition across all CFL models will make the results 
more comparable among CFL models.
c. Input Voltage
    In the July 2015 NOPR, DOE proposed that if rated input voltage is 
a range that includes 120 volts (V), the CFL must be operated at 120 V 
when conducting the DOE test procedures. If the CFL can be operated 
with multiple rated input voltages and is not rated for 120 V, the CFL 
must be operated at the highest rated input voltage. DOE determined 
that requiring testing at a single input voltage would limit testing 
variation and ensure more accurate and consistent measurements of time 
to failure (see sections III.A.3.a and III.A.4.b). In addition, section 
5.1.1 of IES LM-65-14 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. 80 FR 45732. NEMA 
supported DOE's proposal regarding testing input voltage. (NEMA, No. 9 
at p. 3) DOE received no other comments regarding input voltage. In 
this final rule, DOE adopts a testing voltage requirement that if a 
rated input voltage is a range that includes 120 V, the CFL must be 
operated at 120 V. If the CFL with multiple rated input voltages is not 
rated for 120 V, the CFL must be operated at the highest rated input 
voltage.
d. Lamp Orientation
    In the July 2015 NOPR, DOE proposed a clarification that lamp 
orientation must be maintained throughout all testing, including 
preparation (e.g., seasoning and preburning), storage, and handling 
between tests. The intent of DOE's proposal was to minimize changes in 
lamp operating characteristics between various stages of testing and 
allow for more accurate and repeatable measurements. 80 FR 45732. NEMA 
supported DOE's proposal of maintaining lamp orientation. (NEMA, No. 9 
at p. 3) DOE received no other comments regarding lamp orientation.

[[Page 59391]]

In this final rule, DOE adopts a requirement that lamp orientation must 
be maintained throughout all testing, including preparation (e.g., 
seasoning and preburning), storage, and handling between tests.
e. Lamp Seasoning
    In the July 2015 NOPR, DOE proposed that the seasoning requirements 
in IES LM-54-12 must be followed prior to the testing of all CFLs. DOE 
also proposed two additional provisions related to lamp seasoning. 
First, DOE proposed that unit operating time during seasoning may be 
counted toward lumen maintenance at 1,000 hours, lumen maintenance at 
40 percent of lifetime, and time to failure if the required operating 
cycle and test conditions are satisfied as stated in the test method 
for time to failure. This would reduce testing burden by minimizing the 
overall testing time required for measuring time to failure and lumen 
maintenance values. Second, DOE proposed to require 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. 80 FR 
45732.
    NEMA was supportive of the proposed seasoning requirements. (NEMA, 
No. 9 at p. 3) DOE received several comments regarding its proposal 
that a lamp that fails during seasoning should not be included in the 
sample set to determine the represented value of metrics. DOE addresses 
these comments in section III.H.6.
    In this final rule, DOE adopts the clarifications regarding 
seasoning as noted in this section. As previously stated in section 
III.A.1, to provide consistency in test methodology, DOE also requires 
in this final rule that lamps must be cycled during seasoning for all 
measurements and specifies an operating cycle of 180 minutes on and 20 
minutes off in accordance with section 6.4 of IES LM-65-14.
f. Lamp Stabilization
    In the July 2015 NOPR, DOE proposed to disallow the ``peak'' method 
provided in Annex B of IES LM-66-14, which can serve as a time saving 
alternative to the stabilization method specified in section 6.2.1 of 
IES LM-66-14. IES LM-66-14 states that the information in the Annex is 
not intended to be a recommended procedure, but is presented as 
reference information; it also notes that the stabilization method 
specified in section 6.2.1 is preferred because considerable testing 
and experience with a given lamp design may be required due to the 
number of lamp designs and process variations that exist when 
conducting the peak according to Annex B. Because of the variabilities 
that could arise from testing using the peak method, DOE concluded that 
the peak method could cause inconsistent and potentially inaccurate 
results. 80 FR 45732.
    NEMA supported DOE's proposal. (NEMA, No. 9 at p. 3) DOE received 
no other comments regarding the ``peak'' method for stabilization. In 
this final rule, DOE disallows the ``peak'' method provided for 
reference in Annex B of IES LM-66-14.
g. Simulated Fixtures During Time to Failure Testing
    In the July 2015 NOPR, DOE proposed not to allow the use of 
simulated fixtures during time to failure testing of CFLs. This 
proposal would remove potential variation in the testing of CFLs and 
ensure that all CFLs are tested in a consistent manner. 80 FR 45732.
    NEMA supported this proposal. (NEMA, No. 9 at p. 3) DOE received no 
other comments regarding testing of lamps in fixtures. In this final 
rule, DOE disallows the use of simulated fixtures during time to 
failure testing of CFLs.
h. Ballasted Adapters
    In the July 2015 NOPR, DOE proposed 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 proposed to define a ``ballasted adapter'' as 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. 80 FR 45732.
    NEMA agreed with the proposed term ``ballasted adapter.'' (NEMA, 
No. 9 at p. 3) DOE received no other comments regarding the definition 
for ``ballast adapter.'' In this final rule, DOE adopts the proposed 
definition for the term ``ballasted adapter.''
    DOE also received comments related to the inclusion of screw-base 
ballasted adapters for non-integrated CFLs. NEMA, OSI, and Philips 
stated that screw-base ballasted adapters for non-integrated CFLs 
should not be part of the CFL test procedure, but rather addressed in 
the fluorescent lamp ballast (FLB) rulemaking.\11\ (NEMA, No. 9 at p. 
2; OSI, No. 5 at p. 2; Philips, No. 6 at p. 3) DOE notes that it is not 
proposing a test procedure for ballasted adapters in this rulemaking, 
only a test procedure for compact fluorescent lamps.
---------------------------------------------------------------------------

    \11\ Information regarding the Fluorescent Lamps Ballast 
Rulemaking can be found at http://www.regulations.gov/docket?D=EERE-2015-BT-STD-0006.
---------------------------------------------------------------------------

    Philips disagreed with DOE's proposal 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. 
Instead, Philips recommended that a ballasted adapter sold with a lamp 
should be tested as a system and the system should be subject to the 
same energy conservation standards as integrated lamps. (Philips, No. 6 
at p. 3)
    DOE requires that non-integrated CFLs be tested on reference 
ballasts as specified in IES LM-66-14. This ensures consistent test 
conditions for measuring the performance characteristics of non-
integrated CFLs that are externally ballasted. As noted in this 
preamble, DOE defines ballasted adapter as a component that is not 
permanently attached to the CFL, and therefore is similar to the 
external ballasts used with non-integrated CFLs. DOE reviewed CFLs that 
are compatible with ballasted adapters and determined that there was no 
technical reason they could not be tested on a reference ballast. 
Further, although the CFL may be packaged with a certain ballasted 
adapter, a consumer could choose to replace it with a different 
ballasted adapter or a manufacturer could pair the same lamp with 
different ballasted adapters. Thus, use of a reference ballast allows 
for a consistent and comparable assessment of the lamp's performance. 
Therefore, DOE continues to require that CFLs packaged with or designed 
exclusively for use with ballasted adapters be tested as non-integrated 
CFLs.
i. Multi-Level CFLs and Dimmable CFLs
    Footnote 2 to the energy conservation standards for MBCFLs codified 
at 10 CFR 430.32(u) includes the statement that for multi-level or 
dimmable systems, measurements shall be at the highest setting. In the 
July 2015 NOPR, DOE proposed to remove the footnote in order to 
consolidate testing requirements in the test procedure and add language 
to the test procedure addressing dimmable CFLs in the general 
instruction section of appendix W. The lumen output level and input 
power can be adjusted for some CFLs (i.e., dimmable), and thus not 
clarifying the input power for testing these lamps can introduce 
testing variation. Therefore, to ensure consistent results, DOE 
proposed that a dimmer not be used in the circuit and that all CFLs be 
tested at the labeled wattage, which DOE defines as the highest wattage

[[Page 59392]]

marked on the lamp and/or lamp packaging (see section III.A.3.f for 
further details on the labeled wattage). 80 FR 45732-4573.
    NEMA and OSI agreed that testing should be conducted with no dimmer 
in the circuit, but the CA IOUs proposed testing dimmable CFLs at 
dimmed states in addition to full power. (NEMA, No. 9 at p. 4; OSI, No. 
5 at p. 3; CA IOUs, No. 7 at p. 4) However, neither the current energy 
conservation standards nor those proposed in the March 2016 NOPR 
require measurements of performance of CFLs at dimmed levels. 
Therefore, DOE is not establishing test procedures for CFLs to be 
tested at such levels.
    Both NEMA and OSI commented that CFL testing should be conducted at 
labeled voltage (which is an independent variable), rather than at 
labeled wattage (which is a dependent variable). (NEMA, No. 9 at pp. 3-
4; OSI, No. 5 at p. 3) DOE agrees that wattage is dependent on voltage 
and understands that, during testing, the electrical characteristics of 
the incoming power to the lamp would be adjusted to achieve a given 
wattage. Because voltage and wattage are related quantities, DOE notes 
that specifying either the voltage or wattage will achieve the same 
result when testing a given lamp. DOE's specification that the lamp be 
tested at the labeled wattage is intended to indicate that CFLs 
specified for a range of wattages should be measured at the highest 
wattage marked on the lamp. This is consistent with the existing test 
specifications for CFL testing and DOE's proposed definition of 
``labeled wattage,'' as discussed in section III.A.3.f.
    In this final rule, DOE removes the text regarding multi-level or 
dimmable systems from Sec.  430.32(u) and, instead, specifies in 
appendix W that dimmable CFLs must be tested at their highest labeled 
wattage. DOE believes specifying that a dimmer cannot be used in the 
circuit is an unnecessary addition as DOE also specifies that dimmable 
CFLs must be tested at their highest labeled wattage. DOE therefore 
removes this direction in the final rule.
3. Clarifications to Definitions
a. Average Rated Life
    In the July 2015 NOPR, DOE proposed to remove the term ``average 
rated life'' and adopt the terms ``lifetime of a compact fluorescent 
lamp'' and ``time to failure.'' The existing definition of ``average 
rated life'' makes only general reference to the sample size for time 
to failure testing. DOE believes the use of the word ``average'' in the 
term ``average rated life'' may be confusing, and although defined in 
appendix W, the term 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 proposed to remove the term 
``average rated life'' from appendix W and to add the definition 
``lifetime of a compact fluorescent lamp'' at 10 CFR 430.2. 80 FR 
45733. See section III.B.3 for more detail.
    In the July 2015 NOPR, DOE also proposed to define ``time to 
failure'' in appendix W to support the new definition of ``lifetime of 
a compact fluorescent lamp'' specified in 10 CFR 430.2. ``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. 80 FR 45733.This definition aligns with the definition 
of lamp failure in section 8.2 of ANSI/IES RP-16-14.\12\
---------------------------------------------------------------------------

    \12\ Nomenclature and Definitions for Illuminating Engineering 
(approved 2010).
---------------------------------------------------------------------------

    The EEAs were supportive of DOE's proposed changes related to 
lifetime, but recommended that the definition of ``time to failure'' be 
the point at which the lumen output falls below 70 percent of initial 
lumen output. The EEAs stated that 70 percent is a common threshold 
within the lighting industry and addresses a situation where the CFL 
starts, but does not provide sufficient light. (EEAs, No. 8 at p. 1)
    DOE is only aware of 70 percent initial lumen output to 
characterize lifetime of light-emitting diode (LED) lamps. This 
determination is based on the understanding that the LED lamp has 
reached the end of its useful life when it achieves a lumen maintenance 
of 70 percent. In the June 3, 2014 supplemental notice of proposed 
rulemaking (SNOPR), DOE concluded that there is no industry consensus 
for how to characterize lifetime of LED lamps in terms of performance 
metrics other than lumen maintenance. However, for other lighting 
technologies, such as CFLs, industry standards define lamp lifetime as 
the time at which 50 percent of tested samples stop producing light. 79 
FR 32020, 32028. Therefore, in this final rule, DOE defines ``time to 
failure'' as the time elapsed between first use and the point at which 
the CFL ceases to produce measureable lumen output.
    As noted in section III.A.1, DOE references 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 defining the terms, ``time to failure'' 
and ``lifetime of a compact fluorescent lamp'' (see section III.B.3) to 
support its lifetime testing of CFLs and align with terminology used in 
other DOE lamp test procedures. Although the definitions in section 3.0 
of IES LM-65-14 are often analogous to DOE's adopted definitions for 
time to failure and lifetime of a compact fluorescent lamp, to avoid 
confusion regarding terminology when executing the lifetime test 
procedure for CFLs, DOE proposed that section 3.0 of IES LM-65-14 
should be disregarded and replaced with the DOE definitions used for 
lifetime testing of CFLs. DOE did not receive any comments regarding 
this proposal and adopts it in this final rule.
b. Initial Performance Values
    DOE proposed in the July 2015 NOPR 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.'' 80 FR 45733-45734. The new terms clarify the 
measurement of CFL initial performance values, and eliminate the need 
for the terms ``initial performance values'' and ``rated luminous flux 
or rated lumen output.'' DOE did not receive any comments related to 
deletion or addition of these terms. Therefore, in this final rule, DOE 
removes the terms ``initial performance values'' and ``rated luminous 
flux or rated lumen output,'' and adopts definitions for ``initial lamp 
efficacy,'' ``measured initial input power,'' and ``measured initial 
lumen output.''
c. Lumen Maintenance
    In the July 2015NOPR, DOE proposed to amend the definition of 
``lumen maintenance'' to clarify that calculated lumen maintenance 
values are based on measured lumen output as the existing definition of 
``lumen maintenance'' does not clearly distinguish between rated and 
measured values. The DOE proposed to adopt the term ``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. 80 FR 45734.
    NEMA agreed with this clarification. (NEMA, No. 9 at p. 5) DOE did 
not receive any other comments on the term ``lumen maintenance.'' In 
this final rule, DOE adopts the term ``lumen maintenance'' and 
definition as proposed in the July 2015 NOPR.

[[Page 59393]]

d. Rated Voltage
    In appendix W, the term ``rated voltage'' is defined as meaning the 
voltage marked on the lamp. As previously noted, in this final rule, 
DOE requires measurement at the highest rated input voltage for lamps 
rated at multiple input voltages not including 120 V (see section 
III.A.2.c). In order to support this test condition, in this final 
rule, DOE adds clarifying text to the definition of ``rated voltage.'' 
Specifically, in this final rule, DOE replaces the term ``rated 
voltage'' with ``rated input voltage,'' defined as the voltage(s) 
marked on the lamp as the intended operating voltage, or if not marked 
on the lamp, 120 V.
e. Rated Supply Frequency
    In the July 2015 NOPR, DOE proposed to remove from appendix W the 
term ``rated supply frequency'' because appendix W does not use this 
term. 80 FR 45734.
    NEMA agreed with removing this term. (NEMA, No. 9 at p. 4) DOE did 
not receive any other comments on removing ``rated supply frequency.'' 
In this final rule, DOE removes the term ``rated supply frequency'' 
from appendix W.
f. Rated Wattage
    In the July 2015 NOPR, DOE proposed 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. 
80 FR 45734. 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). However, in 
ANSI standards, the rated wattage is a targeted rather than actual 
value and can sometimes differ from the value displayed on the lamp 
packaging.
    NEMA and OSI recommended DOE not remove the term ``rated wattage,'' 
which they stated is widely used and understood by the lighting 
industry, and instead suggested adding the term ``ANSI rated wattage'' 
to differentiate the ANSI-based wattages. (NEMA, No. 9 at p. 5; OSI, 
No. 5 at p. 4)
    Although DOE understands that ``rated wattage'' is a commonly used 
term in the lighting industry, DOE also notes that its meaning may 
differ depending on the context in which it is used (i.e., referring to 
wattages referenced in ANSI standards as opposed to the wattage listed 
on the CFL). Using the term ``labeled wattage'' will avoid any 
potential confusion when applying DOE's test procedures and align with 
the definition of the term, which specifies it as the wattage marked on 
the lamp. Therefore, in this final rule, DOE removes ``rated wattage'' 
and defines ``labeled wattage'' as the highest wattage marked on the 
lamp and/or lamp packaging.
g. Self-Ballasted Compact Fluorescent Lamp
    The term ``self-ballasted compact fluorescent lamp,'' as defined in 
appendix W, means 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 
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). Because DOE proposed to include test procedures for 
additional categories of CFLs, including integrated and non-integrated 
CFLs, in the July 2015 NOPR, DOE also proposed to define the mutually 
exclusive terms ``integrated CFL'' and ``non-integrated CFL'' to 
clearly differentiate the applicability of the relevant CFL test 
procedures and energy conservation standards. Specifically, DOE 
proposed to remove the definition of ``self-ballasted compact 
fluorescent lamp'' and add a new definition for the term ``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). DOE also proposed to 
add a definition of ``non-integrated compact fluorescent lamp'' as ``a 
compact fluorescent lamp that is not integrated.'' 80 FR 45734.
    OSI and NEMA stated that the proposed definition for ``non-
integrated'' was unnecessarily broad and encompassed all CFLs that are 
not integrated CFLs. OSI and NEMA instead suggested DOE incorporate the 
following ANSI C78.901-2014 definition for non-integrated CFLs: a CFL 
that has an ANSI pin base, does not incorporate a ballast, and appears 
in ANSI C78.901-2014. (OSI, No. 5 at p. 5; NEMA, No. 9 at p. 5) 
Additionally, during the public meeting held to discuss the July 2015 
NOPR, OSI asked why the term ``integrated'' was chosen as opposed to 
``self-ballasted.'' OSI also inquired about the use of the term ``pin 
based'' in the context of ``non-integrated.'' (OSI, Public Meeting 
Transcript, No. 4 at pp. 53-54) Philips responded that UL 1993 \13\ 
uses the term ``self-ballasted lamp'' and acknowledged that the IES 
struggled with the terms when developing IES LM-65-14 and IES LM-66-14, 
but ultimately both documents use the terms integrated and non-
integrated when appropriate. (Philips, Public Meeting Transcript, No. 4 
at pp. 53-55)
---------------------------------------------------------------------------

    \13\ UL. UL1993, ``Self-Ballasted Lamps and Lamp Adapters,'' 
http://ulstandards.ul.com/standard/?id=1993_4
---------------------------------------------------------------------------

    The term ``integrated'' can be used across lamp technologies to 
describe lamps that contain all the necessary components for operation, 
and thereby provides consistency across DOE test procedures for lamps. 
The term supports the March 2016 NOPR and the amended standards for 
CFLKs, both of which apply to lamps that use ballasts as well as 
drivers. Further, because this test procedure applies to all CFLs, it 
is DOE's intent to set forth terminology that includes all CFL types. 
Based on its review of products, DOE determined that a CFL is either 
``integrated'' or ``non-integrated'' and intentionally defined the 
terms to be mutually exclusive (i.e., a CFL can be either integrated or 
non-integrated, but not both) and inclusive of all CFLs. Therefore, DOE 
defines ``non-integrated compact fluorescent lamp'' to include any CFL 
that does not meet the definition ``integrated compact fluorescent 
lamp'' and does not limit this definition by base type or inclusion in 
industry standard. Hence, in this final rule, DOE removes the 
definition of ``self-ballasted compact fluorescent lamp'' and adds new 
definitions for ``integrated compact fluorescent lamp'' and ``non-
integrated 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
    In the July 2015 NOPR, DOE proposed to continue to include test 
procedures for measuring initial lamp efficacy and lumen maintenance 
and add test procedures for measuring CCT, CRI, and power factor in 
appendix W. DOE

[[Page 59394]]

proposed that the test procedures for initial lamp efficacy, lumen 
maintenance at 1,000 hours, lumen maintenance at 40 percent of 
lifetime, CCT, and CRI would apply to both integrated and non-
integrated lamps, although the test procedure for power factor would 
only apply to integrated lamps. 80 FR 45735. The following sections 
discuss these metrics and the related comments received.
Initial Lamp Efficacy and Lumen Maintenance
    Although appendix W currently specifies a test procedure for 
initial lamp efficacy and lumen maintenance, it does not explicitly 
state how to measure and calculate initial lamp efficacy and lumen 
maintenance values. In order to standardize the CFL test procedure and 
the calculation of these values, DOE proposed that initial lamp 
efficacy be determined as the measured initial lumen output divided by 
the measured initial input power. DOE further proposed to reference IES 
LM-66-14 for test conditions and setup to measure initial lamp 
efficacy, lumen maintenance at 1,000 hours, and lumen maintenance at 40 
percent of lifetime. 80 FR 45735. DOE did not receive any comments 
regarding its proposals for initial lamp efficacy and therefore, in 
this final rule, adopts them as described in the July 2015 NOPR.
    Similarly, in the July 2015 NOPR, DOE proposed to calculate lumen 
maintenance at 1,000 hours as measured lumen output at 1,000 hours 
divided by the measured initial lumen output and to calculate lumen 
maintenance at 40 percent of lifetime as the measured lumen output at 
40 percent of lifetime of a compact fluorescent lamp divided by the 
measured initial lumen output. 80 FR 45735.
    DOE evaluated its existing energy conservation standards and 
ongoing standards rulemakings for CFLs as well as FTC Lighting Facts 
labeling and determined that a lumen maintenance at 1,000 hours metric 
is not required for non-integrated CFLs. Therefore, in this final rule, 
DOE is only adopting a test procedure for lumen maintenance at 1,000 
hours for integrated CFLs.
    GE and Philips commented during the public meeting for the July 
2015 NOPR that logistical testing issues arise if the definition of 
lifetime is changed to a measured quantity. GE and Philips postulated 
that they could not measure lumen maintenance at 40 percent of measured 
lifetime because the point at which lifetime is determined would be 
later than the 40 percent of the lifetime measurement point. (GE, 
Public Meeting Transcript, No, 4 at pp. 44-47; Philips, Public Meeting 
Transcript, No. 4 at pp. 21-22) Both NEMA and OSI proposed measuring 
lumen maintenance at 40 percent of a rated lifetime rather than the 
lifetime measured as proposed by DOE. (NEMA, No 9 at pp. 4-5; OSI, No 5 
at p. 4)
    DOE acknowledges the logistical concerns about measuring lumen 
maintenance at 40 percent of the lifetime of a CFL. In this final rule, 
DOE is adopting that lumen maintenance at 40 percent of lifetime can be 
an estimated value for initial certification of new basic models or 
existing basic models when retesting is required until lifetime testing 
is complete. As described in section 10 CFR 429.35(b), certification 
reports must be submitted for CFLs and represented values of lifetime, 
lumen maintenance at 40 percent of lifetime, life, and rapid cycle 
stress test surviving units are estimated values until testing is 
complete. Upon completion of lifetime testing, the next annual 
certification report must include final values for these metrics based 
on the actual represented value for lifetime. In this way, the time 
required to test for lifetime, lumen maintenance at 40 percent of 
lifetime, life, and rapid cycle stress will not delay the distribution 
in commerce of a lamp. (See section III.G for further details on 
certification reports.)
    Although DOE is adopting test methods for lumen maintenance at 40 
percent of lifetime for both integrated and non-integrated CFLs, DOE 
notes that standards for lumen maintenance at 40 percent of lifetime 
are only applicable for integrated CFLs, specifically MBCFLs. Lumen 
maintenance at 40 percent of lifetime for non-integrated CFLs is only 
required to the extent that manufacturers wish to make representations 
regarding the lumen maintenance of their products or participate in the 
voluntary ENERGY STAR program.
Correlated Color Temperature (CCT)
    In the July 2015 NOPR, DOE proposed 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 proposed adding the abbreviation ``CCT'' to this definition 
as explained in section III.B.2. DOE further proposed that CCT be 
measured and calculated in accordance with IES LM-66-14, which 
references Commission Internationale de l'Eclariage (CIE) 15:2004 (3rd 
edition), ``Colorimetry.'' 80 FR 45735. 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 (IRLs), and general service incandescent lamps (GSIL) 
for appendix R (hereafter ``2009 GSFL, IRL, and GSIL Test Procedure''). 
74 FR 31829, 31834.
    Both the CA IOUs and the EEAs supported the proposed methodology to 
measure CCT. (CA IOUs, No. 7. at pp. 3-4; EEAs, No. 8 at p. 4) 
Likewise, NEMA had no issues with the proposed test procedure, but 
noted that the proposed methodology would add measurements to the 
existing requirements. (NEMA, No. 9 at p. 6) OSI added that the 
additional measurements would have no regulatory benefit. (OSI, No. 5 
at p. 5) Although DOE agrees with commenters that DOE has not set 
standards or requirements regarding the CCT of CFLs, as noted 
previously, this test procedure supports the FTC Lighting Facts 
labeling requirements for lighting products, the ENERGY STAR Lamps 
Specification V2.0 and the ENERGY STAR Luminaires Specification V2.0, 
all of which require the CCT metric. Therefore, in this final rule, DOE 
adopts the test procedure for CCT and incorporates CIE 15:2004 by 
reference for appendix W as proposed in the July 2015 NOPR.
Color Rendering Index (CRI)
    In the July 2015 NOPR, DOE proposed establishing a test procedure 
for measuring CRI in appendix W. DOE proposed 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.'' DOE also proposed to incorporate CIE 
13.3-1995 by reference for appendix W. 80 FR 45735. CIE 13.3-1995 was 
previously incorporated by reference for appendix R in the 2009 GSFL, 
IRL, and GSIL Test Procedure.
    The CA IOUs and EEAs supported the proposed test procedure for CRI. 
(CA IOUs, No. 7 at pp. 3-4; EEAs, No. 8 at p. 4) NEMA and OSI expressed 
the view that a CRI test method would have no regulatory benefit and 
should not be included in the test method but agreed the proposed 
methodology was appropriate for measuring CRI. (NEMA, No. 9 at p. 6; 
OSI, No. 5 at p. 5) Philips commented that CRI should be excluded from 
the test procedure, as the metric would not yield substantial energy 
savings. (Philips, No. 6 at p. 3)
    The EEAs proposed testing color under the new IES metric outlined 
in IES TM-30-2015, IES Method for Evaluating Light Source Color 
Rendition. (EEAs, No. 8 at p. 4) IES TM-

[[Page 59395]]

30-2015 is a new methodology for evaluating different color properties 
than CRI.\14\ CRI is determined by comparing a specific set of eight 
color samples and calculating the average term known as Ra. 
In contrast, IES TM-30-2015 provides calculations and directions for 
quantifying fidelity (Rf, which is the closeness to a 
reference) and gamut (Rg, which is the increase or decrease 
in chroma).
---------------------------------------------------------------------------

    \14\ IES Method for Evaluating Light Source Color Rendition. 
https://www.ies.org/store/product/ies-method-for-evaluating-light-source-color-rendition-3368.cfm.
---------------------------------------------------------------------------

    DOE must specify test procedures in order to determine whether the 
products comply with any relevant standards promulgated under EPCA. (42 
U.S.C. 6295(s)) In the March 2016 NOPR, DOE proposed that MBCFLs have a 
CRI of at least 80. 81 FR 14554. Additionally, ENERGY STAR Lamps 
Specification V2.0 and Luminaire Specification V2.0 include a CRI 
requirement. Therefore, in this final rule, DOE establishes a test 
procedure for CRI and incorporates CIE 13.3-1995 by reference for 
appendix W. As there are no existing standards for IES TM-30-2015 color 
metrics for CFLs, nor were any proposed in the March 2016 NOPR, DOE is 
not adopting test procedures to evaluate color metrics specified in IES 
TM-30-2015 in this final rule.
    In this final rule, DOE is adopting test methods for determining 
CRI for both integrated and non-integrated CFLs. While DOE is only 
adopting certification requirements for integrated CFLs when complying 
with general service lamps standards, if adopted, DOE's test procedure 
for CRI is applicable to all CFLs and must be used when making 
representations. (As proposed in the March 2016 NOPR, 81 FR 14554) More 
specifically, if a manufacturer of a non-integrated CFL decides to make 
representations of CRI in its product literature, manufacturer 
catalogues, labeling, or for voluntary energy-efficiency programs, the 
manufacturer must use the DOE test procedure, including sampling plan.
Power Factor
    In the July 2015 NOPR, DOE proposed a test procedure for measuring 
power factor for integrated CFLs based on electrical measurements 
conducted in accordance with section 5.0 of IES LM-66-14. DOE also 
proposed to define power factor in appendix W as the measured root 
square mean (RMS) input power (watts) divided by the product of the 
measured RMS input voltage (volts) and the measured RMS input current 
(amps). 80 FR 45735. DOE did not receive comments on the proposed 
definition. In this final rule, DOE has modified the definition 
slightly to align with the definition in ENERGY STAR. Therefore, DOE 
adopts the following definition of power factor: power factor means the 
measured input power (watts) divided by the product of the measured RMS 
input voltage (volts) and the measured RMS input current (amps).
    The CA IOUs and EEAs commented that they were supportive of the 
requirement of testing power factor as well as the proposed approach. 
(CA IOUs, No. 7 at pp. 4; EEAs, No. 8 at pp. 3-4) GE, Philips, NEMA, 
and OSI commented that power factor should be excluded from the test 
procedure, with Philips stating that the metric would not yield 
substantial energy savings, and NEMA and OSI stating that it would have 
no regulatory benefit. (GE, Public Meeting Transcript, No. 4 at pp. 
140-142; OSI, No. 5 at p. 5; Philips, No. 6 at p. 3)
    In the March 2016 NOPR, DOE proposed setting a minimum power factor 
standard for MBCFLs. 81 FR 14528, 14554-14555 (March 17, 2016). DOE 
notes that ENERGY STAR Lamps Specification V2.0 also includes a power 
factor requirement. As power factor is required to demonstrate 
compliance with the proposed GSL energy conservation standards and to 
support the ENERGY STAR requirements, in this final rule, DOE is 
establishing a test procedure for power factor.
    GE, NEMA, OSI, and Philips commented that power factor is not 
relevant to non-integrated CFLs because it is a metric specific to the 
ballast. (GE, Public Meeting Transcript, No. 4 at pp. 140-142; NEMA, 
No. 9 at p. 6; OSI, No. 5 at p. 5; Philips, No. 6 at p. 3) In response, 
DOE clarifies that the power factor test procedure is only applicable 
to integrated CFLs.
    DOE also received a comment from the CA IOUs recommending that DOE 
consider requiring the measurement and reporting of total harmonic 
distortion of current (abbreviated as THD in the comment). (CA IOUs, 
No. 5 at p. 4) In the March 2016 NOPR, DOE stated that THD is directly 
related to power factor and a power factor requirement will effectively 
establish a standard for THD. 81 FR 14555-14556. Therefore, DOE is not 
adopting a test procedure for total harmonic distortion of current in 
this final rule.
b. Test Procedures for Time to Failure
    In the July 2015 NOPR, DOE proposed test procedures for measuring 
time to failure in appendix W for integrated and non-integrated CFLs. 
80 FR 45735. DOE determined that test conditions, setup, and 
measurement of time to failure should be as specified in IES LM-65-14. 
DOE also proposed that use of simulated fixtures during time to failure 
testing of CFLs not be allowed. This proposed provision was to prevent 
potential variation in testing of CFLs and to ensure that all CFLs are 
tested in a consistent manner. 80 FR 45732. NEMA agreed with DOE's 
proposal to disallow the use of simulated fixtures during time to 
failure testing. (NEMA, No. 9 at p. 3)
    OSI requested that DOE not include lifetime testing for pin base 
CFLs in the test procedure, noting that initial lamp efficacy is 
sufficient for reporting metrics of these lamp types. (OSI, No. 5 at p. 
2) NEMA agreed with OSI that DOE should not include lifetime testing 
for pin base CFLs. NEMA also stated that lifetime testing would depend 
on the ballast operating the non-integrated CFL. (NEMA, No. 9 at pp. 2, 
6)
    DOE agrees with NEMA that the specific ballast used affects the 
lifetime of non-integrated CFLs; however, the characteristics of the 
lamp also affect this metric. Further, manufacturer catalogs specify 
the lifetime of non-integrated CFL products and lifetime is also 
required by ENERGY STAR Luminaires Specification V2.0. Therefore, DOE 
finds that lifetime is an important characteristic of the performance 
of the non-integrated CFL. Additionally, by using reference ballasts 
when testing non-integrated CFLs, DOE is able to assess the performance 
of the non-integrated CFL in a comparable and standardized way across 
all non-integrated lamps. In this final rule, DOE adopts the proposed 
test procedures for time to failure for integrated and non-integrated 
CFLs to be used to determine lifetime.
c. Test Procedure for Rapid Cycle Stress Test
    In the July 2015 NOPR, DOE proposed test procedures for conducting 
rapid cycle stress testing for integrated and non-integrated CFLs. DOE 
proposed that test conditions, setup, and rapid cycle stress testing be 
as specified in IES LM-65-14, but retained the existing operating cycle 
for rapid cycle stress testing (i.e., CFLs must be cycled continuously 
with each cycle consisting of one 5-minute on period followed by one 5-
minute off period). 80 FR 45735. DOE did not propose any modifications 
to the rapid cycle stress test itself, but did propose modifications to 
rounding requirements (see section III.A.7), removal of test procedure 
language from the energy conservation standard

[[Page 59396]]

requirements (see section III.F.4), and modifications to sample size 
(see section III.H.2) for this test.
    DOE received comments that rapid cycle stress testing should not be 
applied to non-integrated CFLs. GE commented that rapid cycle stress 
testing should not apply to non-integrated CFLs because it is dependent 
on the ballast paired with the lamp. (GE, Public Meeting Transcript, 
No. 4 at pp. 140-142) OSI added that rapid cycle stress testing was 
designed to stress the ballast and not applicable to non-integrated 
CFLs. (OSI, No. 5 at pp. 2, 5) NEMA supported the test procedure for 
rapid cycle stress testing with the clarification that the test 
procedure should not apply to non-integrated CFLs. (NEMA, No. 9 at p. 
6) Philips also stated that non-integrated CFLs be excluded from rapid 
cycle stress test and questioned the energy savings aspects related to 
measuring rapid cycle stress test. (Philips, No. 6 at p. 3)
    In light of the comments received from interested parties, DOE 
evaluated its existing energy conservation standards and ongoing 
standards rulemakings as well as FTC Lighting Facts labeling and ENERGY 
STAR specifications and determined that rapid cycle stress testing of 
non-integrated CFLs is not required by any of these regulatory and non-
regulatory programs. Therefore, DOE is not adopting a test procedure 
for rapid cycle stress testing of non-integrated CFLs. DOE notes, 
however, that the existing standards for MBCFLs, the proposed standards 
in the March 2016 NOPR, and the ENERGY STAR Lamps Specification V2.0 
all contain a requirement for rapid cycle stress testing for MBCFLs. 
Therefore, DOE retains the test procedure for rapid cycle stress 
testing for integrated CFLs.
d. Test Procedure for Start Time
    In the July 2015 NOPR, DOE proposed a test procedure for measuring 
start time for integrated CFLs. In support of the proposed start time 
test method, DOE defined the terms ``start time,'' ``start plateau,'' 
and ``percent variability.'' DOE also proposed that the lamp be 
seasoned, stored at a certain temperature, and tested according to a 
certain operating procedure following the seasoning. 80 FR 45735-45736.
    DOE received comments regarding the applicability of the start time 
metric. NEMA, OSI, and Philips stated that start time is not related to 
energy efficiency and should not be part of the test procedure. (NEMA, 
No. 9 at pp. 6,8; OSI, No. 5 at p. 5; Philips, No. 6 at p. 3) NEMA and 
OSI stated that DOE should abandon the effort to create a test 
procedure for start time. (NEMA, No. 9 at p. 6; OSI, No. 5 at p. 5) GE, 
NEMA, Philips, and OSI stated that start time is not applicable to non-
integrated CFLs. (GE, Public Meeting Transcript, No. 4 at pp. 140-142; 
NEMA, No. 9 at p. 8; OSI, No. 5 at pp. 2,7; Philips, No. 6 at p. 3)
    In the March 2016 NOPR, DOE proposed a requirement for start time 
for MBCFLs that the lamp must remain continuously illuminated within 
one second of application of electrical power. 81 FR 14528, 14555 
(March 17, 2016). ENERGY STAR Lamps Specification V2.0 includes a 
requirement for start time. DOE notes that because the ongoing GSL 
rulemaking considered a start time metric for only integrated CFLs, the 
July 2015 NOPR proposed measuring start time for only integrated CFLs. 
80 FR 45736. In this final rule, DOE continues to specify that only 
integrated lamps must be tested for start time.
    DOE received several comments regarding the proposed definitions 
and test procedures for start time. The CA IOUs agreed with the 
proposed methods for start time outlined in the July 2015 NOPR. (CA 
IOUs, No. 7 at pp. 3-4) The EEAs stated that they supported DOE's test 
procedures for start plateau, percent variability, and start time as 
long as they are fully consistent with the ENERGY STAR test procedure 
for start time. (EEAs, No. 8 at p. 4)
    If DOE were to require measuring and reporting start time, OSI 
suggested using the ENERGY STAR procedure, which it stated is well 
understood. (OSI, No. 5 at p. 5) NEMA noted that although the ENERGY 
STAR test procedure for start time is well understood, it should not be 
required for lamps that are not ENERGY STAR certified. (NEMA, No. 9 at 
p. 6) Both Philips and Westinghouse commented that DOE's proposed start 
time procedure seemed overly complicated, and requested that DOE 
harmonize with or simply adopt the ENERGY STAR test procedure. 
(Philips, Public Meeting Transcript, No. 4 at p. 65; Westinghouse, 
Public Meeting Transcript, No. 4 at pp. 66-67)
    When developing the start time test procedure, DOE reviewed the 
August 2013 ``ENERGY STAR Program Requirements Product Specification 
for Lamps Version 1.0: Start Time Test Method.'' \15\ ENERGY STAR 
released ``ENERGY STAR Program Requirements for Lamps and Luminaires 
Start Time Test Method'' \16\ in September 2015 (hereafter ``ENERGY 
STAR Start Time Test Method''). For this final rule, DOE reviewed the 
latest version of the ENERGY STAR Start Time Test Methods and 
determined that the only differences between the two methods are the 
applicable products and referenced documents.\17\
---------------------------------------------------------------------------

    \15\ 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.
    \16\ ENERGY STAR[supreg] Program Requirements for Lamps and 
Luminaires Start Time Test Method. September 2015. https://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Start%20Time%20Test%20Method_1.pdf.
    \17\ The August 2013 ENERGY STAR Start Time Test Method applied 
to integrated CFLs and solid-state lighting (SSL) lamps. In 
contrast, the September 2015 ENERGY STAR Start Time Test Method 
applies to all integrated and externally ballasted CFLs, and SSL 
lamps, light engines, and luminaires. Both versions referenced IES 
LM-66, ``IES Approved Method for Electrical and Photometric 
Measurements of Single-Based Compact Fluorescent Lamps.'' However, 
the August 2013 ENERGY STAR Start Time Test Method referenced the 
2011 version of IES LM-66 and the latest version references the 2014 
version of IES LM-66.
---------------------------------------------------------------------------

    DOE determined that its proposed start time test method continues 
to align with the ENERGY STAR Start Time Test Method, while providing 
greater specificity in order to ensure consistency and reproducibility 
in measurements. (DOE also notes section 11.4 of ENERGY STAR Lamps 
Specification V2.0 references the DOE test procedure for compact 
fluorescent lamps (once final) for measuring start time of fluorescent 
lamps.) The following sections describe how the proposed definitions 
and test procedures for start time harmonize with the ENERGY STAR Start 
Time Test Methods as well as amendments to these proposals that provide 
further simplification and clarity.
Definitions
    In the July 2015 NOPR, DOE proposed definitions for the terms 
``start plateau,'' ``percent variability,'' and ``start time.'' 80 FR 
45754. DOE proposed to define the term ``start plateau'' 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. 80 
FR 45736. This definition aligns with ENERGY STAR's definition of 
``initial plateau'' as ``the point at which the average increase in the 
light output over time levels out (reduces in slope). This can be 
determined mathematically or visually based on the lamp output trace.''
    Both definitions are intended to describe a time interval in which 
the light output is relatively steady. ENERGY STAR does not specify the

[[Page 59397]]

method by which such a time interval should be quantitatively and 
objectively determined. In order to ensure consistent and reproducible 
measurements, DOE's proposed definition specifies the time period over 
which lumen output should be steady as 100 milliseconds and described 
the criteria for light output that must be met during this time period. 
DOE selected 100 milliseconds to evenly capture either 5 or 6 full 
cycles of the sampled waveform (for 50 or 60 Hz input voltage, 
respectively). 80 FR 45736. Section 5.4 of IES LM-28-12 states that by 
choosing the integrating time to be a multiple of the period of the 
line frequency (16.67 milliseconds for 60 Hz), for example, 100 
milliseconds (6 line cycles for 60 Hz and 5 line cycles for 50 Hz), the 
effect of flicker for either line frequency can be removed. Id.
    Regarding the criteria for determining stability of light output 
during the first 100 milliseconds, DOE proposed that the percent 
variability not exceed 5 percent and that the average measured lumen 
output over the time interval should be at least 10 percent of the 
measured initial lumen output. The first criterion is intended to 
quantify when the light output can be deemed ``stable.'' DOE determined 
that the criterion that the percent variability cannot exceed 5 percent 
is sufficient to capture a 100 millisecond interval in which light 
output is steady and subsequently determine an appropriate start time. 
The second criterion is intended to capture the time at which light 
output is first detected for a continuous period and ensure that light 
is actually being created from the lamp (e.g., a stable output of zero 
if the lamp fails to turn on is not acceptable).
    In re-evaluating the latter criterion, DOE found that requiring a 
specific threshold of light output is unnecessary for the start time 
metric. According to the test procedures established in this final 
rule, measured initial lumen output must be determined using the 
integrating sphere method. Therefore, for comparison purposes, the 
average lumen output in a 100 millisecond span that occurs during the 
initial operation of the lamp must also be determined using the 
integrating sphere method. However, DOE has determined that, due to the 
precision of the measurement, the integrating sphere may require 
reconfiguration and additional setup to measure the lumen output in the 
initial milliseconds of lamp operation. DOE has determined that 
including the latter criterion does not merit requiring a potentially 
complex test setup. Removing this criterion would allow for start time 
testing to be conducted using either an integrating sphere or non-
integrating sphere method such as a photodetector. Therefore, in this 
final rule, DOE defines ``start plateau'' to mean ``the first 100 
millisecond period of operation during which the percent variability 
does not exceed 5 percent.''
    To provide further clarity to the definition of ``start plateau,'' 
DOE proposed to define the term ``percent variability'' 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.'' 80 FR 45736.
    Because DOE is no longer requiring lumen measurements to determine 
start plateau, percent variability also does not have to be based on 
lumen output. Therefore, DOE is replacing the specification of lumen 
output measurements with light output values. Additionally, DOE is 
providing a clearer description of calculating a time-average of 
measured light output values. In summary, in this final rule, DOE is 
specifying ``percent variability'' to be ``the result of dividing the 
difference between the maximum and minimum values by the average value 
for a contiguous set of separate time-averaged light output values 
spanning the specified time period. For a waveform of measured light 
output values, the time-averaged light output is computed over one full 
cycle of sinusoidal input voltage, as a moving average where the 
measurement interval is incremented by one sample for each successive 
measurement value.''
    In the July 2015 NOPR, DOE proposed to define the term ``start 
time'' 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. 80 
FR 45754. ENERGY STAR defines start time as ``the time between the 
application of power to the device and the point where light output 
reaches 98% of the lamp's initial plateau.''
    GE commented that from the consumer's perspective the simplest 
definition for start time is the time between energizing the circuit 
and the first light output. GE added that the specification of 97 or 96 
percent of the plateau was not distinguishable. (GE, Public Meeting 
Transcript, No. 4 at pp. 68-70)
    ENERGY STAR Lamps Specification V2.0 describes start time as the 
time for a lamp to remain continuously illuminated after applying 
electrical power. DOE agrees that the start time metric is intended to 
capture the time of detection of first continuous light output. Hence, 
the 98 percent threshold is not necessary for representative 
measurements of start time. Therefore, in this final rule, DOE removes 
this element from the definition of start time. Additionally, DOE 
provides a clearer description of the point at which start time should 
be determined. In summary, DOE defines ``start time'' to mean ``the 
time, measured in milliseconds, between the application of power to the 
CFL and the beginning of the start plateau.''
Lamp Storage/Operating Cycle Post Seasoning
    In the July 2015 NOPR, DOE proposed that, after seasoning, units 
must be stored at 25  5 [deg]C ambient temperature for a 
minimum of 16 hours prior to testing, after which the ambient 
temperature must be 25  1 [deg]C for a minimum of 2 hours 
prior to testing. DOE also determined 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. 80 FR 45736. ENERGY STAR Start 
Time Test Method prescribes similar specifications with the time period 
characterized as 20  4 hours.
    During the public meeting for the July 2015 NOPR, OSI stated that 
16 hours after the lamp is seasoned before testing was atypical for its 
test laboratories and based on this schedule the time that testing 
could begin would be outside the normal work schedule. OSI added that 
the rationale for the 16 hours after seasoning was not well understood. 
(OSI, Public Meeting Transcript, No. 4 at pp. 73-74) During the public 
meeting, DOE noted that the proposed storage and operating cycle post 
seasoning requirements were consistent with ENERGY STAR. (DOE, Public 
Meeting Transcript, No. 4 at p. 75) OSI acknowledged the ENERGY STAR 
specification of the 16 hour period, but, stated that ENERGY STAR 
testing does not represent all of the testing that OSI conducts because 
not all of their products are submitted to ENERGY STAR. OSI elaborated 
they did not have a technical justification for or against the time 
period, but that it could be a potential cost burden. (OSI, Public 
Meeting Transcript, No. 4 at p. 74) Westinghouse Lighting 
(Westinghouse) added that the scheduling and

[[Page 59398]]

subsequent cost issues described by OSI are even more pronounced for 
them because they use an independent testing laboratory where not all 
Westinghouse products may be tested at the same time. (Westinghouse, 
Public Meeting Transcript, No. 4 at pp. 74-76)
    The proposed operating cycle ensures that the lamp has been 
seasoned and recently operated, but not so recently that elements in 
the recent operation of the lamp could directly affect start time. DOE 
does clarify in this final rule that the 3 hours that the unit must be 
operated after being off for more than 24 hours is a minimum of 3 
hours. This specification is mainly for clarification purposes; DOE 
does not find that operating the lamp for a longer period would affect 
the start time testing. Any units that have been off for more than 24 
hours must be operated for a minimum of 3.0 hours and then be turned 
off for 16 to 24 hours prior to testing. DOE notes that the range of 16 
to 24 hours in the off state provides an 8 hour range during which 
start time testing may begin, which should allow it to be conducted 
during normal working hours. Therefore, DOE adopts the proposed 
operating cycle and ambient temperature requirements described in this 
final rule.
Testing Methodology
    For test setup and conditions for measuring start time, DOE 
proposed in the July 2015 NOPR to reference IES LM-66-14 and IES LM-54-
12. 80 FR 45735-45736. DOE proposed to adopt the measurement circuit 
requirements as specified in section 5.2 of IES LM-66-14 and that lumen 
output measurements be taken as specified in section 6.3.1 of IES LM-
66-14. DOE also proposed to adopt seasoning specifications as provided 
in sections 4, 5, 6.1, 6.2.2.1of IES LM-54-12. 80 FR 45736. Further, 
DOE proposed that a multichannel oscilloscope with data storage 
capability be connected to record the input voltage to the CFL and its 
lumen output. DOE specified that the oscilloscope must be set to 
trigger at 10 V lamp input voltage, to have the vertical scale set at a 
vertical resolution that is 1 percent of measured initial lumen output 
or finer, and to be set to sample the lumen output waveform at a 
minimum rate of 2 kHz. Id.
    The proposed test setup and conditions generally align with those 
specified by ENERGY STAR. Section 4(B) of the ENERGY STAR Start Time 
Test Method references IES LM-66-14 and IES LM-54-12. Section 5.A(2) of 
the ENERGY STAR Start Time Test Method requires a multichannel 
oscilloscope with data storage capability and section 7.1(F) also 
requires to set the trigger level at 10 V. DOE's proposal for a minimum 
2 kHz sampling rate is also consistent with the ENERGY STAR requirement 
for flicker testing,\18\ and DOE understands that this requirement 
would also provide sufficient horizontal resolution for start time 
testing. DOE did not receive any comments specific to the proposed test 
setup and conditions for start time. In this final rule, DOE adopts the 
test setup and conditions as proposed in the July 2015 NOPR.
---------------------------------------------------------------------------

    \18\ 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%20 
Lamps%20V1%200%20Final%20 
Test%20Methods%20and%20Recommended%20Practices.pdf.
---------------------------------------------------------------------------

    In the July 2015 NOPR, DOE also proposed that upon the trigger for 
start time testing, the sampled lumen output waveform must be recorded 
until the measured lumen output has reached the start plateau. 80 FR 
45736. In addition, DOE proposed in the NOPR that the trace of full-
cycle lumen output must 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. Id. The 
August 2013 ENERGY STAR Start Time Test Method provides an example of a 
light output trace for compact fluorescent lamps. Aligning with ENERGY 
STAR, DOE's proposed steps provide specifics on recording such a light 
output trace and how time-averaged values from the light output trace 
should be calculated. Specifically, in this final rule, DOE states 
that, upon the trigger for start time testing, the sampled light output 
must be recorded until the start plateau (as defined in this section) 
has been determined. Additionally, in this final rule, to determine the 
``percent variability'' of light output in accordance with the start 
plateau definition, DOE requires calculation of a time-averaged light 
output value at least once every millisecond where each value 
represents the full-cycle interval in which it is centered. DOE further 
specifies that, for a waveform of measured light output values, the 
time-averaged light output is computed over one full cycle of 
sinusoidal input voltage, as a moving average where the measurement 
interval is incremented by one sample for each successive measurement 
value.
Lamp Orientation
    In the July 2015 NOPR, DOE proposed that all units be tested in the 
base up position, but that if the position is restricted by the 
manufacturer, units would be tested in the manufacturer specified 
position. 80 FR 45755. Section 5(H) of the September 2015 ENERGY STAR 
Start Time Test Method states the samples be tested in the 
orientation(s) as specified by the ENERGY STAR specification or 
manufacturer specified position if different. It should be noted that 
ENERGY STAR Lamps Specification V2.0 does not state the testing 
orientation in section 11.4, Start Time. However, for purposes of 
consistency, DOE proposed that all units for start time be tested in 
the base up position, but that if the position is restricted by the 
manufacturer, units must be tested in the manufacturer specified 
position. DOE did not receive any comments specific to lamp orientation 
for start time; and in this final rule adopts the sample unit 
orientation specification.
Hybrid Lamps
    In the July 2015 NOPR, DOE proposed measuring only integrated CFLs 
for start time, which would include hybrid lamps. 80 FR 45755. DOE also 
proposed that hybrid CFLs must be tested with all supplemental light 
sources turned off, if possible. 80 FR 45737.
    The EEAs cautioned that having the supplemental light source off 
during testing could yield inaccurate test results for start time 
testing. (EEAs, No. 8 at p. 3) NEMA requested the start time test 
procedure not apply to hybrid CFLs or to not require that the 
supplementary light source not be operating. (NEMA, No. 9 at p .7) GE 
also requested that hybrid CFLs be exempt from start time testing 
because it could lead to inaccurate results because one of the primary 
functions of hybrid CFLs is to allow for quicker start time through the 
supplemental light source. (GE, Public Meeting Transcript, No. 4 at pp. 
59-60)
    DOE has determined that hybrid lamps should not be exempt from the 
start time test procedure. The March 2016 NOPR proposes a start time 
metric for medium base CFLs. If a hybrid CFL meets the definition of 
medium base CFL, then the applicable standard applies to the hybrid 
CFL. Similarly, ENERGY STAR Lamps Specification V2.0 does not specify 
different start time requirements for hybrid CFLs. DOE determined that 
requiring the supplemental light source be off, if possible, is the 
most consistent manner in which the various combinations of primary and 
supplementary light sources in hybrid CFLs can be tested. Therefore, in 
this final rule, DOE retains the requirement that hybrid CFLs be tested 
for start time with the

[[Page 59399]]

supplemental light source turned off, if possible.
5. Test Procedures for New CFL Categories
a. Test Procedures for Integrated CFLs
    In the July 2015 NOPR, DOE proposed test procedures for integrated 
CFLs without exclusion of any base type. NEMA, OSI, and Philips 
requested that DOE exclude E12 \19\ and GU24-based integrated lamps 
from the test procedure. All three entities stated that lamps with 
these bases represented a small portion of the market. (NEMA, No. 9 at 
pp. 2,8; OSI, No. 5 at p. 7; Philips, No. 6 at p. 3) NEMA and OSI 
further stated that if a particular lamp has the same technical 
specifications across lamps with medium, E12, and GU24 base types, then 
DOE should only require testing on MBCFLs. NEMA and OSI argued that 
base type does not have any effect on lamp performance. (NEMA, No. 9 at 
pp. 2, 6; OSI, No. 5 at pp. 2, 5)
---------------------------------------------------------------------------

    \19\ DOE defines a candelabra base incandescent lamp in 10 CFR 
430.2 as a lamp that uses a candelabra screw base as described in 
ANSI C81.61, Specifications for Electric Bases, common designations 
E11 and E12 . The base is not specific to the light source, 
therefore a candelabra base lamp can be either an E11 or E12 base.
---------------------------------------------------------------------------

    Regarding the applicability of the test procedure to integrated 
lamps with certain base types, DOE notes that the March 2016 NOPR 
proposed standards for GU24 base integrated lamps. 81 FR 14551. 
Further, CFLK standards with required compliance in 2019 are applicable 
to CFLKs packaged with CFLs of all base types. As both of these 
standards will be supported by this test procedure, DOE is obligated to 
establish test procedures for CFLs of all base types for the applicable 
metrics addressed in those rules. Therefore, in this final rule, DOE 
does not exclude E12 and GU24-base lamps from the test procedures for 
integrated CFLs.
    Regarding lamps that have the same technical specifications, 
manufacturers must submit represented values of required metrics for 
each basic model before distribution in commerce. 10 CFR 429.12(a). 
Represented values of measures of energy efficiency or energy 
consumption must be the same for all individual models represented by a 
given basic model. 10 CFR 429.11(a). However, DOE provides 
manufacturers with the flexibility to group individual models into 
basic models for the purposes of certification to DOE, provided that 
all representations regarding the energy efficiency or energy 
consumption of CFLs within that basic model are identical and based on 
the most consumptive unit. See 76 FR 12422, 12423 (March 7, 2011). 
Therefore, it may be possible to group lamps that have the same 
technical specifications but different base types into the same basic 
model. However, all representations within a basic model must have 
essentially identical electrical, physical, and functional 
characteristics that affect energy efficiency (see definition of basic 
model per 10 CFR 430.2). Accordingly, CFLs that are in separate product 
classes and thereby subject to separate standards (e.g., integrated and 
non-integrated CFLs) cannot be grouped in the same basic model. Also, 
DOE does not believe it is appropriate to group models of lamps that 
have different testing methods as defined in Appendix W into the same 
basic model as they will not have essentially identical electrical 
characteristics.
b. Test Procedures for Non-Integrated CFLs
    In the July 2015 NOPR, DOE proposed test procedures for non-
integrated CFLs. Specifically, DOE proposed adopting section 5.2 of IES 
LM-66-14 for electrical and photometric testing of non-integrated CFLs, 
which specifies procedures for determining initial lamp efficacy, lumen 
maintenance at 40 percent of lifetime, CRI, and CCT. 80 FR 45737. To 
ensure repeatable and consistent measurements, DOE proposed that non-
integrated CFLs must be tested using the appropriate reference ballasts 
as provided in section 5.2 of IES LM-66-14, which specifies using 
reference ballasts specifications listed in ANSI C78.901-2014, 
``American National Standard for Electric Lamps--Single-Based 
Fluorescent Lamps--Dimensional and Electrical Characteristics,'' 
(hereafter ``ANSI C78.901-2014''). Id.
    NEMA and OSI agreed with referencing ANSI C78.901-2014 to identify 
reference ballasts for non-integrated CFLs, but also stated that 
industry only has experience using reference ballasts for photometry. 
(NEMA, No. 9 at pp. 6-7; OSI, No. 5 at pp. 5-6) Reference ballast 
characteristics provide the necessary functionality to operate a non-
integrated CFL and a standardized and consistent method of testing non-
integrated CFLs. DOE does not find any technical reason why reference 
ballasts cannot be used for non-photometric measurements. Therefore, in 
this final rule, DOE requires using reference ballast specifications in 
ANSI C78.901-2014 to test non-integrated CFLs for all measurements.
    In the July 2015 NOPR, DOE noted that certain non-integrated CFL 
designs do not have reference ballast specifications listed in ANSI 
C78.901-2014. For these lamp designs, DOE proposed reference ballast 
specifications. In cases where there are no reference ballast 
specifications for a lower wattage CFL, DOE proposed the reference 
ballast specifications of the corresponding full wattage version, if 
they existed. For all other cases, DOE developed reference ballast 
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. 80 FR 45737. For any 
non-integrated CFLs that do not have a reference ballast listed in ANSI 
C78.901-2014 and for which DOE has not specified reference ballast 
characteristics in appendix W, DOE also specified two principles that 
must be employed to determine the appropriate reference ballast 
specifications. For such a lamp, DOE specified that, manufacturers must 
use the specifications in ANSI C78.901 2014 for the higher wattage lamp 
for which it is a replacement; otherwise, use the specifications in 
ANSI C78.901 2014 for a lamp with the most similar shape, diameter, and 
base specifications, and next closest wattage. OSI agreed with DOE's 
proposal to address lamps for which reference ballast characteristics 
are not specified. (OSI, No. 5 at pp. 5-6) In this final rule, DOE is 
also specifying the appropriate frequency along with the reference 
ballast values of current, impedance, and voltage.
    To specify a consistent set of testing procedures for non-
integrated CFLs, in the July 2015 NOPR, DOE proposed several 
clarifications and specifications regarding the circuits on which the 
lamps must be tested. 80 FR 45737. DOE proposed to test non-integrated 
CFLs rated for operation on a choice of low frequency or high frequency 
circuits at low frequency only. Id.
    GE, NEMA, and OSI stated they were unaware of any dual-frequency 
reference ballast specifications. (GE, Public Meeting Transcript, No. 4 
at pp. 56-57; NEMA, No. 9 at pp. 6-7; OSI, No. 5 at p. 6) NEMA and OSI 
suggested that DOE require testing at the manufacturer-specified 
frequency. (NEMA, No. 9 at pp. 6-7; OSI, No. 5 at p. 6) GE stated that, 
because these products are operating at high frequency in application, 
testing them at low frequency reference conditions when high frequency 
reference conditions are available would misrepresent their efficacy. 
(GE, Public Meeting Transcript, No. 4 at pp. 56-57)
    As noted previously, in order to establish a set of consistent

[[Page 59400]]

specifications and conditions and to follow industry standards for 
testing non-integrated CFLs, in this final rule, DOE is requiring the 
use of ANSI C78.901-2014 for reference ballast values per IES LM-66-14. 
There are certain lamps for which ANSI C78.901-2014 provides details 
for both low and high frequency operation. For example, a 36 W T5 
single-based fluorescent lamp on datasheet 78901-ANSI-4019-1 provides 
reference ballast characteristics for low frequency operation and also 
information on high frequency ballast design. Manufacturers must use 
the values designated as ``reference ballast characteristics'' when 
testing lamps. If more than one set of values is designated as 
``reference ballast characteristics,'' then manufacturers must use the 
values designated for low frequency operation. DOE reviewed the 
reference ballast specifications for non-integrated CFLs and found that 
the majority are specified for low frequency operation. Therefore, in 
this final rule, in order to maintain consistency and comparability 
across testing, DOE continues to require operating on low frequency 
where reference ballast characteristics for both low and high frequency 
operation are provided.
    DOE also proposed in the July 2015 NOPR that non-integrated CFLs 
rated for multiple circuits including rapid start (i.e., rapid start 
and either preheat start or instant start) be tested on rapid start 
circuits when rapid circuits are an option to ensure consistent 
measurements. 80 FR 45737.
    NEMA and OSI disagreed with the requirement to use rapid start 
circuits. Both NEMA and OSI stated that rapid start circuits have not 
typically been used in testing of non-integrated CFLs and expressed 
concerns regarding how the testing would relate to certification, 
compliance, and enforcement. (NEMA, No. 9 at pp. 6-7; OSI, No. 5 at p. 
6) GE indicated that a rapid start circuit would include cathode heat 
while use of a programmed start circuit would exclude cathode heat. GE 
explained that testing without cathode heat is the most representative 
of the current applications. GE further added that including cathode 
heat would decrease the apparent lamp efficacy, and not be reflective 
of how the product is used. (GE, Public Meeting Transcript, No. 4 at 
pp. 56-58)
    In reviewing the reference circuits specified for lamps, DOE has 
decided to modify its proposed specifications for reference circuits on 
which non-integrated CFLs must be tested in this final rule. In the 
July 2015 NOPR, DOE proposed to specify that a rapid start reference 
circuit be used when a non-integrated CFL is rated for multiple 
circuits in order to establish a consistent set of test specifications. 
In preparation for this final rule, DOE reviewed the reference ballast 
specifications for non-integrated CFLs and found that most lamps are 
rated for preheat circuits. DOE found that if a lamp was rated for 
multiple circuits, further specifications still may be needed to 
indicate the circuit to use for testing. If a lamp is rated for 
operation on both a preheat and high frequency circuit, the reference 
ballast characteristics provided describe low frequency operation and 
therefore the lamp must be tested on the low frequency preheat circuit. 
If a lamp is rated for operation on both a preheat and rapid start 
circuit, DOE is specifying in this final rule that the lamp be tested 
on the preheat circuit in order to maintain consistency and 
comparability across testing.
    In this final rule, DOE is not adopting test procedures for lumen 
maintenance at 1,000 hours or rapid cycle stress test for non-
integrated CFLs, as these metrics are not being evaluated for inclusion 
in, nor are they currently required by, any DOE energy conservation 
standards, FTC Lighting Facts labeling requirements, or ENERGY STAR 
program requirements. Therefore, in this final rule, DOE adopts test 
procedures for initial lamp efficacy, lumen maintenance at 40 percent 
of estimated lifetime, lifetime, CRI, and CCT for non-integrated CFLs.
c. Test Procedures for Hybrid CFLs
    In the July 2015 NOPR, DOE proposed establishing a test procedure 
to measure the applicable metrics for hybrid CFLs in appendix W. That 
is, DOE proposed that the same test procedures for integrated CFLs 
would be applicable to hybrid CFLs, with a few minor clarifications 
regarding the configuration and operation of hybrid CFLs during 
testing. 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 proposed 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. 80 FR 45737-45738. 
NEMA and OSI proposed the definition of ``a compact fluorescent lamp 
that incorporates one or more supplemental light sources of different 
technology, such as halogen or LED, which are energized and operated 
independently and may or may not operate simultaneously.'' (NEMA, No. 9 
at p. 7; OSI, No. 5 at p. 6) OSI stated that there are different types 
of hybrid lamps where either the main or the supplemental light source 
operates or both the main and supplemental light sources operate. OSI 
requested that both the definition and related test procedures address 
these different possible configurations of hybrid lamps. (OSI, Public 
Meeting Transcript, No. 4 at p. 59)
    DOE reviewed the definition suggested by NEMA and OSI and notes 
that there is significant overlap between DOE's proposed definition and 
the alternate definition. Both definitions contain a reference to a CFL 
as well as supplemental technologies. DOE finds that the example ``such 
as halogen or LED'' is not necessary, as the DOE's proposed definition 
specifies that the supplemental light sources would be of ``different 
technology.'' Further providing such examples may be misinterpreted by 
some users to limit the types of applicable supplementary sources. NEMA 
and OSI's other suggestion of ``which are energized and operated 
independently and may or may not operate simultaneously'' identifies 
potential operating configurations of the supplementary light sources. 
By not specifying any configurations for the operation of the 
supplementary light source, DOE's proposed definition does not exclude 
the configurations mentioned by NEMA and OSI or any others. DOE's 
proposed definition is also consistent with industry definitions of 
other hybrid technologies such as a hybrid LED luminaire as defined in 
IES RP-16-10, which also does not identify the operating parameters of 
the different light sources. For these reasons, DOE retains the 
proposed definition from the July 2015 NOPR of the term ``hybrid 
compact fluorescent lamp'' as meaning a CFL that incorporates one or 
more supplemental light sources of different technology. DOE believes 
that this is consistent with the definition suggested by interested 
parties, but is more general and leaves less room for misinterpretation 
of specific examples or operating parameters.
    In the July 2015 NOPR, DOE proposed a test procedure for hybrid 
CFLs where the supplemental light source is off (if possible) and the 
lamp stabilized. Id. In response to the proposal, the EEAs encouraged 
DOE to incorporate language defining a not-to-exceed time to 
stabilization prior to taking measurements to prevent extended periods 
of operation of secondary sources. (EEAs, No. 8 at p. 3)
    DOE's test procedure for hybrid CFLs requires that the 
supplementary source be turned off before initiating testing. In the 
cases where supplementary source cannot be turned off, the lamp must 
adhere to stabilization criteria as

[[Page 59401]]

specified in section 6.2.1 of IES LM-66-14. This stabilization criteria 
involves a series of time-related measurements to determine stable 
light output and electrical usage. Although the supplementary source 
may have some effect on the stabilization time, it is more important 
that the lamp achieve stabilization per an established criterion in 
order to obtain accurate measurements. Further, the determination of a 
stable light output will likely be predominantly influenced by the CFL, 
which is the primary source of light. Therefore, in this final rule, 
DOE is not adding a not-to-exceed time for stabilization for taking 
measurements of hybrid CFLs.
    NEMA was supportive of DOE's proposed test procedure for hybrid 
lamps. However, NEMA requested that start time not apply to hybrid 
CFLs. NEMA added that if start time testing was required for hybrid 
CFLs, the supplementary light source should be turned on. NEMA agreed 
with DOE's proposal to test hybrid CFLs as non-hybrid CFLs (that is 
with only the CFL source active) for any measurements besides start 
time. (NEMA, No. 9 at p. 7) The EEAs disagreed with DOE's proposal that 
hybrid lamps be tested for efficacy with the supplemental light source 
turned off. The EEAs argued that having the supplemental light source 
off during testing could yield inaccurate test results for both start 
time testing and energy efficiency. (EEAs, No. 8 at p. 3) DOE addressed 
start time testing in section III.A.4.d. DOE disagrees with the EEAs 
that testing hybrid CFLs with the supplemental light source off (when 
possible) would yield inaccurate results for energy efficiency. Testing 
the hybrid CFL with only the CFL light source operating (when possible) 
would yield comparable efficacy measurements across basic models of 
CFLs. Further, based on a review of available hybrid CFLs, DOE has 
determined that many supplemental light sources turn off automatically 
or will likely be turned off during normal operation (such as when the 
supplemental light source is intended to be a night light). Thus, DOE's 
test procedure is representative of lamp operation under normal 
conditions.
    In this final rule, DOE adopts a requirement that hybrid CFLs must 
be tested with all supplemental light sources turned off, if possible, 
and that the lamp be stabilized in the operating mode that corresponds 
to its primary light source, according to test procedures for CFLs in 
appendix W.
6. Test Procedure for Standby Mode Energy Consumption
    In the July 2015 NOPR, DOE proposed a test procedure to measure 
standby mode energy consumption for integrated CFLs, where applicable, 
in appendix W. 80 FR 45738. 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))
    DOE research indicated that some integrated CFLs include controls, 
and that these CFLs can operate in standby mode but not off mode. DOE 
did not find any non-integrated CFLs capable of operation in standby 
mode or off mode, and understands that any such circuitry would likely 
be found in the ballast rather than the lamp. Therefore, in the July 
2015 NOPR, DOE proposed that standby mode power be measured only for 
integrated CFLs that are capable of standby mode operation. 80 FR 
45738.
    For integrated CFLs, DOE proposed that standby mode power be 
measured in accordance with IEC 62301. DOE also proposed to approve IEC 
62301, which is already incorporated by reference in 10 CFR 430.3, for 
incorporation into appendix W. DOE proposed that, when measuring 
standby power for integrated CFLs, the test conditions and setup must 
be as prescribed in IEC 62301, except for ambient temperature and 
ambient airflow. Instead, DOE proposed to prescribe the ambient 
temperature and ambient airflow requirements in IES LM-66-14 to 
minimize differences between test procedures for active mode and 
standby mode. DOE proposed to season lamps in the same manner as test 
procedures for the other applicable CFL metrics, as described in 
section III.A.2.e, and to measure standby mode power as prescribed in 
section 5 of IEC 62301. Finally, DOE proposed that standby mode be 
initiated when the integrated CFL is connected to the power supply and 
lumen output is set to zero via remote or other wireless/sensor 
control. 80 FR 45738.
    NEMA and OSI commented that, according to the definition proposed 
in the July 2015 NOPR, CFLs operate in the off mode when switched off. 
They also stated that off mode consumes no power nor produces any 
function. (NEMA, No. 9 at p. 7; OSI, No. 5 at p. 6)
    DOE determined that it is not possible for CFLs to meet the off 
mode criteria because there is no condition in which a CFL is connected 
to main power and is not already in a mode accounted for in either 
active or standby mode. That is, DOE is not aware of any CFLs that, 
when provided with power, are not operating in active mode (i.e., 
illuminated) or standby mode (i.e., facilitating the activation or 
deactivation of active mode via remote switch, internal sensor, or 
timer). In response to the specific example raised by NEMA and OSI, a 
CFL that is switched off is not connected to a main power source 
because the circuit is disrupted at the switch and thus power is not 
being provided to the CFL. Therefore, in this final rule, DOE retains 
the position that CFLs do not operate in off mode and has not 
considered test procedures for such modes of operation.
    NEMA, Philips, and OSI also requested that DOE explicitly exclude 
CFLs that are not designed with standby operation from standby mode 
power measurements. (NEMA, No. 9 at p. 7; OSI, No. 5 at p. 6; Philips, 
No. 6 at p. 4) DOE agrees with NEMA, OSI, and Philips that only 
integrated CFLs capable of operating in standby mode should be tested 
for standby mode energy consumption. In the July 2015 NOPR, DOE 
proposed regulatory language for measuring standby power in appendix W 
that stated standby mode energy consumption should be measured only for 
integrated CFLs that are capable of standby mode operation. 80 FR 
45755. For further clarity, in the final rule DOE has moved this 
instruction to the beginning of the regulatory text for the standby 
mode test procedure in appendix W.
    DOE received comments from CA IOUs to harmonize testing for standby 
mode operation with the LED lamps test procedure.\20\ (CA IOUs, No. 7 
at pp. 4-5) The CA IOUs wanted to ensure that lamps capable of 
operation in network mode were tested in network mode. (CA IOUs, No. 7 
at pp. 4-5) Specifically, CA IOUs requested that DOE define network 
mode and suggested that if a product is designed to be connected to a 
wireless network in order to fully operate, then the test procedure 
should specify that the lamp is to be connected to the network before 
testing begins. Connected lamps may require the use of an external 
control system or hub to serve as a communication point between the 
lamp and end user, and the CA IOUs asked DOE to specify a maximum 
permissible distance the control system can be from the lamp during 
testing. (CA IOUs, No. 7 at pp. 4-5) The EEAs were supportive of the

[[Page 59402]]

CA IOUs comments. (EEAs, No. 8 at pp. 5-6)
---------------------------------------------------------------------------

    \20\ Information regarding the Light-Emitting Diode Lamps Test 
Procedure Rulemaking can be found on regulations.gov, docket number 
EERE-2011-BT-TP-0071 at www.regulations.gov/#!docketDetail;D=EERE-
2011-BT-TP-0071.
---------------------------------------------------------------------------

    DOE agrees that the test procedure needs additional detail to 
specify that lamps capable of operation in standby mode must remain 
connected to the external wireless network through the entirety of the 
test for standby mode energy consumption. If the lamp becomes 
disconnected, the lamp may exit standby mode or otherwise have its 
power draw affected, which would yield inaccurate test results. 
Therefore, in this final rule DOE is adding detail to section 4 of 
appendix W to specify that integrated CFLs capable of connecting to a 
communication network must be connected to the network prior to testing 
and must remain connected throughout the duration of the test. DOE did 
not specify a maximum distance the integrated CFL can be from the 
control system or hub during testing because DOE believes the 
requirement for the integrated CFL to remain connected throughout the 
entire duration of the test ensures that, if an integrated CFL is moved 
to a distance such that it disconnects from the communication network, 
the test results would be invalid.
    CA IOUs also commented that connected lamps may experience cycles 
or power fluctuations when lamps are communicating with the wireless 
network, and requested the test procedure provide instructions to 
account for this in an average power metric over a minimum 5-minute 
test duration. (CA IOUs, No. 7 at pp. 4-5) The EEAs were supportive of 
the CA IOUs comments. (EEAs, No. 8 at pp. 5-6)
    DOE is requiring that standby mode measurements be taken as 
specified in section 5 of IEC 62301. DOE notes that section 5 of IEC 
62301 gives manufacturers the flexibility to choose the measurement 
method that best applies to the nature of their products' power supply. 
Further, each of the methods available for use in IEC 62301 specifies 
that the product must have test durations of at least 10 minutes, which 
is an adequate test duration to ensure wattage fluctuations have been 
recorded. IEC 62301 also states that data collection at equal intervals 
of 0.25 seconds or faster is recommended for loads that are unsteady or 
where there are any regular or irregular power fluctuations. DOE finds 
that the measurement instructions provided in section 5.0 of the IEC 
62301 appropriately account for any potential power fluctuations, and 
is not specifying additional instructions regarding measurement of 
standby mode power.
    In addition, DOE is clarifying in this final rule that standby mode 
testing must be conducted prior to testing for time to failure. DOE is 
also clarifying that ambient conditions, power supply, electrical 
settings, and instrumentation must be the same as used for active mode 
testing. These clarifications are intended to ensure that test 
conditions will be as consistent as possible.
7. Rounding Values
    In the July 2015 NOPR, DOE proposed amending certain rounding 
requirements for existing metrics, as DOE found the existing rounding 
requirements for individual units in a given test sample to be 
inconsistent with the required standard level for some metrics. For 
example, although final values for lumen maintenance at 1,000 hours and 
lumen maintenance at 40 percent of lifetime must be rounded to whole 
numbers, existing standards for lumen maintenance at 1,000 hours (90.0 
percent) and lumen maintenance at 40 percent of lifetime (80.0 percent) 
are specified to the tenth of a percent in 10 CFR 430.32(u). In the 
July 2015 NOPR, DOE also proposed to move the rounding requirements 
from appendix W to 10 CFR 429.35. 80 FR 45738.
    DOE noted in the July 2015 NOPR that the rounding requirements for 
lumen maintenance measurements are to the nearest tenth for integrated 
CFLs, and proposed the same requirement for non-integrated CFLs. Id. 
Both NEMA and OSI recommended that lumen maintenance be rounded to the 
nearest whole number. (NEMA, No. 9 at p. 8; OSI, No. 5 at p. 7) NEMA 
further stated that rounding lumen maintenance to the nearest tenth of 
a percent is not practical or meaningful. (NEMA, No. 9 at p. 8) DOE 
notes that the lumen maintenance value of the standard is to the tenth 
of a percent and was established in the 2006 rule that adopted 
standards for MBCFLs. 71 FR 71340, 71369 (Dec. 8, 2006). DOE 
understands that at least 3 significant figures are required in both 
the numerator (maintained lumens) and denominator (initial lumens) to 
yield 3 significant figures for lumen maintenance values. DOE reviewed 
product catalogs currently published by OSI and several other CFL 
manufacturers and determined that lumen output values are often 
reported to 3 or 4 significant figures. Therefore, DOE has concluded 
that it is possible to determine lumen maintenance to the nearest tenth 
of a percent. To align with existing standards, in this final rule, DOE 
provides in 10 CFR 429.35 that lumen maintenance at 1,000 hours and 
lumen maintenance at 40 percent of lifetime must be rounded to the 
nearest tenth of a percent.
    In the July 2015 NOPR, DOE proposed that lifetime of a CFL be 
rounded to the nearest hour and that these requirements be located in 
10 CFR 429.35. 80 FR 45738. Both NEMA and OSI argued that lifetime 
should be rounded to two significant digits. (NEMA, No. 9 at p. 8; OSI, 
No. 5 at p. 7) NEMA further stated that expressing lifetime to the 
nearest hour is meaningless, as the uncertainty in an individual time-
to-failure measurement is much larger than 1 hour. (NEMA, No. 9) 
However, rounding to the nearest whole hour is consistent with the unit 
of time used for lifetime metrics for other lamp technologies, such as 
LED,\21\ and is a level of accuracy a laboratory is capable of 
measuring with a standard time-keeping device. In this final rule, DOE 
adopts a rounding requirement to the nearest whole hour for lifetime. 
DOE notes that manufacturers can make representations of lifetime to 
the nearest two significant digits provided that the value is lower 
than the actual measured lifetime when rounded to the nearest hour 
(i.e., manufacturers are reporting a conservative value for lifetime).
---------------------------------------------------------------------------

    \21\ See LED final rule test procedure. 81 FR 43404 (July 1, 
2016).
---------------------------------------------------------------------------

    DOE did not receive any comments on the proposal to round initial 
lamp efficacy values to the nearest tenth of a lumen per watt, input 
power to the nearest tenth of a watt, lumen output to three significant 
digits, or rapid cycle stress values to whole numbers. Therefore, in 
this final rule, DOE adopts these requirements.
    Additionally, in the July 2015 NOPR, DOE proposed rounding 
requirements for new proposed metrics of CRI, CCT, start time, standby 
mode power, and power factor based on industry standard reporting 
precision, as determined based on a review of manufacturer catalogs. 
DOE also proposed locating those rounding requirements in 10 CFR 
429.35. 80 FR 45738. DOE did not receive any comments related to this 
proposal. Therefore, in this final rule, DOE adopts the rounding 
requirements for these metrics as proposed in the July 2015 NOPR, 
specifically: CRI be rounded to the nearest whole number; start time be 
rounded to the nearest whole number in milliseconds; CCT be rounded to 
the nearest 100 K; standby mode power rounded to the nearest tenth of a 
watt; and power factor be rounded to the nearest hundredths place.

[[Page 59403]]

B. Amendments to Definitions at 10 CFR 430.2

1. Compact Fluorescent Lamp
    In the July 2015 NOPR, DOE proposed to add a definition of 
``compact fluorescent lamp'' in 10 CFR 430.2. 80 FR 45738-45739. DOE 
reviewed its definitions for other lighting products and considered the 
existing definition of the term ``fluorescent lamp'' at 10 CFR 430.2 as 
a basis for its definition of ``compact fluorescent lamp.'' DOE also 
consulted the current IES definition of ``compact fluorescent lamp'' 
contained in IES RP-16-10 and the description of compact fluorescent 
lamps in IES LM-66-14, which includes elements of the lamp 
characteristics and discusses elements of light output generation. 
During the public meeting for the July 2015 NOPR, OSI inquired why DOE 
did not adopt the IES RP-16-10 definition rather than developing a 
novel definition for compact fluorescent lamp. (OSI, Public Meeting 
Transcript, No. 4 at pp. 16-20) Lucidity Lights stated that IES labors 
over the exact wording in definitions and also encouraged DOE to use 
the exact wording in IES RP-16-10. (Lucidity Lights, Public Meeting 
Transcript. No. 4 at p. 22) Both NEMA and OSI also recommended that DOE 
use definitions from or reference IES RP-16-10. (NEMA, No. 9 at p. 5; 
OSI, No. 5 at pp. 2-3) NEMA stated that the proposed definition for CFL 
was technically correct, but raised concern that it expanded the scope 
of the definition. (NEMA, No. 9 at p. 8)
    DOE appreciates the work that members of the IES did in developing 
the definitions in IES RP-16-10. DOE reviewed IES RP-16-10 and IES LM-
66-14 in developing this final rule. DOE considered: (1) Use of the 
term fluorescent lamp; (2) tube diameter; (3) general features (i.e., 
amalgam, cold chamber); (4) lamp geometry; and (5) base specification 
and lamp configuration in the definition. The following paragraphs 
provide additional details on each of these elements.
    The definition of CFL in section 6.5.6.1.4 of IES RP-16-10 includes 
the phrase ``a fluorescent lamp with . . .'' DOE cannot use this 
element in 10 CFR 430.2 to define a CFL because 10 CFR 430.2 already 
defines the term fluorescent lamp, which establishes a fluorescent lamp 
as a low pressure mercury electric-discharge source in which a 
fluorescent coating transforms some of the ultraviolet energy generated 
by the mercury discharge into light, and is limited to six specific 
lamps, all of which are longer than 22 inches and are double ended. If 
DOE adopted a definition of CFL that contained the term ``fluorescent 
lamp,'' it would include these large lamp lengths and base 
configurations that are not CFLs.
    The definition of CFL in IES RP-16-10 also specifies that the 
diameter of the lamp's tube must be less than or equal to that of a T5. 
However, DOE's review of ANSI standards and manufacturer's lamp 
marketing materials indicated that there are CFLs with tube diameters 
greater than T5. Specifically, ANSI C78.901-2014 includes within their 
list of data sheets a handful of ``square'' shaped CFLs that are listed 
with a corresponding T6 tube diameter. DOE also found manufacturer data 
sheets of lamps greater than T5 in diameter that were single-ended and 
folded or bent fluorescent lamps and characterized as CFLs. Therefore, 
DOE determined that diameter could be a limiting specification that may 
exclude lamps that should be categorized as CFLs. Therefore, in this 
final rule, DOE does not include specification of the tube diameter in 
the definition of ``compact fluorescent lamp.''
    The IES RP-16-10 definition also states that the lamp designs 
generally include amalgam and a cold chamber, or a cold spot, to 
control the mercury vapor pressure and light output. These features are 
general and not distinctive for all CFLs. Therefore, in this final 
rule, DOE does not include this description in the definition of 
``compact fluorescent lamp.''
    The IES RP-16-10 definition of ``compact fluorescent lamp'' 
specifies that tube construction must be glass and describes the 
configuration of the glass tube as folded, bent, or bridged to create a 
long discharge path. The IES LM-66-14 description of fluorescent lamps 
notes that a fluorescent lamp can be made compact in two ways. 
Fluorescent lamps with electrodes (typically long, tubular lamps) can 
be made compact by folding the tube one or more times or spiraling it 
in a helix in such a way that both electrodes are configured to have 
one connection, leading to single base construction. IES LM-66 also 
notes that induction-driven electrodeless fluorescent lamps are compact 
because the discharge current is required to form a closed loop inside 
the structure. Because fluorescent lamps with a compact size do not 
necessarily include a glass tube with a specific geometry, DOE does not 
add such a description to the definition of ``compact fluorescent 
lamp.''
    Both of the introductory sections of IES LM-65-14 and LM-66-14 
discuss that there are two types of CFLs: Integrated and non-
integrated. Further, the titles of both IES LM-65-14 and LM-66-14 
contain the phrase ``single-based.'' DOE agrees with these IES 
documents in the importance of clarifying that CFLs are integrated or 
non-integrated and single-based. Therefore, DOE retains those terms in 
the definition of ``compact fluorescent lamp'' adopted in this final 
rule. IES LM-66-14 also specifically excludes U-shaped and circline 
fluorescent lamps from its CFL definition. DOE agrees with IES LM-66-14 
that U-shaped and circline lamps are not CFLs. Therefore, to ensure 
such lamps are not inadvertently misclassified, DOE also retains these 
exclusions in the definition of ``compact fluorescent lamp'' adopted in 
this final rule.
    In summary, DOE has incorporated language from IES RP-16-10 and IES 
LM-66-14 that helps clearly define CFLs without erroneously excluding 
or including lamps. In this final rule, DOE defines a compact 
fluorescent lamp (CFL) 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; the term does not include circline or U-
shaped lamps.
2. Correlated Color Temperature
    In the July 2015 NOPR, DOE proposed modifying the definition of 
``correlated color temperature'' in 10 CFR 430.2 by adding the 
abbreviation ``CCT.'' DOE explained that a similar abbreviation exists 
in 10 CFR 430.2 for the definition of color rendering index or CRI. The 
abbreviation ``CCT'' is widely used in industry as well as by ENERGY 
STAR and in 10 CFR part 430, subpart B, appendix R. 80 FR 45739.
    Both NEMA and OSI submitted written comments in support of the 
proposed change. (NEMA, No. 9 at p. 8; OSI, No. 5 at p. 7) OSI also 
suggested that DOE harmonize the definition with IES RP-16-10. (OSI, 
Public Meeting Transcript, No. 4 at pp. 16-19) Section 4.6.4.2 of IES 
RP-16-10 defines ``correlated color temperature of a light source'' as 
the absolute temperature whose chromaticity most nearly resembles that 
of the light source. Other than the added abbreviation of ``or CCT'' 
and the phrase ``of a light source,'' DOE's definition (defined by 
EPCA) is the same as IES RP-16-10. Therefore, in this final rule, DOE 
adopts the abbreviation ``CCT'' into the term ``correlated color 
temperature'' and makes no other changes to the definition.

[[Page 59404]]

3. Lifetime of a Compact Fluorescent Lamp
    DOE proposed to define ``lifetime of a compact fluorescent lamp'' 
in 10 CFR 430.2 as the time to failure of 50 percent of the sample size 
(as defined and calculated in 10 CFR 429.35(a)(1)) in accordance with 
the test procedures described in section 3.3 of appendix W. 80 FR 
45733.
    NEMA and Philips raised concerns that replacing ``average rated 
life'' with ``lifetime of a compact fluorescent lamp'' might result in 
unintended consequences; specifically, lumen maintenance of a lamp 
could not be determined until the lamp's lifetime is known. (NEMA, No. 
9 at pp. 4-5; Philips, No. 6 at p. 4) DOE addresses lumen maintenance 
measurements in section III.A.4.a.
    NEMA proposed replacing ``average rated life'' with ``rated life,'' 
noting that the latter term appears in the CFR and is similar to the 
term ``rated lamp life'' defined in ``Nomenclature and Definitions for 
Illuminating Engineering'' from the IES (IES RP-16). NEMA stated the 
determination of lifetime should be independent of a specific sample 
size and allow for the use of more stable statistical estimators of the 
population median value than failure of 50 percent of the sample. 
Therefore, NEMA recommended that DOE define ``rated life'' as median 
time to failure of the population of CFLs. For further support, NEMA 
stated that EPCA defines ``life'' and ``lifetime'' as the length of 
operating time of a statistically large group of lamps between first 
use and failure of 50 percent of the group. NEMA also cited the IES 
Lighting Handbook which states in section 13.3 that for incandescent, 
fluorescent, and HID lamps, rated lamp life is the total operating time 
at which, under normal operating conditions, 50% of any large group of 
initially installed lamps is expected to have failed. This is a 
statistically determined estimate of the median operational life. NEMA 
stated that by adopting the definition in the IES Lighting Handbook, 
DOE would indicate that the lifetime is the median value of a large 
group of lamps and is statistically determined. NEMA also noted that 
DOE should not restrict the sample size to a multiple of two if 
statistical estimation of the population median value is accepted. 
(NEMA, No. 9 at pp. 4-5, 10)
    OSI also proposed the term ``rated life'' citing 10 CFR part 430 
and IES RP-16-10. OSI agreed with NEMA that lifetime should be 
determined independent of a specific sample size. OSI recommended a 
definition similar to the one in the IES Lighting Handbook, defining 
rated life as the total operating time at which, under normal operating 
conditions, 50 percent of any large group of initially installed lamps 
is expected to have failed, referencing the historic ENERGY STAR and 
IES definition. (OSI, No. 5 at pp. 4-5)
    In general, NEMA and OSI stated lifetime is poorly estimated by the 
arithmetic mean of the time to failure of the two middle sample units 
when sorted in order. (NEMA, No. 9, p. 10; OSI, No. 5 at p. 9) During 
the public meeting for the July 2015 NOPR, both GE and Westinghouse 
stated the middle value of a sample was a poor indicator of the median 
and instead recommended using an entire population. (GE, Public Meeting 
Transcript, No. 4 at pp. 14-15, 25-26; Westinghouse, Public Meeting 
Transcript, No. 4 at pp. 15-16) GE added that the intent of the 
statutory language was to indicate a median value for lifetime, that 
DOE has the opportunity to clearly specify this and, further, that this 
value should represent 50 percent failure of the population to align 
with the industry standard for rated lifetime of lamps. (GE, Public 
Meeting Transcript, No. 4 at pp. 25-26)
    DOE understands that the IES Lighting Handbook and EPCA describe 
``rated lamp life'' and ``lifetime''/``life'' to be based on a large 
group of lamps rather than a specific number of lamps. Further, the IES 
Lighting Handbook states that ``rated lamp life'' is when 50 percent of 
any large group of lamps is expected to have failed and that it is a 
statistically determined estimate of the median operational life. 
However, DOE notes that it must prescribe test procedures that provide 
consistent and reproducible results, and allow for comparison of 
represented values across basic models. Therefore, rather than allow 
any number of lamps to be used to determine the represented value of 
lifetime, DOE must specify a minimum sample size.
    Commenters did not suggest a specific minimum sample size, and as 
proposed in the July 2015 NOPR, DOE is adopting a minimum sample size 
of 10 for testing the 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. DOE is requiring that the same 
sample of 10 units be used for testing these metrics, and that a 
minimum of three units from the same sample of units be tested for 
start time. (Due to the nature of the test, a unique sample set is 
required for rapid cycle stress testing.) Each of these metrics 
contribute to the overall performance of a CFL, and because they are 
fundamentally related, directly and/or indirectly impact each other. 
Therefore, the same set of sample units and sample size should result 
in more accurate measurements of all metrics, including lifetime. 
Manufacturers may, at their discretion, use a larger sample size to 
determine a representative value of lifetime if they believe it is 
warranted. However, the same sample set and size must also be used for 
testing 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; the total number of units in the sample 
set must be a multiple of two; and a minimum of three units from the 
sample set must be used for start time. If the same sample of units is 
not available for the testing of additional metrics for an existing 
model, the basic model must be retested using the same sample set for 
all metrics.
    DOE notes that the statutory definition of lifetime does not 
include any mention of a statistical method that can be used and DOE is 
hesitant to allow for any statistical method to determine lifetime. 
Commenters did not provide explicit suggestions regarding any 
applicable statistical methods in their comments. In addition, neither 
the IES Lighting Handbook nor any other industry standard provides a 
specific statistical method that should be used to determine the 
lifetime of compact fluorescent lamps. Further, DOE notes that the 
median of a sample is a robust statistical descriptor of the central 
tendency of the sample (and thereby the population) that deals well 
with outlier values, which may be the case in lifetime testing of CFLs. 
Although other statistical tools can be used to describe the variance 
about the median or estimate adjusted median values if other attributes 
about the population are known (e.g., the distribution is a Pareto 
distribution or a weighted median if the precision of each data point 
is known and is significantly variable), these more advanced 
statistical tools are unnecessary, as they would not provide a better 
description of the expected lifetime of the lamp, as defined by EPCA, 
than the median value.
    Therefore, DOE finalizes its proposal in the July 2015 NOPR, that 
lifetime of a CFL be calculated as the operating time between first use 
and failure of 50 percent of the sample units; the sample size must be 
at least 10 units; and the represented value of lifetime must be the 
median time to failure of the sample (calculated as the arithmetic mean 
of the time to failure of the two middle sample

[[Page 59405]]

units when the numbers are sorted in value order). DOE believes that 
this definition provides the appropriate specificity to produce 
consistent and repeatable results while aligning with EPCA's definition 
of ``lifetime'' and ``life'' as the ``length of operating time of a 
statistically large group of lamps between first use and failure of 50 
percent of the group.'' In order to provide a clear and consistent test 
procedure, DOE specifies ``group'' as a minimum sample size of 10 units 
for CFLs, but reiterates that manufacturers are not prevented from 
testing significantly more than 10 CFLs provided the total number 
tested is a multiple of two.

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

    In the July 2015 NOPR, DOE proposed to incorporate by reference 
ANSI C78.901-2014, IES LM-54-12, IES LM-65-14, and IES LM-78-07 
industry standards and to extend the incorporation by reference of CIE 
13.3-1995, CIE 15:2004, IES LM-66-14, and IEC 62301 into DOE's test 
procedure for CFLs in appendix W.
    As noted in section III.A.1, DOE proposed in the July 2015 NOPR to 
incorporate by reference IES LM-54-12, IES LM-65-14, and IES LM-66-14 
for appendix W for seasoning, time to failure measurements, and 
electrical and photometric measurements respectively. 80 FR 45727. In 
response to this proposal, both NEMA and OSI agreed with the 
incorporation of IES LM-54-12, IES LM-65-14, and IES LM-66-14. (NEMA, 
No. 9 at pp. 3, 8; OSI, No. 5 at pp. 2-3) The CA IOUs noted that the 
IES LM-54-12 removes the requirement of cycling during seasoning for 
metrics other than lifetime and did not agree with DOE's proposal to, 
accordingly, also remove the cycling requirements in its test 
procedure. (CA IOUs, No. 7 at p. 3) DOE is requiring cycling for all 
metrics, see section III.A.1 for further details. In this final rule, 
DOE incorporates by reference these test methods into 10 CFR 430.3 for 
appendix W or extends the incorporation by reference of these test 
procedures to appendix W.
    As noted in section III.A.2.a, DOE also proposed in the July 2015 
NOPR to incorporate by reference IESNA LM-78-07 for appendix W for 
measurements using an integrating sphere photometer. 80 FR 45731. DOE 
did not receive any comments related to incorporating IESNA LM-78-07. 
Therefore, in this final rule, DOE incorporates by reference this test 
method into 10 CFR 430.3 for appendix W.
    As noted in section III.A.4.a, in the July 2015 NOPR DOE proposed 
incorporating CIE 13.3-1995 and CIE 15:2004 (3rd edition) for appendix 
W for measuring and calculating CRI and CCT respectively. 80 FR 45739. 
The CA IOUs were supportive of incorporating by reference both CIE 
13.3-1995 and CIE 15:2004 (3rd edition). (CA IOUs, No. 7 at pp. 3-4) 
Therefore in this final rule, DOE extends the incorporation by 
reference of these test procedures to appendix W.
    As noted in section III.A.5.b, in the July 2015 NOPR DOE proposed 
incorporating by reference ANSI C78.901-2014 for appendix W to include 
reference ballast specifications for non-integrated CFLs. 80 FR 45739. 
NEMA supported incorporating by reference ANSI C78.901-2014. (NEMA, No. 
9 at pp. 6-7) Therefore in this final rule, DOE incorporates by 
reference this industry standard into 10 CFR 430.3 for appendix W.
    As noted in section III.A.6, in the July 2015 NOPR, DOE proposed 
incorporating by reference IEC 62301 for appendix W for measuring 
standby mode energy consumption. 80 FR 45739. DOE did not receive any 
comments related to this proposal. DOE notes that 10 CFR 430.3 
presently has two different versions of IEC 62301 incorporated. DOE is 
extending the incorporation by reference of the edition 2.0, 2011-01 
version of IEC 62301 to appendix W.

D. Amendments to 10 CFR 430.23(y)

    In the July 2015 NOPR, DOE proposed to revise and add text at 10 
CFR 430.23(y) to reflect other proposed changes to the scope and 
applicability of DOE's CFL test procedures. 80 FR 45739. Specifically, 
the existing text at 10 CFR 430.23(y) indicates that, for MBCFLs, the 
initial lamp 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 proposed to delete the 
text ``medium base'' to reflect the inclusion of additional CFL 
categories. Id. In addition, in the July 2015 NOPR, DOE also proposed 
to specify in 10 CFR 430.23(y) the relevant sections of appendix W to 
be used to measure the following metrics: Initial lamp efficacy, lumen 
maintenance at 1,000 hours, lumen maintenance at 40 percent of 
lifetime, CRI, CCT, power factor, time to failure, rapid cycle stress 
test, start time, and standby mode energy consumption. 80 FR 45739-
45740.
    Both NEMA and OSI submitted comments requesting that DOE retain the 
term ``medium base'' in the title of the term because they did not 
think non-integrated CFLs should be part of the test procedures. (NEMA, 
No. 9 at p. 7; OSI, No. 5 at p. 6) DOE did not receive any other 
comments related to this proposed modification. As DOE has stated 
previously, the test procedures that are the subject of this final rule 
address integrated and non-integrated CFLs in support of existing and 
potential standards, as well as requirements of FTC's Lighting Facts 
Label and ENERGY STAR Program Requirements for Lamps and Luminaires 
(see section II for further details). Therefore, in this final rule, 
DOE is removing the reference to ``medium base'' and specifying all 
applicable metrics for CFLs.

E. Amendments to Laboratory Accreditation Requirements at 10 CFR 430.25

    In the July 2015 NOPR, DOE proposed to amend 10 CFR 430.25 to 
extend the laboratory accreditation requirements for MBCFL testing to 
additional CFL categories and metrics covered under the proposed new 
and amended test procedures. 80 FR 45740. Specifically, DOE proposed to 
replace the text ``medium base compact fluorescent lamps'' with the 
text ``compact fluorescent lamps'' and specify that if a manufacturer's 
or importer's laboratory is accredited, it may conduct the applicable 
testing. Id.
    NEMA and OSI raised concerns that expanding testing in an 
accredited lab from MBCFLs to all CFLs would increase the testing 
burden, adding that non-integrated CFLs typically are not tested in 
accredited laboratories. Additionally, NEMA and OSI asked that this 
potential requirement be addressed in both the manufacturing impact 
analysis, as well as testing burden analyzed in the regulatory 
flexibility analysis. (NEMA, No. 9 at p. 9; OSI, No. 5 at p. 7)
    Testing in accredited laboratories helps ensure that measurements 
are consistent and reproducible. Therefore, in this final rule, DOE 
removes the phrase ``medium base'' and specifies that if a 
manufacturer's or importer's laboratory is accredited, it may conduct 
the applicable testing in 10 CFR 430.25. See section IV.B for a 
discussion of test burden.

F. 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

[[Page 59406]]

MBCFL energy conservation standards table provides clarification 
relevant to test procedures (e.g., sampling, test methods, and test 
calculations). Although 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, for simplicity DOE proposed 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 proposed to replace the text ``bare 
lamp and covered lamp'' with the text ``bare or covered.'' DOE 
considered these revisions to be clarifications that do not modify the 
energy conservation standards. 80 FR 45740-45741.
    NEMA and OSI in general agreed with separating the test procedure 
specifications from section (u) with certain exceptions discussed in 
the next sections. (NEMA, No. 9 at p. 9; OSI, No. 5 at p. 8) In this 
final rule, DOE retains the change to the first sentence in 10 CFR 
430.32(u) to read as ``A bare or covered (no reflector) medium base 
compact fluorescent lamp manufactured on or after January 1, 2006 . . 
.'' Revisions to specific metrics in the table at 10 CFR 430.32(u) and 
related comments received are described in the subsequent sections.
1. Initial Lamp Efficacy
    In the July 2015 NOPR, DOE proposed amending 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.'' 80 FR 45740. DOE 
proposed to use labeled wattage as that is the term DOE is using to 
define the wattage marked on the lamp that should be used to determine 
the applicable minimum efficacy requirement (see section III.A.3.f). 
DOE also proposed deleting the current text in footnote 1. Id.
    NEMA and OSI recommended using the term ``rated wattage'' rather 
than ``labeled wattage.'' (NEMA, No. 9 at p. 9; OSI, No. 5 at pp. 8-9) 
As discussed in section III.A.3.f, DOE disagrees with NEMA and OSI 
about using the term ``rated wattage'' because DOE believes it may 
cause confusion or be easily misinterpreted. Instead, DOE retains in 
this final rule the term ``labeled wattage.''
    In the July CFL TP NOPR, DOE also proposed 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 percent. NEMA and OSI suggested 
keeping the 3 percent measurement error for efficacy and extend it to 
all other parameters. (NEMA, No. 9 at p. 9; OSI, No. 5 at pp. 8-9) DOE 
has determined that a 3 percent tolerance is not necessary. DOE 
addresses measurement error in sample size, confidence limit, and de-
rating values as provided in 10 CFR 429.35. Because this allowance for 
determining compliance with existing standards already exists in 10 CFR 
430.32(u), the 3 percent tolerance for efficacy has been maintained but 
moved to 10 CFR 429.35.
2. Lumen Maintenance at 1,000 Hours
    In the July 2015 NOPR, DOE proposed amending 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 
have a minimum 90.0 percent of initial (100-hour) lumen output at 1,000 
hours of rated life. DOE proposed to delete this text and only state 
the standard as >=90.0 percent. DOE also provided specific other 
changes to the table to correspond with terminology in the amended test 
procedure. 80 FR 45740. DOE did not receive any comments regarding 
these specific changes. Therefore, in this final rule, DOE modifies 10 
CFR 430.32(u) to remove test procedure text and to align the 
terminology with the amended test procedure.
3. Lumen Maintenance at 40 Percent of Lifetime
    In the July 2015 NOPR, DOE proposed amending 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). 80 FR 45740-45741. DOE 
proposed to delete this text and state only the standard as >=80.0 
percent and other modifications to the table to read lumen maintenance 
at 40 percent of lifetime. Id. DOE did not receive any comments 
regarding these specific changes. Therefore, in this final rule, DOE 
modifies 10 CFR 430.32(u) to remove test procedure text and to align 
the terminology with the amended test procedure. In addition, for 
clarity DOE includes a footnote on the term ``lifetime'' that states 
``Lifetime refers to lifetime of a compact fluorescent lamp as defined 
in 10 CFR 430.2.''
4. Rapid Cycle Stress Test
    In the July 2015 NOPR, DOE proposed amending the text in the second 
column of the table for rapid cycle stress test in 10 CFR 430.32(u). 80 
FR 45741. DOE proposed to delete the first two sentences of this text 
and 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. Id.
    NEMA and OSI responded that the row in the table that codifies 
MBCFL energy conservation standards at 10 CFR 430.32(u) specifically 
retains the term ``rated lifetime.'' (NEMA, No. 9 at p. 9; OSI, No. 5 
at p. 8) In this final rule, DOE defines the term ``lifetime of a 
compact fluorescent lamp'' to be used in the new and amended test 
procedures (see section III.A.3.a for further details). Therefore, to 
align with the test procedures, DOE amends table 10 CFR 430.32(u) in 
this final rule 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. In addition, for clarity DOE includes a footnote on 
the term ``lifetime'' that states ``Lifetime refers to lifetime of a 
compact fluorescent lamp as defined in 10 CFR 430.2.''
5. Lifetime
    In the July 2015 NOPR, DOE proposed amending 10 CFR 430.32(u) by 
deleting the term ``average rated lamp life'' and replacing it with the 
term ``lifetime.'' 80 FR 45741. DOE also proposed to amend the text in 
the second column pertaining to lifetime to only state the standard as 
>=6,000 hours and that DOE will no longer allow the use of statistical 
methods at 80 percent of rated life to determine the represented value 
of lifetime. Id. NEMA and OSI stated that the row should retain the 
text ``>=6,000 hours as declared by the manufacturer on packaging.'' 
(NEMA, No. 9 at p. 9; OSI, No. 5 at p. 8) In this final rule, DOE 
defines the term ``lifetime of a compact fluorescent lamp'' and 
provides test procedures for the measurement and reporting of this 
value. To avoid potential confusion regarding how lifetime should be 
measured, DOE removes the language ``as declared by the manufacturer on 
packaging'' in this final rule. In addition, for clarity DOE includes a 
footnote on the term ``lifetime'' that states ``Lifetime refers to 
lifetime of a compact fluorescent lamp as defined in 10 CFR 430.2.''

G. Amendments to Certification Report Requirements

    In the July 2015 NOPR, DOE recognized that testing of CFL lifetime 
and lumen maintenance at 40 percent of lifetime require considerably 
more time than testing of other required CFL metrics. DOE proposed to 
allow new basic models of CFLs to be distributed prior to completion of 
the full testing for

[[Page 59407]]

lifetime and lumen maintenance at 40 percent of lifetime, as well as 
prior to completion for the rapid cycle stress test because it is also 
dependent on lifetime. DOE's proposal was similar to other lighting 
technologies in that prior to distribution of the new basic model of 
CFL, manufacturers may submit an initial certification report based on 
estimated values of lifetime, 40 percent lumen maintenance, and rapid 
cycle stress test if the testing for lifetime is not complete. In such 
a case, the certification report would be required to specifically 
describe a prediction method that would be generally representative of 
the methods specified in appendix W. Manufacturers would be required to 
maintain relevant records, in accordance with 10 CFR 429.71, of the 
development of all estimated values and any associated initial test 
data. DOE also proposed amendments to the certification report to 
address the new and additional metrics that are being adopted in this 
final rule and are required for compliance with DOE's energy 
conservation standards. 80 FR 45741.
    Philips commented that there currently are no restrictions with 
respect to the prediction models that may be used, so selection of the 
prediction model should be at the discretion of the manufacturer, and 
should only be disclosed to defend it to the DOE if challenged. 
(Philips, No. 6 at p. 4) NEMA and OSI similarly objected to the 
proposed requirements that manufacturers must disclose the prediction 
method and that it must represent one of the methods in appendix W. 
(NEMA, No. 9 at p. 9; OSI, No. 5 at p. 8; Philips p. 4)
    The EEAs opposed DOE's proposal to allow manufacturers to estimate 
values for lifetime and rapid cycle stress prior to the completion of 
testing for time to failure, and particularly opposed the proposal that 
manufacturers be permitted to develop their own prediction methods for 
these estimates. (EEAs, No. 8 at p. 5) The EEAs stated that, by the 
time DOE received a full certification report showing that a given 
model did not meet the standard, manufacturers may be retiring the 
model and it will have been in commerce for a significant portion of 
its intended market life. The EEAs also suggested it may be 
theoretically possible to extrapolate lumen depreciation provided a 
common approach based on industry standard methods is used. (EEAs, No. 
8 at p. 5)
    Based on a review of the market, DOE found that most CFLs have a 
lifetime of 10,000 hours or longer and therefore, it may take more than 
a year to complete the necessary lifetime measurements. Therefore, to 
accommodate such long testing time, DOE believes that the use of 
estimated values for lifetime, lumen maintenance at 40 percent of 
lifetime, and rapid cycle stress testing are required. In response to 
the concerns of CA IOUs and the EEAs regarding the accuracy of such 
methods, DOE notes that DOE is not aware of any industry-wide accepted 
method for extrapolation of lumen depreciation for CFLs. Therefore, DOE 
is not requiring a specific prediction method for estimated values. 
However, DOE is requiring manufacturers to specify the method of 
prediction and that this method must be generally representative of 
DOE's test procedures for CFLs in appendix W. In addition, DOE is 
adding a requirement to the certification report that manufacturers 
must state whether values of lifetime, lumen maintenance at 40 percent 
of lifetime, and rapid cycle stress testing are based on estimated or 
measured values. DOE believes that, as noted by CA IOUs and EEAs, such 
information regarding the prediction methods used by manufacturers is 
necessary in order to verify that such predictions are valid and based 
on sound engineering judgement and calculations. Therefore, DOE 
believes that these requirements regarding the prediction method are 
adequate and necessary to ensure estimated values are reliable, 
representative, and consistent with test conditions, setup, and methods 
specified in DOE's test procedures for CFLs.
    In addition, DOE notes that there is precedent for allowing 
products to be distributed in commerce based on estimated values. DOE 
allows initial certification reports for GSFLs and incandescent 
reflector lamps and also requires that manufacturers include a 
description of any testing or analysis the manufacturer performed. 10 
CFR 429.12(e)(2) Under EPCA, MBCFLs may be marketed before completion 
of testing for lifetime and lumen maintenance at 40 percent of lifetime 
with supporting engineering predictions and analysis. 42 U.S.C. 
6293(b)(12)(C).
    Therefore, by allowing new basic models of CFLs to be distributed 
in commerce based on estimated values determined by prediction methods 
representative of DOE's test procedures for CFLs, DOE is ensuring 
products are available to consumers in a reasonable time while still 
requiring a rigorous process to ensure that all representative values 
are as accurate and precise as possible. In this final rule, DOE also 
clarifies that for existing basic models that require retesting, 
manufacturers may submit an initial certification report based on 
estimated values of lifetime, 40 percent lumen maintenance, and rapid 
cycle stress if the testing for lifetime is not complete.
    The EEAs also recommended that DOE take action to enhance industry 
adherence with the CFL test procedure. They noted that under two CFL 
verification testing programs, ENERGY STAR and the Program for the 
Evaluation and Assessment of Residential Lighting (PEARL), a 
significant number of ENERGY STAR-qualified CFLs were found to be 
noncompliant with ENERGY STAR program requirements. The EEAs noted that 
these results varied between brands, but the overall consumer 
dissatisfaction and perception of poor CFL quality applied throughout 
the industry, regardless of a particular brand's performance. The EEAs 
suggested DOE collect and analyze performance data for CFLs sold in the 
retail distribution chain and adopt an enhanced enforcement strategy 
focused on brands, rather than only basic models. The EEAs recommended 
that DOE require manufacturers to submit data that support the enhanced 
enforcement strategy and to tighten data submission requirements to 
prevent manufacturers from submitting incomplete or incorrect test data 
that may misrepresent the quality of products being verified. (EEAs, 
No. 8 at pp. 6-7)
    DOE currently has enforcement procedures in place for, among many 
other products, CFLs that are subject to energy conservation standards. 
For more information please refer to DOE's ``Implementation, 
Certification, and Enforcement'' Web site at http://energy.gov/eere/buildings/implementation-certification-and-enforcement.
    Additionally in the July 2015 NOPR, DOE proposed that 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. 80 FR 45741. DOE did not receive any comments 
regarding this proposal and adopts it in this final rule. This 
provision will help alleviate potential issues envisioned by the EEAs 
that models will be retired without any accountability for compliance 
with the standards.
    Further, for this final rule, DOE separated the certification 
report requirements for medium base CFLs that

[[Page 59408]]

are showing compliance with the current energy conservation standards, 
integrated CFLs that would need to show compliance with potential GSL 
energy conservation standards, and non-integrated CFLs which may need 
to show compliance with potential GSL energy conservations standards. 
DOE separated these requirements in order to clarify that different 
values must be reported when certifying compliance to existing 
standards in 430.32(u) (as it appears in 10 CFR parts 200-499 edition 
revised as of January 1, 2016) for medium base CFLs; general service 
lamp energy conservation standards (if adopted) for integrated CFLs; 
and general service lamp energy conservations standards (if adopted) 
for non-integrated CFLs.

H. Amendments to 10 CFR 429.35

    The text of the 10 CFR 429.35 title currently addresses bare or 
covered (no reflector) MBCFLs. DOE proposed in the July 2015 NOPR to 
remove this text and identical text found in Sec.  429.35(a)(1) and 
(a)(2), and replace it with the text ``compact fluorescent lamps'' to 
reflect the inclusion of additional CFL categories. 80 FR 45741. DOE 
did not receive any comments on this proposal and therefore adopts this 
change in the final rule.
    In addition, DOE also proposed to clarify and amend the sampling 
requirements for existing and new metrics, provide clarification on 
reuse of samples, and address failures of sample units. 80 FR 45741. 
DOE concluded that these clarifications and amendments would not have a 
significant effect on measured values or test burden. Id. In general, 
the EEAs were supportive of DOE's proposed changes to sampling 
requirements. (EEAs, No. 8 at pp. 2-4) DOE received comments related to 
the specific proposals to 10 CFR 429.35 and discusses these 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 at 40 
percent of rated life. In the July 2015 NOPR, DOE proposed 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. 80 FR 45741-45742.
    DOE also proposed to create a separate sampling requirement section 
for initial lamp efficacy in order to include an allowance of 3 percent 
tolerance on the represented value of this metric (see section 
III.F.1). Specifically, DOE proposed that, to account for measurement 
error, the represented value for initial lamp efficacy of MBCFLs 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 lower value is the mean of the sample at 60.0 lumens 
per watt, then the 1.03 multiplier could be applied to yield a 
represented value for initial lamp efficacy of up to 61.8 lumens per 
watt. DOE concluded that this clarification does not result in a 
significant impact to measured values. DOE received comments on this 
proposal and addresses them in section III.F.1. In this final rule, DOE 
adopts the proposal regarding the 3 percent tolerance for initial lamp 
efficacy as described in this preamble.
    Additionally, DOE proposed 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. 80 FR 45742. Further DOE proposed 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. DOE also notes that, because 
the sample set must be the same for all metrics, if the sample size is 
greater than 10, the same larger sample set must be used for the other 
metrics required to utilize the sample set (see III.H.5).
    In the July 2015 CFL TP NOR, DOE also proposed that half of the 
units be tested base up and half of the units be tested base down, 
rather than testing all units base up as currently required. 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. 80 FR 45742.
    OSI raised concerns that adding another orientation besides base up 
will effectively double testing costs by increasing the number of units 
under test as well as increasing the infrastructure required. OSI also 
stated that in many cases, manufacturers have evaluated products only 
in the base up position. (OSI, No. 5 at p. 8) NEMA stated that 
modifying the orientation specification would change measured values 
and add test burden. (NEMA, No. 9 at pp. 3, 8)
    Test burden is discussed in section IV.B. DOE notes that ENERGY 
STAR has required both a sample size of 10 and that half be tested in 
the base up position and the other half in the base down position 
orientations since version 3.0 of the ``ENERGY STAR[supreg] Program 
Requirements for CFLs'', which was finalized in 2003.\22\ CA IOUs 
commented (and DOE verified) that according to ENERGY STAR 64 percent 
of integrated CFLs shipped in 2014 were ENERGY STAR certified. (CA 
IOUs, No. 7 at p. 4) Therefore, a majority of integrated CFLs have 
already been evaluated in both orientations.
---------------------------------------------------------------------------

    \22\ Version 3.0 of the CFL lamps specification was superseded 
by other versions of the CFL lamp specification and then ultimately 
the CFL specification was replaced by the overall lamp 
specification. However, the original specification can be found at 
http://www.energystar.gov/products/spec by searching lighting, light 
bulbs (CFLs) and historic in status.
---------------------------------------------------------------------------

    NEMA and OSI stated that if testing of non-integrated CFLs is 
necessary, that these lamps should only be tested in the base up 
position as base down testing is not representative of actual usage. 
Further, both NEMA and OSI raised concerns about the burden related to 
testing non-integrated CFLs in both base up and base down orientations. 
(NEMA, No. 9 at p. 10; OSI, No. 5 at p. 8)
    Test burden is discussed in section IV.B. Contrary to the assertion 
of NEMA and OSI that base down orientation would not be representative 
of actual use for non-integrated CFLs, DOE has identified fixtures for 
non-integrated CFLs classified as ``chandelier,'' ``decorative 
pendant,'' and ``sconce/marker light'' all with base down lamp 
orientations.\23\ DOE retains in this final rule that, for both 
integrated and non-integrated CFLs, half the sample size be tested in 
the base up and the other half in base down orientation.
---------------------------------------------------------------------------

    \23\ DOE conducted a search using eLumit, an independently 
owned, industry-neutral company that is a lighting search and 
specification tool for design professionals. www.eLumit.com.
---------------------------------------------------------------------------

    In the July 2015 NOPR, DOE also proposed 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 did not receive any 
comments regarding this proposal; therefore, DOE adopts it in this 
final rule.
2. Rapid Cycle Stress Testing
    In the July 2015 NOPR, DOE proposed to restrict the sample size for 
rapid cycle stress testing to an exact number of units. 80 FR 45742. 
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 proposed specifying that exactly 6 unique units must be tested

[[Page 59409]]

per basic model for rapid cycle stress testing with the rationale that 
this new specification will minimize confusion and improve consistency 
in the number of samples used for testing. 80 FR 45742. This new 
sampling requirement is consistent with the sample size requirement for 
rapid cycle stress testing in the ENERGY STAR Lamps Specification V2.0. 
DOE did not receive any comments related to the sample size for rapid-
cycle stress testing and therefore adopts the requirement in this final 
rule that the sample size for rapid-cycle stress testing be 6 unique 
units.
    NEMA and OSI stated that lamp orientation has little effect on the 
rapid cycle stress testing and suggested that testing half of the lamps 
base up and half base down would be an additional burden that would not 
affect the results of the rapid-cycle stress test. (NEMA, No. 9 at p. 
10; OSI, No. 5 at p. 8)
    Rapid cycle stress testing is intended to stress the lamp's 
electrical components to evaluate the performance of a lamp undergoing 
repeated cycling. Lamp orientation affects the thermal conditions of 
the lamp. Because temperature has some impact on the performance of a 
lamp's electrical components, testing in both base up and base down 
orientations will provide a more comprehensive set of results for 
assessing rapid cycle stress. Therefore, in this final rule, DOE 
specifies in appendix W that for rapid cycle stress testing 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.
    In the July 2015 CFL NOPR, DOE also proposed 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. 80 FR 45742. DOE did 
not receive any comments on this proposal and therefore, adopts it in 
this final rule.
3. Lifetime of a Compact Fluorescent Lamp
    In the July 2015 NOPR, DOE proposed clarifying the sampling 
requirements for the lifetime of a CFL, including the position in which 
lamps are tested. Specifically DOE proposed to align the sampling 
requirements for lifetime with the sampling requirements for initial 
lamp efficacy and lumen maintenance. DOE clarified that if more than 10 
units are tested as part of the sample, the total number of units must 
be a multiple of two and the time to failure value as determined per 
section 3.3 of appendix W must be used to determine the represented 
value of lifetime. 80 FR 45742. DOE did not receive any comments 
regarding this proposal and therefore, in this final rule, adopts it as 
proposed.
4. New Metrics
    As discussed in section III.A.4 in this document, DOE establishes 
test procedures for measuring new metrics including CRI, power factor, 
CCT, start time, and standby mode energy consumption. For CRI, power 
factor, CCT, and standby mode power, in the July 2015 NOPR, DOE 
proposed requiring 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 
proposed specifying 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 proposed 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 
determined 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 proposed to specify in 10 CFR 429.35 that representations of CCT be 
the mean of the sample.
    For the start time, DOE proposed a sample size of three units in 10 
CFR 429.35. DOE believes this is an appropriate sample size to 
determine an accurate value for the lamp start time. Further, DOE 
proposed that for start time, 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.
    For standby mode power, DOE proposed 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 and initial lamp efficacy. DOE determined that 
representations should be equal to the greater of the mean of the 
sample and the 97.5 percent UCL divided by 1.05, as lower values are 
desirable.
    DOE notes that the current sampling requirements already require 10 
units for determining lifetime, and that several of these metrics 
(e.g., CRI, CCT, and power factor values) can be determined in the 
course of lifetime testing. Additionally, this sampling plan is 
consistent with the sampling requirements for these metrics in the 
ENERGY STAR Lamps Specification v2.0.
    OSI stated that power factor, CRI, and start time requirements are 
not necessary and thus the proposed sampling requirements should not be 
included. (OSI, No. 5 at p. 9) As noted previously, DOE is establishing 
test procedures that include sampling requirements for power factor, 
CRI, and start time, in support of the ongoing GSL standards rulemaking 
(see section II for further details). Therefore, DOE retains the 
sampling plan for these metrics in this final rule. However, DOE notes 
that power factor and start time measurements are not applicable to or 
required for non-integrated CFLs.
    NEMA and OSI also commented on DOE's use of the lower confidence 
level (LCL), UCL, and statistical divisor in determining represented 
values. They argued that DOE's current methodology is biased and 
statistically incorrect and recommended DOE use only the sample mean as 
it is the best estimator of the population parameters. (NEMA, No. 9 at 
p. 10; OSI, No. 5 at p. 9)
    Confidence limits are a valid statistical method used to understand 
the accuracy of the sample mean. By using confidence limits, DOE is 
able to implement a conservative approach, ensuring that products on 
the market perform at least as well as represented by manufacturers, by 
requiring the lower confidence limit value if it is less than the 
sample mean when higher values are desirable and requiring the upper 
confidence limit if it is greater than the sample mean when lower 
values are desirable. DOE finds this methodology more appropriate in 
determining represented values than relying only on the sample mean. 
Therefore, in this final rule, DOE retains the confidence limit 
methodology for existing metrics and implements it for new metrics, 
where applicable.
    DOE also clarifies that on or after 180 days after publication of 
this final rule, manufacturers of MBCFLs must use the test procedures 
established in this final rule to certify compliance with existing 
standards and for any representations regarding energy use or 
efficiency, and manufacturers of other CFLs without existing standards 
must use the test

[[Page 59410]]

procedures for any representations regarding energy use or efficiency. 
As of the compliance date of any standards adopted in the GSL ECS 
rulemaking, manufacturers must use the test procedures established in 
this final rule to certify compliance with GSL standards, if adopted. 
(See section III.J for further details regarding effective dates.) 
Further, in this final rule, DOE specifies sampling requirements 
specific to metrics of integrated CFLs and non-integrated CFLs.
5. Reuse of Samples
    In the July 2015 NOPR, DOE proposed 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. 80 FR 45743.
    NEMA and OSI commented that reuse of samples should not be 
mandatory except in the case of lumen maintenance values where a ratio 
is required involving the initial measurements. NEMA and OSI stated 
that the manufacturer should be permitted to use representative samples 
and make measurements in parallel to reduce the time burden of 
measurement. OSI also stated that this requirement would preclude large 
sample size life tests in which the lamps would run uninterrupted until 
failure. NEMA added that it is restrictive to require the same samples 
for all tests completed for one basic model. (NEMA, No. 9 at p. 10-11; 
OSI, No. 5 at p. 9) Philips commented that manufacturers should be 
allowed to test larger populations for lifetime than for photometric-
related measurements. (Philips, Public Meeting Transcript, No. 4 at p. 
90) GE recommended that, rather than requiring the reuse of a sample 
across all tests, DOE should require that all test units must be drawn 
from the same population. (GE, Public Meeting Transcript, No. 4 at pp. 
91-95)
    By requiring the same sample set to be used across all metrics, DOE 
ensures sample units are not selected to obtain favorable measurements 
for one metric over others and that all representative values are 
internally consistent and representative of the population (to the 
extent the selected test sample is representative of the population). 
The lifetime measurement is just an extension of the other photometric 
measurements taken at different points in time of the same lamp. DOE 
believes taking these photometric measurements such as efficacy, lumen 
maintenance, and lifetime on the same set of lamps will result in a 
better characterization of the photometric performance of the 
population by minimizing the variation that may be introduced into the 
measurement by using different test units for different metrics. Hence, 
the requirement of the same sample set allows for a more accurate 
assessment of a basic model's compliance with standards for all 
metrics. Therefore, DOE retains in this final notice that the same 
sample of units must be used as the basis for representations for 
standby power, power factor, CCT, CRI, initial lumen output, input 
power, initial lamp efficacy, lumen maintenance at 1,000 hours, lumen 
maintenance at 40 percent of lifetime, and lifetime; no less than three 
units from the same sample of units must be used when testing for the 
start time; and exactly six unique units must be used for rapid cycle 
stress testing. Additionally, in this final rule, DOE specifies that 
sample units must be comprised of production units. For those basic 
models that currently make representations of the energy efficiency 
metrics described in this test procedure, including medium base CFLs, 
manufacturers must ensure that representations, including 
certifications, are made in accordance with the DOE test procedure, 
including sampling plan. While DOE believes manufacturers have been 
following these testing procedures, including sampling plans, for 
making current representations, DOE clarifies that a manufacturer may 
need to retest in the event that the current representations are not 
supported by the test when measured in accordance with the method being 
adopted in this final rule, including the sampling plan.
6. Lamp Failures
    In the July 2015 NOPR, DOE also clarified that, 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. 80 FR 45732. If a 
lamp fails after the seasoning period, the lamp's measurements must be 
included when calculating represented values. Id.
    The CA IOUs stated that lamps that fail during lamp seasoning 
(``early failure lamps'') should also be maintained in the sample and 
new units should be added until the required units pass the seasoning 
period. The CA IOUs stated that not including units that fail during 
the seasoning period in the sample set will result in inaccurate 
measurements of metrics. The CA IOUs gave the example where a 
manufacturer might test 100 units, 90 of which would fail during 
seasoning, and report the lifetime of the lamp based on the 10 units 
that passed. The CA IOUs asserted that these early failures cause 
consumer dissatisfaction related to CFL lifetime. Citing an ENERGY STAR 
report \24\ the CA IOUs stated that the majority of verification 
testing failures for CFLs in ENERGY STAR are related to tests for 
product lifetime (e.g., interim life test, lumen maintenance, and rapid 
cycle stress tests). Additionally, the CA IOUs and the EEAs cited a 
study conducted by PEARL that found that 2 to 12 percent of the CFLs 
tested failed to reach 40 percent of rated life. (CA IOUs, No. 7 at pp. 
1-3; CA IOUs, Public Meeting Transcript, No. 4 at pp. 38-41, 89)
---------------------------------------------------------------------------

    \24\ Overview of CFL Verification Testing Results Jan 2010-Apr 
2014. EPA. 2014. www.energystar.gov/sites/default/files/specs/Presentation%20Verification%20Testing%207-31-14.pdf.
---------------------------------------------------------------------------

    The CA IOUs further stated that the number of ``early failures'' 
should be recorded along with the time and manner of failure. The CA 
IOUs also suggested that DOE require the entire sample set to be 
discarded if one unit fails during seasoning in order to incentivize 
manufacturers to produce higher quality products. Additionally, the CA 
IOUs recommended DOE evaluate data on early CFL failures to verify that 
the majority of early failures occur in the first 100 hours of 
operation and increase this time interval for recording early failures, 
if necessary. (CA IOUs, No. 7 at p. 3)
    The EEAs supported CA IOUs written comments related to early 
failures, noting that ignoring early failures would make it difficult 
to develop metrics to address these failures. The EEAs added that lamps 
that fail during seasoning would fall in the category of manufacturing 
defect, a category of lamp failure identified in IES LM-65-14. (EEAs, 
No. 8 at p. 3) GE (with Philips concurring) agreed that failures of 
lamps ``right out of the box'' represented a manufacturing defect and 
stated it is appropriate to remove these from the sample during 
seasoning. (GE, Public Meeting Transcript, No. 4 at p. 38, Philips, 
Public Meeting Transcript, No. 4 at p. 38) Westinghouse stated that its 
products were not experiencing industry failures within the warranty 
period, and definitely not within the first 100 hours. Westinghouse 
added that lamps that did fail early would not pass DOE's verification 
testing and therefore, would not be available on the market. 
(Westinghouse, Public Meeting Transcript, No. 4, at pp. 40-41)
    DOE evaluated the reports cited by CA IOUs and EEAs in their 
comments, specifically, ENERGY STAR verification

[[Page 59411]]

test report of 2014 and the study conducted by PEARL. While both of 
these reports indicate that there are lamps that fail to meet metrics 
related to product lifetime, neither support that these failures are 
due to lamps failing in the first 100 hours of the lamp lifetime. Both 
documents only report failures before 40 percent of rated life as one 
aggregated value with no data on actual time of failure. Further, DOE 
evaluated results of a study conducted by the California Public Utility 
Commission that provided data on the number of hours before failure for 
72 models of MBCFLs with a sample set of 3601 lamps that were tested on 
10 different cycling times. Of the 360 lamps tested on the 180 minute 
cycling time, the same as the cycling time for lifetime testing, none 
of the lamps failed during the first 100 hours of testing.\25\
---------------------------------------------------------------------------

    \25\ CFL Laboratory Testing Report: Results from a CFL Switching 
Cycle and Photometric Laboratory Study. December 9, 2015. California 
Public Utilities Commission.
---------------------------------------------------------------------------

    Based on available data, DOE finds that it is not common for CFLs 
to fail before the seasoning period; therefore, the requirement that a 
sample unit be replaced if it fails during seasoning will not result in 
appreciably less accurate measurements. DOE notes that its proposed 
method for addressing lamp failures aligns with ANSI C78.5-2003,\26\ 
which provides specifications on integrated CFLs and is referenced by 
IES LM-65-14 (incorporated by reference). Section 6.1.2 of ANSI C78.5-
2003 notes that ``. . . 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.'' Further, section 3.1 of IES LM-65-
14 states that lamp failures due to manufacturing defects are reported 
but not included in the calculation of lamp lifetime. Therefore, in 
this final rule, DOE retains the requirement that, 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. DOE also notes that 
ANSI C78.5-2003 and IES LM-65-14 recommend respectively, recording 
replacement of sample units and failures. Because such data can be 
informative, in this final rule, DOE adds the requirement that 
manufacturers must provide in the certification report, the number of 
sample units replaced within each unique sample set used in determining 
represented values and believes that such information could be helpful 
to consumers or interested parties in determining more reliable CFL 
models, as requested by the CA IOUs and EEAs.
---------------------------------------------------------------------------

    \26\ American National Standard For Electric Lamps: 
Specifications for Performance of Self-Ballasted Compact Fluorescent 
lamps (approved 2003).
---------------------------------------------------------------------------

I. Federal Trade Commission (FTC) Labeling Requirements

    As discussed throughout this document, the CFL test procedure 
adopted in this final rule is intended, among other things, to support 
FTC's Lighting Facts Labeling program. Accordingly, in the July 2015 
NOPR, DOE proposed adding provisions to 10 CFR 429 for initial lumen 
output, input power, CCT, estimated annual energy cost, and life (in 
years) for MBCFLs to enable FTC to allow manufacturers to submit data 
through DOE's Compliance Certification Management System (CCMS) for the 
FTC labeling requirements. 80 FR 45743. Except for CCT, these metrics 
are already being determined as part of the existing test procedures in 
appendix W. 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 the existing 
metric of initial lamp efficacy. Furthermore, the life (expressed in 
years) is determined by dividing the existing metric of lifetime by an 
average operating hour value specified by FTC.
    NEMA stated that the test procedures should not be developed for 
lamps not regulated by FTC. NEMA highlighted the fact that FTC's label 
does not cover non-integrated CFLs and reiterated that non-integrated 
CFLs should not be included in the test procedure. (NEMA, No. 9 at p. 
2)
    As noted previously, the test procedures that are the subject of 
this rulemaking are intended to support existing and potential 
standards for CFLs and ENERGY STAR lamp and luminaire specifications, 
as well as support the FTC Lighting Facts labeling requirements. DOE 
did not receive any other comments related to the proposed provisions 
for DOE to collect FTC Lighting Facts labeling data through DOE's CCMS. 
Therefore, in this final rule, DOE adopts the provisions as described 
in this preamble.

J. Effective Date

    In the July 2015 NOPR, DOE specified that the effective date for 
the amended test procedures would be 30 days after publication of the 
final rule in the Federal Register. 80 FR 45743. Representations based 
on the amended and new test procedures would be required as of 180 days 
after publication of the final rule. (42 U.S.C. 6293(c)(2)) DOE 
received several comments regarding these dates and certifications of 
compliance for products according to the new and amended test 
procedures.
    NEMA and OSI asked DOE to provide clarification on the need to 
retest lamps that are already certified in the CCMS database, or if 
industry is allowed to use existing test reports for current products. 
(NEMA, No. 9 at p. 2; OSI, No. 5 at p. 2) OSI also sought clarification 
from DOE regarding the disposition of existing inventory if retesting 
is required for current products. (OSI, No.5 at p. 2)
    Representations related to the metrics addressed in the amended 
Appendix W must reflect testing in accordance with Appendix W not later 
than February 27, 2017. Representations are not required by DOE for 
CFLs not currently subject to standards (although they may be required 
by the FTC). In contrast, certifications of compliance are required for 
medium base CFLs, which are currently subject to standards; those 
certifications must reflect testing in accordance with the amended 
Appendix W as of the next annual certification date or February 27, 
2017, whichever is later. DOE also reiterates, as noted throughout this 
document, that the new and amended test procedures are not anticipated 
to result in changes in measured energy consumption or other 
performance metrics for any products that are currently subject to 
energy conservation standards and thus required to certify compliance 
to DOE. Therefore, existing medium base CFLs may not require re-testing 
if their representative values continue to be valid.
    Certifications of compliance for basic models of CFLs with any new 
and/or amended energy conservation standards must reflect testing in 
accordance with Appendix W as amended in this final rule, prior to 
distribution in commerce, and annually thereafter by the filing date 
specified in 10 CFR 429.12(d); however, no basic model is required to 
be certified until it is required to comply with energy conservation 
standards. Therefore, for CFLs not currently subject to standards, the 
initial certification report must be filed by the compliance date of 
any new energy conservation standards.
    NEMA and OSI stated that due to the additional testing required by 
the new and amended test procedures established in this final rule, it 
was not practical to certify all lamps to the new and amended test 
procedures by the next annual filing date for certification.

[[Page 59412]]

In particular, OSI cited changes to the sample size and orientation; 
and NEMA added testing for rapid cycle stress. NEMA and OSI noted that 
publication of the final rule for the ongoing GSL standards rulemaking 
is expected before the end of 2017. They requested that until March 1, 
2018, only new CFLs certified after the publication of this test 
procedure final rule be required to be tested under the new and amended 
CFL test procedures established by it; and after March 1, 2018, all 
CFLs must be tested under the new and amended CFL test procedures. NEMA 
and OSI reasoned this would minimize testing burden on industry for 
current products that are expected to be rendered obsolete by the 
ongoing GSL standards rulemaking. (NEMA, No. 9 at p. 11; OSI, No. 5 at 
p. 9)
    The change in sample size and orientation requirements adopted in 
this final rule align with ENERGY STAR Lamps Specification V2.0 
(effective January 1, 2017) and its previous version, with the only 
exception being that DOE is requiring 3 units tested base up, and 3 
units tested base down for the rapid cycle stress test. DOE notes that 
two thirds of compact fluorescent lamps already comply with ENERGY 
STAR, which already requires 10 units to be tested, and does not 
believe the change in orientation requirements for the rapid cycle 
stress test would require an extensive change to the existing test 
setup. While DOE is adopting test procedures for additional metrics, 
several of these metrics (e.g., CCT, CRI, power factor) can be 
determined simultaneously with existing metrics such as efficacy, and 
therefore testing new metrics would not require a significant amount of 
additional time to conduct.
    Further for new basic models or existing basic models that require 
retesting because their certified values are no longer valid, if a 
metric requires a longer period of time to test (lifetime, lumen 
maintenance at 40 percent of lifetime), DOE allows for the reporting of 
estimated values until the testing is complete. Therefore, DOE finds 
that manufacturers should be able to certify and make representations 
of all applicable CFL products within 180 days of the publication of 
this final rule. Hence, the effective date for the new and amended test 
procedures discussed in this final rule will be 30 days after 
publication of this document in the Federal Register. Representations 
must reflect testing in accordance with the new and amended test 
procedure not later than 180 days after publication of the final rule. 
(42 U.S.C. 6293(c)(2))
    After the effective date and prior to 180 days following 
publication of this 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 this final rule. On or after 180 
days after publication of this 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 new and amended 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 OMB.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IFRA) for 
any rule that by law must be proposed for public comment and a final 
regulatory flexibility analysis (FRFA) for any such rule that an agency 
adopts as a final rule, unless the agency certifies that the rule, if 
promulgated, will not have a significant economic impact on a 
substantial number of small entities. As required by Executive Order 
13272, ``Proper Consideration of Small Entities in Agency Rulemaking,'' 
67 FR 53461 (August 16, 2002), DOE published procedures and policies on 
February 19, 2003 to ensure that the potential impacts of its rules on 
small entities are properly considered during the DOE rulemaking 
process. 68 FR 7990. DOE has made its procedures and policies available 
on the Office of the General Counsel's Web site: http://energy.gov/gc/office-general-counsel.
    DOE reviewed this final rule, which amends and establishes new 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 rule will not have a significant economic impact on 
a substantial number of small entities. The factual basis for this 
certification is as follows.
    The Small Business Administration (SBA) considers a business entity 
to be a small business, if, together with its affiliates, it employs 
less than a threshold number of workers specified in 13 CFR part 121. 
These size standards and codes are established by the North American 
Industry Classification System (NAICS). Manufacturing of CFLs is 
classified under NAICS 335110, ``Electric Lamp Bulb and Part 
Manufacturing.'' The SBA sets a threshold of 1,250 employees or less 
for an entity to be considered as a small business for this category.
    DOE conducted a focused market survey reviewing information from 
trade associations such as NEMA; ENERGY STAR programs; market reports 
(e.g. Hoover's reports); and individual company Web sites to identify 
companies that sell products covered by this rulemaking. DOE then 
determined the number of small businesses based on SBA definition. In 
its estimation of a company's number of employees, DOE also includes 
any parent companies and/or subsidiaries. In the July 2015 NOPR, DOE 
identified 26 manufacturers that would be considered small businesses. 
80 FR 45744. Westinghouse indicated the number of small businesses 
identified by DOE was less than expected, noting that there are only a 
handful of large-size businesses in the market. (Westinghouse, Public 
Meeting Transcript, No. 4 at pp. 134-136)
    For this final rule, DOE reviewed its estimated number of small 
businesses. DOE updated its list of small businesses by reviewing 
information from trade associations such as NEMA; ENERGY STAR programs; 
market reports (e.g. Hoover's reports); and individual company Web 
sites to identify companies that sell CFLs in the United States. DOE 
screened out companies that do not offer products covered by this 
rulemaking, do not meet the definition of a ``small business,'' or are 
completely foreign owned and operated. DOE determined that there are no 
small businesses that maintain domestic production facilities for CFLs.
    Based on the criteria outlined earlier and the reasons discussed 
above, DOE certifies that the test procedures adopted in this final 
rule would not have a significant economic impact on a substantial 
number of small entities, and the preparation of a final regulatory 
flexibility analysis is not warranted. DOE has submitted a 
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).

[[Page 59413]]

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of CFLs must certify to DOE that their products 
comply with any applicable energy conservation standards. To certify 
compliance, manufacturers must first obtain test data for their 
products according to the DOE test procedures, including any amendments 
adopted for those test procedures. DOE has established regulations for 
the certification and recordkeeping requirements for all covered 
consumer products and commercial equipment, including CFLs. See 
generally 10 CFR part 429, subpart B. The collection-of-information 
requirement for the certification and recordkeeping is subject to 
review and approval by OMB under the Paperwork Reduction Act (PRA). 
This requirement has been approved by OMB under OMB control number 
1910-1400. Public reporting burden for the certification is estimated 
to average 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 current valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    In this final rule, DOE is approving 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 rule amends an existing rule without affecting the 
amount, quality or distribution of energy usage, and, therefore, will 
not result in any environmental impacts. Thus, this rulemaking is 
covered by Categorical Exclusion A5 under 10 CFR part 1021, subpart D, 
which applies to any rulemaking that interprets or amends an existing 
rule without changing the environmental effect of that rule. 
Accordingly, neither an environmental assessment nor an environmental 
impact statement is required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 
1999), imposes certain requirements on agencies formulating and 
implementing policies or regulations that preempt State law or that 
have Federalism implications. The Executive Order requires agencies to 
examine the constitutional and statutory authority supporting any 
action that would limit the policymaking discretion of the States and 
to carefully assess the necessity for such actions. The Executive Order 
also requires agencies to have an accountable process to ensure 
meaningful and timely input by State and local officials in the 
development of regulatory policies that have Federalism implications. 
On March 14, 2000, DOE published a statement of policy describing the 
intergovernmental consultation process it will follow in the 
development of such regulations. 65 FR 13735. DOE examined this final 
rule and determined that it will not have a substantial direct effect 
on the States, on the relationship between the national government and 
the States, or on the distribution of power and responsibilities among 
the various levels of government. EPCA governs and prescribes Federal 
preemption of State regulations as to energy conservation for the 
products that are the subject of this final rule. States can petition 
DOE for exemption from such preemption to the extent, and based on 
criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further action is 
required by Executive Order 13132.

F. Review Under Executive Order 12988

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

G. Review Under the Unfunded Mandates Reform Act of 1995

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

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

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Public Law 105-277) requires Federal agencies to issue a 
Family Policymaking Assessment for any rule

[[Page 59414]]

that may affect family well-being. This final rule will not have any 
impact on the autonomy or integrity of the family as an institution. 
Accordingly, DOE has concluded that it is not necessary to prepare a 
Family Policymaking Assessment.

I. Review Under Executive Order 12630

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

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

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

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a Statement of Energy Effects for any significant energy action. A 
``significant energy action'' is defined as any action by an agency 
that promulgated or is expected to lead to promulgation of a final 
rule, and that (1) is a significant regulatory action under Executive 
Order 12866, or any successor order; and (2) is likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any significant energy action, the 
agency must give a detailed statement of any adverse effects on energy 
supply, distribution, or use if the regulation is implemented, and of 
reasonable alternatives to the action and their expected benefits on 
energy supply, distribution, and use.
    This regulatory action is not a significant regulatory action under 
Executive Order 12866. Moreover, it would not have a significant 
adverse effect on the supply, distribution, or use of energy, nor has 
it been designated as a significant energy action by the Administrator 
of OIRA. Therefore, it is not a significant energy action, and, 
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 
(Public Law 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of 
the Federal Energy Administration Act of 1974, as amended by the 
Federal Energy Administration Authorization Act of 1977. (15 U.S.C. 
788; FEAA) Section 32 essentially provides in relevant part that, where 
a proposed rule authorizes or requires use of commercial standards, the 
notice of proposed rulemaking must inform the public of the use and 
background of such standards. In addition, section 32(c) requires DOE 
to consult with the Attorney General and the Chairman of the Federal 
Trade Commission (FTC) concerning the impact of the commercial or 
industry standards on competition.
    This final rule incorporates by reference the testing methods and 
modifications to the test procedures that are contained in the 
following commercial standards:

    (1) ANSI 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;
    (7) IESNA LM-78-07, :IESNA Approved Method for Total Luminous 
Flux Measurement of Lamp Using an Integrated Sphere Photometer,'' 
2007; and
    (8) IEC Standard 62301 (Edition 2.0, 2011-01), ``Household 
electrical appliances--Measurement of standby power,'' 2011.

    Although these test procedures are not exclusively based on these 
industry testing standards, some components of the DOE test procedure 
adopt definitions, test parameters, and measurement techniques from 
them without amendment. The Department has evaluated these industry 
testing 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 has consulted with both the 
Attorney General and the Chairman of the FTC about the impact on 
competition of using the methods contained in these standards and has 
received no comments objecting to their use.

M. Description of Materials Incorporated by Reference

    DOE incorporates by reference the test standard published by ANSI, 
titled ``American National Standard for Electric Lamps--Single-Based 
Fluorescent Lamps--Dimensional and Electrical Characteristics,'' ANSI 
C78.901-2014. ANSI 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. It 
is used to identify the appropriate reference ballast specifications 
for CFL as described in this final rule. ANSI C78.901-2014 is readily 
available on ANSI's Web site at http://webstore.ansi.org/.
    DOE incorporates 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 adopted in this final rule 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 incorporates 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 adopted in this final rule 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 incorporates by reference specific sections of the test 
standard published by IES, titled ``IES Approved Method: Electrical and 
Photometric Measurements of Single-Based Fluorescent Lamps,'' IES LM-
66-14. IES LM-66-14 is an industry accepted test

[[Page 59415]]

standard that specifies a method for measuring electrical and 
photometric characteristics of CFLs and is applicable to products sold 
in North America. The test procedures adopted in this final rule 
reference various sections of IES LM-66-14 that address test conditions 
and procedures for taking electrical and photometric measurements of 
CFLs. IES LM-66-14 is readily available on IES's Web site at 
www.ies.org/store.
    DOE also incorporates 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 
adopted in this final rule 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 incorporates by reference certain sections of the test 
standard published by IEC, titled ``Household electrical appliances--
Measurement of standby power,'' IEC Standard 62301 (Edition 2.0). IEC 
Standard 62301 (Edition 2.0) is an industry accepted test standard that 
describes measurements of electrical power consumption in standby mode, 
off mode, and network mode. The test procedures adopted in this final 
rule reference sections of IEC Standard 62301 (Edition 2.0) for testing 
standby mode power consumption of CFLs. IEC Standard 62301 (Edition 
2.0) is readily available on ANSI's Web site at https://webstore.iec.ch/home.
    DOE also incorporates by reference the test standard published by 
CIE, titled ``Technical Report: Method of Measuring and Specifying 
Colour Rendering Properties of Light Sources,'' CIE 13.3-1995. CIE 
13.3-1995 is an industry accepted test standard that specifies method 
of measuring and specifying color rendering properties of light sources 
based on resultant color shifts of test objects. The test procedures 
adopted in this final rule reference sections of CIE 13.3-1995 for 
testing CRI of CFLs. CIE 13.3-1995 is readily available on CIE's Web 
site at http://www.techstreet.com/cie/.
    DOE incorporates by reference the test standard published by CIE, 
titled ``Technical Report: Colorimetry,'' CIE 15:2004. CIE 15:2004 is 
an industry accepted test standard that summarizes colorimetric data. 
The test procedures adopted in this final rule reference sections of 
CIE 15:2004 for testing CCT of CFLs. CIE 15:2004 is readily available 
on CIE's Web site at http://www.techstreet.com/cie/.
    DOE removes previously incorporated reference to ``ENERGY STAR 
Program Requirements for [Compact Fluorescent Lamps] CFLs, approved 
August 9, 2001.'' These provided specifications including test 
procedures for ENERGY STAR qualified CFLs. The test procedures adopted 
in this final rule no longer reference ``ENERGY STAR Program 
Requirements for [Compact Fluorescent Lamps] CFLs, approved August 9, 
2001.''

N. Congressional Notification

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

V. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, 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 August 11, 2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.
    For the reasons stated in the preamble, DOE amends parts 429 and 
430 of Chapter II of Title 10, Code of Federal Regulations as set forth 
below:

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

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

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


0
2. Section 429.12 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 must 
include the information specified in paragraphs (b)(1) through (7) of 
this section, except that for integrated light-emitting diode lamps and 
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.  429.56(b)(2) or Sec.  429.35(b)(2), respectively.
* * * * *

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 include 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 except that the sample must be comprised of production 
units; and
    (ii)(A) For each basic model of integrated compact fluorescent 
lamp, 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 (a)(1)(ii) but are representative of the same 
basic model tested under this paragraph (a)(1)(ii)) must be used for 
rapid cycle stress testing.

[[Page 59416]]

    (B) For each basic model of non-integrated compact fluorescent 
lamp, 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 40 percent of lifetime, lifetime, CCT, 
and CRI. 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 40 percent of 
lifetime, lifetime, CCT, and CRI.
    (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,
    [GRAPHIC] [TIFF OMITTED] TR29AU16.014
    
Where:

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,
[GRAPHIC] [TIFF OMITTED] TR29AU16.015

Where:

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
tg0.975 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) 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,
    [GRAPHIC] [TIFF OMITTED] TR29AU16.016
    
Where:

x is the sample mean,
ng is the number of units in the sample, and
xgi is the ith unit;

    Or,
    (2) The upper 97.5-percent confidence limit (UCL) of the true mean 
divided by 1.05,
[GRAPHIC] [TIFF OMITTED] TR29AU16.017

Where:

x is the sample mean of the characteristic value;
sg is the sample standard deviation;
ng is the number of units in the sample, and
tg0.975 is the t statistic for a 97.5% one-tailed 
confidence interval with n-1 degrees of freedom (from appendix A of 
this subpart).

    (C) The represented value of CCT must be equal to the mean of the 
sample,
[GRAPHIC] [TIFF OMITTED] TR29AU16.018

Where:

x is the sample mean,
ng is the number of units in the sample, and
xgi is the ith unit.

    (D) The represented value of lifetime must be equal to or less than 
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 represented 
lifetime of a compact fluorescent lamp as determined in (a)(1) of this 
section 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) as 
it appeared in 10 CFR parts 200-499 edition revised as of January 1, 
2016, 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.
    (6) Estimated values may be used for representations when initially 
testing a new basic model or when new/additional testing is required.
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to compact fluorescent lamps; and
    (2) Values reported in certification reports are represented 
values. Pursuant to Sec.  429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) For each basic model of medium base CFL when certifying 
compliance to the standards in Sec.  430.32(u) as it appeared in 10 CFR 
parts 200-499 edition revised as of January 1, 2016, the testing 
laboratory's ILAC accreditation body's identification number or other 
approved identification assigned by the ILAC accreditation body, the 
date of first manufacture, 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 number of sample units 
replaced during the seasoning period within each unique sample set used 
in determining the represented value, the lumen maintenance at 40 
percent of lifetime in percent (%) (and whether value is estimated), 
the lifetime in hours (h) (and whether value is estimated), life in 
years (and whether value is estimated), the lumen maintenance at 1,000 
hours in percent (%), and the results of rapid cycle stress testing in 
number of units passed. or the initial certification of new basic 
models or any subsequent certification based on new testing, estimates 
of lifetime, life, lumen maintenance at 40 percent of lifetime, and 
rapid cycle stress test surviving units may be reported (if indicated 
in the certification report) 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 in accordance with Sec.  429.71 of the development of all 
estimated values and any associated initial test data.
    (ii) For each basic model of integrated CFL when certifying 
compliance with general service lamp energy conservation standards, the 
testing laboratory's ILAC accreditation body's identification number or 
other identification assigned by the ILAC accreditation body, the date 
of first manufacture, a statement that the

[[Page 59417]]

compact fluorescent lamp is integrated, 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 CCT in 
kelvin (K), CRI, the lumen maintenance at 1,000 hours in percent (%), 
the lumen maintenance at 40 percent of lifetime in percent (%) (and 
whether value is estimated), start time in milliseconds, power factor, 
standby mode energy consumption in watts (W), the results of rapid 
cycle stress testing in number of units passed, the lifetime in hours 
(h) (and whether value is estimated), life in years (and whether value 
is estimated), and the number of sample units replaced during the 
seasoning period within the sample set used in determining the 
represented value. Estimates of lifetime, life, lumen maintenance at 40 
percent of lifetime, and rapid cycle stress test surviving units may be 
reported (if indicated in the certification report) 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 in accordance with Sec.  
429.71 of the development of all estimated values and any associated 
initial test data.
    (iii) For each basic model of non-integrated CFL when certifying 
compliance with general service lamp energy conservation standards, the 
testing laboratory's ILAC accreditation body's identification number or 
other identification assigned by the ILAC accreditation body, the date 
of first manufacture, a statement that the compact fluorescent lamp is 
non-integrated, the initial lumen output in lumens (lm), the input 
power in watts (W), the initial lamp efficacy in lumens per watt (lm/
W), the CCT in kelvin (K), CRI, the lumen maintenance at 40 percent of 
lifetime in percent (%) (and whether value is estimated), the lifetime 
in hours (h) (and whether value is estimated), and the number of sample 
units replaced during the seasoning period within each unique sample 
set used in determining the represented value. Estimates of lifetime 
and lumen maintenance at 40 percent of lifetime may be reported (if 
indicated in the certification report) 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 in accordance with Sec.  429.71 of the development of 
all estimated values and any associated initial test data.
    (c) Rounding requirements. For represented values,
    (1) Round input power to the nearest tenth of a watt.
    (2) Round lumen output to three significant digits.
    (3) Round initial lamp efficacy to the nearest tenth of a lumen per 
watt.
    (4) Round lumen maintenance at 1,000 hours to the nearest tenth of 
a percent.
    (5) Round lumen maintenance at 40 percent of lifetime to the 
nearest tenth of a percent.
    (6) Round CRI to the nearest whole number.
    (7) Round power factor to the nearest hundredths place.
    (8) Round lifetime to the nearest whole hour.
    (9) Round CCT to the nearest 100 kelvin (K).
    (10) Round standby mode power to the nearest tenth of a watt; and
    (11) 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. Adding in alphabetical order a definition for ``compact fluorescent 
lamp'';
0
b. Revising the definition of ``correlated color temperature''; and
0
c. Adding in alphabetical order adefinition for ``lifetime of a compact 
fluorescent lamp''.
    The additions and revision read as follows:


Sec.  430.2  Definitions.

* * * * *
    Compact fluorescent lamp (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; the term does not 
include circline or U-shaped lamps.
* * * * *
    Correlated color temperature (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 specified in Sec.  429.35(a)(1) of this chapter), 
determined 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 (e)(8) through (19) as paragraphs (e)(9) 
through (20), respectively, and adding new paragraph (e)(8);
0
b. Removing ``appendix R'' in paragraphs (l)(1) and (2) and adding in 
its place ``appendices R and W'';
0
c. Redesignating paragraph (o)(9) as (o)(13), paragraph (o)(10) as 
(o)(14), paragraph (o)(11) as (o)(15), and paragraph (o)(12) as 
(o)(16), paragraph (o)(8) as (o)(10), and paragraph (o)(7) as (o)(8),;
0
d. Adding new paragraphs (o)(7), (9), (11), and (12);
0
e. Adding paragraph (p)(7); and
0
f. Removing paragraph (v).
    The additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (e) * * *
    (8) ANSI C78.901-2014, American National Standard for Electric 
Lamps--Single-Based Fluorescent Lamps--Dimensional and Electrical 
Characteristics, ANSI approved July 2, 2014; IBR approved for appendix 
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, as follows:
    (i) Section 4--Physical/Environmental Test Conditions;
    (ii) Section 5--Electrical Test Conditions;
    (iii) Section 6--Test Procedure Requirements: Section 6.1--Test 
Preparation; and
    (iv) Section 6--Test Procedure Requirements, Section 6.2--Seasoning 
Test Procedures: Section 6.2.2.1--Discharge Lamps: Discharge Lamps 
except T5 fluorescent.
* * * * *
    (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, as follows:
    (i) Section 4.0--Ambient and Physical Conditions;
    (ii) Section 5.0--Electrical Conditions; and
    (iii) Section 6.0--Lamp Test Procedures
* * * * *

[[Page 59418]]

    (11) IES LM-66-14, (``IES LM-66''), IES Approved Method for the 
Electrical and Photometric Measurements of Single-Based Fluorescent 
Lamps, approved December 30, 2014; IBR approved for appendix W to 
subpart B, as follows:
    (i) Section 4.0--Ambient and Physical Conditions;
    (ii) Section 5.0--Power Source Characteristics; and
    (iii) Section 6.0--Testing Procedures Requirements.
    (12) 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) * * *
    (7) IEC 62301, (``IEC 62301-W''), Household electrical appliances--
Measurement of standby power, (Edition 2.0, 2011-01), Section 5--
Measurements, IBR approved for appendix W to subpart B.
* * * * *

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, 
input power, 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), color rendering index (CRI), 
correlated color temperature (CCT), power factor, start time, standby 
mode energy consumption, and time to failure in accordance with 
appendix W of this subpart. Express time to failure in hours.
    (2) Conduct the rapid cycle stress test in accordance with section 
3.3 of appendix W of 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, fluorescent 
lamp ballasts, and integrated light-emitting diode lamps 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 February 27, 2017, 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, 2016.
    On or after February 27, 2017, 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. Integrated compact fluorescent lamps.
    1.1.1. 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, time to failure, power 
factor, correlated color temperature (CCT), color rendering index 
(CRI), and start time of an integrated compact fluorescent lamp.
    1.1.2. This appendix describes how to conduct rapid cycle stress 
testing for integrated compact fluorescent lamps.
    1.1.3. This appendix specifies test methods required to measure 
standby mode energy consumption applicable to integrated CFLs 
capable of operation in standby mode (as defined in Sec.  430.2), 
such as those that can be controlled wirelessly.
    1.2. Non-integrated compact fluorescent lamps.
    1.2.1. This appendix specifies the test methods required to 
measure the initial lamp efficacy, lumen maintenance at 40 percent 
of lifetime, time to failure, CCT, and CRI for non-integrated 
compact fluorescent lamps.
    2. Definitions:
    2.1. Ballasted adapter means a ballast that is not permanently 
attached to a compact fluorescent lamp, 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 compact fluorescent 
lamp 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 compact fluorescent lamp 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.
    2.7. Measured initial input power means the 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 compact 
fluorescent lamp that is not an integrated compact fluorescent lamp.
    2.10. Percent variability means the result of dividing the 
difference between the maximum and minimum values by the average 
value for a contiguous set of separate time-averaged light output 
values spanning the specified time period. For a waveform of 
measured light output values, the time-averaged light output is 
computed over one full cycle of sinusoidal input voltage, as a 
moving average where the measurement interval is incremented by one 
sample for each successive measurement value.
    2.11. Power factor means the measured input power (watts) 
divided by the product of the measured RMS input voltage (volts) and 
the measured RMS input current (amps).
    2.12. Rated input voltage means the voltage(s) marked on the 
lamp as the intended operating voltage or, if not marked on the 
lamp, 120 V.
    2.13. Start plateau means the first 100 millisecond period of 
operation during which the percent variability does not exceed 5 
percent.
    2.14. Start time means the time, measured in milliseconds, 
between the application of power to the compact fluorescent lamp and 
the beginning of the start plateau.
    2.15. Time to failure means the time elapsed between first use 
and the point at which the compact fluorescent lamp (for a hybrid 
CFL, the primary light source) ceases to produce measureable lumen 
output.
    3. Active Mode Test Procedures
    3.1. General Instructions.
    3.1.1. In cases where there is a conflict, the language of the 
test procedure in this appendix takes precedence over any materials 
incorporated by reference.
    3.1.2. Maintain lamp operating orientation throughout seasoning 
and testing, including storage and handling between tests.
    3.1.3. 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). Season the CFL for a 
minimum of 100 hours in accordance with section 6.2.2.1 of IES LM-
54-12. During the 100 hour seasoning period, cycle the CFL (operate 
the lamps for 180 minutes, 20 minutes off) as specified in section 
6.4 of IES LM-65-14 (incorporated by reference; see Sec.  430.3).

[[Page 59419]]

    3.1.3.1. 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 3.3.1 of this 
appendix are satisfied.
    3.1.3.2. 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. 
Record number of lamps replaced, if any.
    3.1.4. Conduct all testing with the lamp operating at labeled 
wattage. This requirement applies to all CFLs, including those that 
are dimmable or multi-level.
    3.1.5. 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.
    3.1.6. 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.
    3.1.7. 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 primary light source.
    3.2. Test Procedures for Determining Initial Lamp Efficacy, 
Lumen Maintenance, CCT, CRI, and Power Factor.
    Determine initial lamp efficacy, lumen maintenance at 40 percent 
of lifetime of a compact fluorescent lamp (as defined in in Sec.  
430.2), CCT, and CRI for integrated and non-integrated CFLs. 
Determine lumen maintenance at 1,000 hours and 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 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), except maintain ambient temperature at 
25  1 [deg]C (77  1.8[emsp14][deg]F).
    3.2.1.3. Non-integrated CFLs must adhere to the reference 
ballast requirements in section 5.2 of IES LM-66 (incorporated by 
reference; see Sec.  430.3).
    3.2.1.3.1. Test non-integrated lamps rated for operation on and 
having reference ballast characteristics for either low frequency or 
high frequency circuits (e.g., many preheat start lamps) at low 
frequency.
    3.2.1.3.2. For low frequency operation, test non-integrated 
lamps rated for operation on either preheat start (starter) or rapid 
start (no starter) circuits on preheat.
    3.2.1.3.3. Operate non-integrated CFLs not listed in ANSI 
C78.901-2014 (incorporated by reference; see Sec.  430.3) using the 
following reference ballast settings:
    3.2.1.3.3.1. Operate 25-28 W, T5 twin 2G11-based lamps that are 
lower wattage replacements of 40 W, T5 twin 2G11-based lamps using 
the following reference ballast settings: 60 Hz, 400 volts, 0.270 
amps, and 1240 ohms.
    3.2.1.3.3.2. Operate 14-15 W, T4 quad G24q-2-based lamps that 
are lower wattage replacements of 18 W, T4 quad G24q-2-based lamps 
using the following reference ballast settings: 60 Hz, 220 volts, 
0.220 amps, and 815 ohms.
    3.2.1.3.3.3. Operate 21 W, T4 quad G24q-3-based lamps that are 
lower wattage replacements of 26 W, T4 quad G24q-3-based lamps using 
the following reference ballast settings: 60 Hz, 220 volts, 0.315 
amps, and 546 ohms.
    3.2.1.3.3.4. Operate 21 W, T4 quad G24d-3-based lamps that are 
lower wattage replacements of 26 W, T4 quad G24d-3-based lamps using 
the following reference ballast settings: 60 Hz, 220 volts, 0.315 
amps, and 546 ohms.
    3.2.1.3.3.5. Operate 21 W, T4 multi (6) GX24q-3-based lamps that 
are lower wattage replacements of 26 W, T4 multi (6) GX24q-3-based 
lamps using the following reference ballast settings: 60 Hz, 220 
volts, 0.315 amps, and 546 ohms.
    3.2.1.3.3.6. Operate 27-28 W, T4 multi (6) GX24q-3-based lamps 
that are lower wattage replacements of 32 W, T4 multi (6) GX24q-3-
based lamps using the following reference ballast settings: 20-26 
kHz, 200 volts, 0.320 amps, and 315 ohms.
    3.2.1.3.3.7. Operate 33-38 W, T4 multi (6) GX24q-4-based lamps 
that are lower wattage replacements of 42 W, T4 multi (6) GX24q-4-
based lamps using the following reference ballast settings: 20-26 
kHz, 270 volts, 0.320 amps, and 420 ohms.
    3.2.1.3.3.8. Operate 10 W, T4 square GR10q-4-based lamps using 
the following reference ballast settings: 60 Hz, 236 volts, 0.165 
amps, and 1,200 ohms.
    3.2.1.3.3.9. Operate 16 W, T4 square GR10q-4-based lamps using 
the following reference ballast settings: 60 Hz, 220 volts, 0.195 
amps, and 878 ohms.
    3.2.1.3.3.10. Operate 21 W, T4 square GR10q-4-based lamps using 
the following reference ballast settings: 60 Hz, 220 volts, 0.260 
amps, and 684 ohms.
    3.2.1.3.3.11. Operate 28 W, T6 square GR10q-4-based lamps using 
the following reference ballast settings: 60 Hz, 236 volts, 0.320 
amps, and 578 ohms.
    3.2.1.3.3.12. Operate 38 W, T6 square GR10q-4-based lamps using 
the following reference ballast settings: 60 Hz, 236 volts, 0.430 
amps, and 439 ohms.
    3.2.1.3.3.13. Operate 55 W, T6 square GRY10q-3-based lamps using 
the following reference ballast settings: 60 Hz, 236 volts, 0.430 
amps, and 439 ohms.
    3.2.1.3.3.14. For all other lamp designs not listed in ANSI 
C78.901-2014 (incorporated by reference; see Sec.  430.3) or section 
3.2.1.3.3 of this appendix:
    3.2.1.3.3.14.1. If the lamp is a lower wattage replacement of a 
lamp with specifications in ANSI C78.901-2014, use the reference 
ballast characteristics of the corresponding higher wattage lamp 
replacement in ANSI C78.901-2014.
    3.2.1.3.3.14.2. For all other lamps, use the reference ballast 
characteristics in ANSI 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. (See section 3.1.3 of this appendix.)
    3.2.2.2. Stabilize CFLs as specified in section 6.2.1 of IES LM-
66 (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 
5.0 of IES LM-66 (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 (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 (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 (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. Determine CCT as specified in section 6.4 of IES LM-66 
(incorporated by reference; see Sec.  430.3) and in accordance with 
CIE 15 (incorporated by reference; see Sec.  430.3).
    3.2.2.8. Determine CRI as specified in section 6.4 of IES LM-66 
(incorporated by reference; see Sec.  430.3) and in accordance with 
CIE 13.3 (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 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.
    Determine time to failure for integrated and non-integrated 
CFLs. Conduct rapid cycle stress testing for integrated CFLs only. 
Disregard section 3.0 of IES LM-65-14.
    3.3.1. Test Conditions and Setup

[[Page 59420]]

    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). Do not, however, 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. (See section 3.1.3 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 integrated 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.
    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 and 5.0 of IES LM-66 (incorporated by reference; see Sec.  
430.3), except maintain ambient temperature at 25  1 
[deg]C (77  1.8[emsp14][deg]F).
    3.4.2. Test Methods and Measurement
    3.4.2.1. Season CFLs. (See section 3.1.3 of this appendix.)
    3.4.2.2. After seasoning, store units at 25  5 
[deg]C ambient temperature for a minimum of 16 hours prior to the 
test, after which the ambient temperature must be 25  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 
a minimum of 3.0 hours and then be turned off for 16 to 24 hours 
prior to testing.
    3.4.2.3. Connect multichannel oscilloscope with data storage 
capability to record input voltage to CFL and light 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 light output or finer. Set oscilloscope to sample 
the light output waveform at a minimum rate of 2 kHz.
    3.4.2.4. Operate the CFL at the rated voltage and frequency.
    3.4.2.5. Upon the commencement of start time testing, record 
sampled light output until start plateau has been determined.
    3.4.2.6. Calculate the time-averaged light output value at least 
once every millisecond where the time-averaged light output is 
computed over one full cycle of sinusoidal input voltage, as a 
moving average where the measurement interval is incremented by one 
sample for each successive measurement value.
    3.4.2.7. Determine start time.
    4. Standby Mode Test Procedure
    Measure standby mode energy consumption for only integrated CFLs 
that are capable of operating in standby mode. The standby mode test 
method in this section may be completed before or after the active 
test method for determining lumen output, input power, CCT, CRI, and 
power factor in section 3 of this appendix. The standby mode test 
method in this section must be completed before the active mode test 
method for determining time to failure in section 3.3 of this 
appendix. The standby mode test method must be completed in 
accordance with applicable provisions in section 3.1.
    4.1. Test Conditions and Setup
    4.1.1. Position 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. Establish the ambient conditions (including air flow), 
power supply, electrical settings, and instrumentation in accordance 
with the specifications in sections 4.0, 5.0 and 6.0 of IES LM-66 
(incorporated by reference; see Sec.  430.3), except maintain 
ambient temperature at 25  1 [deg]C (77  
1.8[emsp14][deg]F).
    4.2. Test Methods, Measurements, and Calculations
    4.2.1. Season CFLs. (See section 3.1.3 of this appendix.)
    4.2.2. Connect the integrated CFL to the manufacturer-specified 
wireless control network (if applicable) and configure the 
integrated CFL in standby mode by sending a signal to the integrated 
CFL instructing it to have zero light output. The integrated CFL 
must remain connected to the network throughout the entire duration 
of the test.
    4.2.3. Stabilize the integrated CFL prior to measurement as 
specified in section 5 of IEC 62301-W (incorporated by reference; 
see Sec.  430.3).
    4.2.4. Measure the standby mode energy consumption in watts as 
specified in section 5 of IEC 62301-W (incorporated by reference; 
see Sec.  430.3).


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 
compliance 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.** At least 5 lamps
                                          must meet or exceed the
                                          minimum number of cycles.
Lifetime **............................  >=6,000 hours.
------------------------------------------------------------------------
* Use labeled wattage to determine the appropriate efficacy requirements
  in this table; do not use measured wattage for this purpose.
** Lifetime refers to lifetime of a compact fluorescent lamp as defined
  in 10 CFR 430.2.

    (2) [Reserved].
* * * * *
[FR Doc. 2016-19967 Filed 8-26-16; 8:45 am]
 BILLING CODE 6450-01-P