[Federal Register Volume 83, Number 184 (Friday, September 21, 2018)]
[Rules and Regulations]
[Pages 47806-47813]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-20599]


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DEPARTMENT OF ENERGY

10 CFR Part 430

[EERE-2016-BT-TP-0037]
RIN 1904-AD74


Energy Conservation Program: Test Procedures for Integrated 
Light-Emitting Diode Lamps

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

ACTION: Final rule.

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[[Page 47807]]

SUMMARY: On July 1, 2016, the U.S. Department of Energy (DOE) published 
a final rule adopting a test procedure for integrated light-emitting 
diode (LED) lamps (hereafter referred to as ``LED lamps'') to support 
the implementation of labeling provisions by the Federal Trade 
Commission, as well as the general service lamps rulemaking, which 
includes LED lamps. This final rule amends the LED lamps test procedure 
by allowing for time to failure measurements to be taken at elevated 
temperatures consistent with the ENERGY STAR program requirements.

DATES: The effective date of this rule is October 22, 2018.

ADDRESSES: The docket, which includes Federal Register notices, 
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/standards.aspx?productid=19. The docket web page contains simple 
instructions on how to access all documents, including public comments, 
in the docket.

FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-2J, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 287-1604. Email: 
[email protected].
    Ms. Celia Sher, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121. 
Telephone: (202) 287-6122. Email: [email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Authority and Background
II. Synopsis of the Final Rule
III. Discussion
    A. Scope of Applicability
    B. Amended Approach for Determining Lifetime
    C. Test Procedure Costs and Impact
    D. Effective and Compliance Dates
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under Executive Order 13771
    C. Review Under the Regulatory Flexibility Act
    D. Review Under the Paperwork Reduction Act of 1995
    E. Review Under the National Environmental Policy Act of 1969
    F. Review Under Executive Order 13132
    G. Review Under Executive Order 12988
    H. Review Under the Unfunded Mandates Reform Act of 1995
    I. Review Under the Treasury and General Government 
Appropriations Act, 1999
    J. Review Under Executive Order 12630
    K. Review Under Treasury and General Government Appropriations 
Act, 2001
    L. Review Under Executive Order 13211
    M. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    N. Congressional Notification
V. Approval of the Office of the Secretary

I. Authority and Background

    Title III of the Energy Policy and Conservation Act of 1975 (42 
U.S.C. 6291, et seq.; ``EPCA'' or ``the Act''), among other things, 
authorizes DOE to regulate the energy efficiency of a number of 
consumer products and industrial equipment.\1\ Title III, Part B \2\ of 
EPCA established the Energy Conservation Program for Consumer Products 
Other Than Automobiles, which sets forth a variety of provisions 
designed to improve energy efficiency. These consumer products include 
integrated light-emitting diode (LED) lamps, the subject of this 
document.
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    \1\ All references to EPCA refer to the statute as amended 
through the EPS Improvement Act of 2017, Public Law 115-115 (January 
12, 2018).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated Part A.
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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. Relevant 
provisions of the Act include definitions (42 U.S.C. 6291), energy 
conservation standards (42 U.S.C. 6295), test procedures (42 U.S.C. 
6293), labeling provisions (42 U.S.C. 6294), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6296). 
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 those products 
(42 U.S.C. 6293(c)). Similarly, DOE must use these test procedures to 
determine whether the products comply with any relevant standards 
promulgated under EPCA. (42 U.S.C. 6295(s))
    Federal energy efficiency requirements for covered products 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (See 
42 U.S.C. 6297) DOE may, however, grant waivers of Federal preemption 
for particular State laws or regulations, in accordance with the 
procedures and other provisions of EPCA. (42 U.S.C. 6297(d)
    Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered products. EPCA provides, in relevant part, that any test 
procedures prescribed or amended under this section shall be reasonably 
designed to produce test results which measure energy efficiency, 
energy use or estimated annual operating cost of a covered product 
during a representative average use cycle or period of use and shall 
not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3))
    In addition, if DOE determines that a test procedure amendment is 
warranted, it must publish a proposed test procedure and offer the 
public an opportunity to present oral and written comments on it. (42 
U.S.C. 6293(b)(2)) EPCA also requires that, at least once every 7 
years, DOE review test procedures for each type of covered product, 
including integrated LED lamps, 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 or period of use. (42 U.S.C. 
6293(b)(1)(A)) If the Secretary determines, on his own behalf or in 
response to a petition by any interested person, that a test procedure 
should be prescribed or amended, the Secretary shall promptly publish 
in the Federal Register proposed test procedures and afford interested 
persons an opportunity to present oral and written data, views, and 
arguments with respect to such procedures. The comment period on a 
proposed rule to amend a test procedure shall be at least 60 days and 
may not exceed 270 days. In prescribing or amending a test procedure, 
the Secretary shall take into account such information as the Secretary 
determines relevant to such procedure, including technological 
developments relating to energy use or energy efficiency of the type 
(or class) of covered products involved. (42 U.S.C. 6293(b)(2)) If DOE 
determines that test procedure revisions are not appropriate, DOE must 
publish notice in the Federal Register of its determination not to 
amend the test procedure. (42 U.S.C. 6293(b)(1)(A))

[[Page 47808]]

    DOE published a final rule in the Federal Register on July 1, 2016 
(hereafter the ``July 2016 LED TP final rule''), which adopted test 
procedures for integrated LED lamps in appendix BB to subpart B of 10 
CFR part 430 to support the implementation of labeling provisions by 
the Federal Trade Commission, as well as the general service lamps 
rulemaking, a category of lamps that includes LED lamps. 81 FR 43403. 
On November 4, 2016, DOE published a notice of proposed rulemaking 
(NOPR) (hereafter the ``November 2016 LED TP NOPR'') in the Federal 
Register proposing an amendment to the integrated LED lamp test 
procedures to allow for time to failure measurements to be taken at 
elevated temperatures. 81 FR 76877. In this final rule, DOE adopts that 
amendment and responds to comments received on the November 2016 LED TP 
NOPR.

II. Synopsis of the Final Rule

    Based on stakeholder feedback since the publication of the July 
2016 LED TP final rule, DOE proposed in the November 2016 LED TP NOPR 
to allow time to failure measurements collected for DOE's LED lamps 
test procedure to be taken at elevated temperatures. In this final 
rule, DOE amends the test procedure for integrated LED lamps as 
proposed in the NOPR without any further modification.
    The effective date for the amended test procedures adopted in this 
final rule will be 30 days after publication of this document in the 
Federal Register. Representations of energy use or energy efficiency 
must be based on testing in accordance with the amended test procedures 
beginning 180 days after the publication of this final rule. DOE notes 
that the amended test procedure allows measurements to be taken at 
elevated temperatures but does not require it.

III. Discussion

A. Scope of Applicability

    EPCA defines an LED as a p-n junction \3\ solid-state device, the 
radiated output of which, either in the infrared region, visible 
region, or ultraviolet region, is a function of the physical 
construction, material used, and exciting current of the device. (42 
U.S.C. 6291(30)(CC)) In the July 2016 LED TP final rule, DOE stated 
that the rulemaking applied to LED lamps that met DOE's adopted 
definition of an integrated LED lamp, which was based on the term as 
defined by ANSI/IES \4\ RP-16-2010, ``Nomenclature and Definitions for 
Illuminating Engineering,'' and adopted as follows:
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    \3\ P-n junction is the boundary between p-type and n-type 
material in a semiconductor device, such as LEDs. P-n junctions are 
diodes, active sites where current can flow readily in one direction 
but not in the other direction.
    \4\ American National Standards Institute/Illuminating 
Engineering Society of North America
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    Integrated light-emitting diode lamp means an integrated LED lamp 
as defined in ANSI/IES RP-16.
    The ANSI/IES standard defines an integrated LED lamp as an 
integrated assembly that comprises LED packages (components) or LED 
arrays (modules) (collectively referred to as an LED source), an LED 
driver, an ANSI standard base, and other optical, thermal, mechanical 
and electrical components (such as phosphor layers, insulating 
materials, fasteners to hold components within the lamp together, and 
electrical wiring). The LED lamp is intended to connect directly to a 
branch circuit through a corresponding ANSI standard socket. 81 FR 
43405.

B. Amended Approach for Determining Lifetime

    In the July 2016 LED TP final rule, DOE adopted test procedures, 
located in appendix BB to subpart B of 10 CFR part 430, for measuring 
and projecting time to failure of LED lamps based on lumen maintenance 
data. The adopted test procedures were largely based on the industry 
standards IES LM-84-14, ``Approved Method: Measuring Luminous Flux and 
Color Maintenance of LED Lamps, Light Engines, and Luminaires,'' and 
IES TM-28-14, ``Projecting Long-Term Luminous Flux Maintenance of LED 
Lamps and Luminaires,'' for the applicable lumen maintenance 
measurements and time to failure projection methods, with some 
modifications. 81 FR 43427-43428 (July 1, 2016). IES LM-84-14 provides 
a method for lumen maintenance measurement of integrated LED lamps and 
specifies the operational and environmental conditions during testing 
such as operating cycle, ambient temperature, airflow, and orientation. 
Lumen maintenance is the measure of lumen output after an elapsed 
operating time, expressed as a percentage of the initial lumen output. 
IES TM-28-14 provides methods for projecting the lumen maintenance of 
integrated LED lamps depending on the available data and test duration. 
The provided methods include projecting time to failure using multiple 
lumen maintenance measurements collected over a period of time, rather 
than a single measurement at the end of the test duration. 81 FR 43409 
(July 1, 2016). DOE's test procedure adopted in the July 2016 LED TP 
final rule requires that the projection calculation be completed for 
each individual LED lamp and the projected time to failure values then 
be used to calculate the lifetime of the sample using the prescribed 
methods. 81 FR 43414. The lumen maintenance measurements used in the 
projection are specified to be taken at an ambient temperature of 25 
[deg]C  5 [deg]C.
    After the publication of the July 2016 LED TP final rule, the 
National Electrical Manufacturers Association (NEMA) requested that DOE 
approve the use of test results from the Elevated Temperature Life Test 
\5\ contained in the ENERGY STAR Program Requirements Product 
Specification for Lamps (Light Bulbs) Eligibility Criteria Version 2.0 
(hereafter ``ENERGY STAR Lamps Specification V2.0'') \6\ in place of 
the test method for measuring lumen maintenance and time to failure in 
DOE's LED lamps test procedure because it would reduce test burden. 
NEMA asserted that because the test conditions from the Elevated 
Temperature Life Test are more stringent, the test results, if 
different, would be more conservative than if the lamps were tested 
according to the current DOE LED lamps test procedure. 81 FR 76878-
76879 (November 4, 2016). In response to this request, DOE proposed in 
the November 2016 LED TP NOPR to amend the integrated LED lamps test 
procedure to allow for time to failure testing to be conducted at 
elevated temperatures.
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    \5\ The ENERGY STAR Elevated Temperature Life Test Method can be 
found at https://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Elevated%20Temperature%20Life%20Test%20Method.pdf.
    \6\ ``ENERGY STAR Program Requirements: Product Specification 
for Lamps (Light Bulbs) Version 2.0.'' U.S. Environmental Protection 
Agency, February 2016.
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    As noted in the November 2016 LED TP NOPR, DOE compared the current 
DOE LED lamps test procedure and the methods contained in the ENERGY 
STAR Elevated Temperature Life Test and determined that the operating 
temperature test conditions specified in the ENERGY STAR Elevated 
Temperature Life Test will more negatively affect performance values 
than those prescribed in DOE's LED lamps test procedure since the 
Elevated Temperature Life Test requires testing of LED lamps at higher 
ambient temperatures. Specifically, the Elevated Temperature Life Test 
requires directional lamps with rated wattages less than or equal to 20 
W to be tested at 45 [deg]C  5 [deg]C; directional lamps 
with rated wattages greater than 20 W to be

[[Page 47809]]

tested at 55 [deg]C  5 [deg]C; and all other 
omnidirectional and decorative lamps to be tested at 45 [deg]C  5 [deg]C. DOE's test procedure requires operating temperature to 
be maintained at 25 [deg]C  5 [deg]C. 81 FR at 76879 
(November 4, 2016).
    In addition to a difference in ambient temperature during lumen 
maintenance testing, DOE noted in the November 2016 LED TP NOPR that 
ENERGY STAR's and DOE's test procedures also differ in how to determine 
the value of lifetime. ENERGY STAR's test procedure provides a method 
to confirm a manufacturer-declared lifetime value. It requires 
manufacturers to meet or exceed minimum lumen maintenance values at a 
specific test duration to be able to claim a certain maximum lifetime. 
For example, for a lamp to be certified with a lifetime of 25,000 
hours, that lamp must achieve a minimum lumen maintenance of 91.8 
percent after 6,000 hours of operation. DOE's test procedure for 
determining lifetime depends on the time to failure of individual 
units, which is determined by taking lumen maintenance measurements at 
multiple intervals and then calculating the time to failure. For 
example, after 6,000 hours of testing, manufacturers can use the 
specified method to project a lamp's time to failure value to be up to 
36,000 hours. Lifetime is then determined by calculating 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). This is consistent with the statutory 
definition of lifetime, which is described as the length of operating 
time of a statistically large group of lamps between first use and 
failure of 50 percent of the group. 42 U.S.C. 6291(30)(P).
    To maintain consistency with the statutory definition of lifetime, 
in the November 2016 LED TP NOPR, DOE did not propose to allow for an 
entire substitution of the ENERGY STAR lifetime test procedure in place 
of DOE's time to failure measurements. Instead, DOE proposed to amend 
section 4.4.4 of appendix BB to allow time to failure testing to be 
conducted at elevated temperatures above the current requirement, which 
stipulates to maintain ambient operating temperature at 25 [deg]C 
 5 [deg]C. Manufacturers would then have the flexibility to 
conduct the Elevated Temperature Life Test for ENERGY STAR, while also 
following the calculation method for DOE's LED lamps test procedure, 
and avoid test duplication. LED lamps are sensitive to changes in 
ambient temperature, generally performing less favorably at higher 
temperatures. DOE tentatively concluded that this proposed change would 
result in, if any difference, more conservative representations of 
lifetime. Id.
    DOE received only one stakeholder comment pertaining to LED lamps 
and the proposed test procedure amendment. Intertek commented that they 
support the proposed amendment to the test procedure and added that 
testing at elevated temperature is more stringent than at normal 
ambient temperatures (i.e., 25 [deg]C). Intertek concluded that 
laboratory tests have confirmed this assessment and noted that elevated 
temperatures stress each of the lamp components in conditions that more 
accurately reflect the end-use environments of lamps intended for use 
in enclosed or recessed fixtures. (Intertek, No. 2 at p. 1) DOE 
appreciates the feedback confirming that testing at elevated 
temperatures results in more conservative estimates for lamp lifetime. 
DOE did not receive any other comments. Therefore, DOE is adopting the 
amendment to the integrated LED lamps test procedure as proposed in the 
November 2016 LED TP. Thus, DOE is amending section 4.4.4 of appendix 
BB to subpart B of 10 CFR part 430 to allow time to failure testing to 
be conducted at an ambient temperature of 25 [deg]C  5 
[deg]C or at a manufacturer-selected temperature higher than 25 [deg]C 
with the same 5 [deg]C tolerance.

C. Test Procedure Costs and Impact

    EPCA requires that test procedures adopted by DOE not be unduly 
burdensome to conduct. In this document, DOE amends the existing test 
procedure for integrated LED lamps by allowing time to failure testing 
to be conducted at temperatures higher than ambient temperature. DOE 
has determined that this amendment would not be unduly burdensome for 
manufacturers to conduct and instead would decrease the test burden for 
many manufacturers that participate in the ENERGY STAR program.
    The existing test procedure for integrated LED lamps, adopted in 
the July 2016 LED TP final rule, included a method to determine 
lifetime in support of Federal Trade Commission (FTC) labeling 
requirements. As such, any integrated LED lamp that makes 
representations of lifetime must use DOE's test procedure to determine 
lifetime. Many manufacturers also participate in the ENERGY STAR 
program and certify models of integrated LED lamps as compliant with 
those voluntary requirements. The ENERGY STAR specification for lamps 
requires that models be tested for lifetime at elevated temperatures 
unless they are labeled (1) ``not for use in totally enclosed 
luminaires'' (or equivalent statement), and (2) ``not for use in 
recessed luminaires'' (or equivalent statement) on the lamp and lamp 
packaging.\7\ There are 8,051 distinct models of LED lamps certified 
through the ENERGY STAR program. Of these, there are 1,816 models of 
LED lamps certified as meeting the criteria to be tested at ambient 
temperature. That means the remaining 6,235 models of LED lamps that 
are certified in ENERGY STAR must be tested at elevated temperatures.
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    \7\ ENERGY STAR's Specification for Lamps V2.1 is available 
here: https://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Lamps%20V2.1%20Final%20Specification_1.pdf.
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    As described in section III.B, DOE is amending the test procedure 
for integrated LED lamps to allow time to failure testing to be 
conducted at either ambient temperature or at a manufacturer-selected 
temperature higher than ambient temperature. The amendment does not 
require any integrated LED lamp model to be retested. Currently under 
the DOE requirements, representations of lifetime require the use of 
test values obtained at ambient temperature, which will still be 
permitted under the amendment adopted in this final rule. However, this 
amendment can reduce burden for manufacturers who also certify models 
in the ENERGY STAR program in categories that require the testing of 
lifetime to be at elevated temperatures. Rather than conduct two 
separate tests for lifetime--one at ambient temperature per DOE's test 
procedure and one at elevated temperature per ENERGY STAR's test 
procedure--they can now conduct only one test at elevated temperature 
and use the test data to satisfy the requirements of both the mandatory 
Federal regulatory program and the voluntary ENERGY STAR program.
    Because the market for integrated LED lamps is rapidly changing, 
DOE estimates, using information from lamp manufacturer interviews, 
that basic models of LED lamps are distributed in commerce for about 
two years before new models are introduced to take their place. While 
manufacturers must submit a report annually to certify a basic model's 
representation of lifetime, basic models do not need to be retested 
annually, unless required to support certification of a new, more 
efficient rating.\8\ Because of the short time that

[[Page 47810]]

basic models of LED lamps are distributed in commerce, DOE has 
determined that represented values for LED lamps are not revised during 
the two years they are distributed. Thus, DOE concludes that lifetime 
testing is conducted every two years for the number of basic models on 
the market, or every year for half the number of models on the market. 
In the July 2016 LED TP final rule, DOE estimated the cost of a 
lifetime test at a third-party lab to be $7,880 per basic model. 81 FR 
43404, 43422 (July 1, 2016). If all of the 6,235 models of integrated 
LED lamps certified in ENERGY STAR that require testing at elevated 
temperatures were to conduct only one lifetime test instead of two, DOE 
estimates that the net present value (NPV) of savings would be up to 
$754 million at a 3 percent discount rate or up to $311 million at a 7 
percent discount rate.
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    \8\ See guidance issued by DOE at https://www.regulations.gov/document?D=EERE-2016-BT-TP-0037-0004.

                               Table III.1--Integrated LED Lamp Costs or (Savings)
----------------------------------------------------------------------------------------------------------------
                                                                                                    Costs or
                                                                                  Costs or          (savings)
                                                                                  (savings)        (millions)
----------------------------------------------------------------------------------------------------------------
One Time Costs or (Savings).................................................                $0             $0.00
Annual Costs or (Savings)...................................................      (23,321,650)           (23.32)
NPV at 3%...................................................................     (754,745,955)          (754.75)
NPV at 7%...................................................................     (311,370,494)          (311.37)
Annualized Costs or (Savings) at 3%.........................................      (22,642,379)           (22.64)
Annualized Costs or (Savings) at 7%.........................................      (21,795,935)           (21.80)
----------------------------------------------------------------------------------------------------------------

D. Effective and Compliance Dates

    The effective date for the adopted test procedure amendment will be 
30 days after publication of this final rule in the Federal Register. 
EPCA prescribes that all representations of energy efficiency and 
energy use, including those made on marketing materials and product 
labels, must be made in accordance with an amended test procedure, 
beginning 180 days after publication of the final rule in the Federal 
Register. (42 U.S.C. 6293(c)(2)) EPCA provides an allowance for 
individual manufacturers to petition DOE for an extension beyond the 
180-day statutory period if the manufacturer may experience undue 
hardship in meeting the deadline. (42 U.S.C. 6293(c)(3)) To receive 
such an extension, petitions must be filed with DOE no later than 60 
days before the end of the 180-day period and must detail how the 
manufacturer will experience undue hardship. (Id.)

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

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

B. Review Under Executive Order 13771

    On January 30, 2017, the President issued Executive Order 13771, 
``Reducing Regulation and Controlling Regulatory Costs.'' The Executive 
Order stated the policy of the executive branch is to be prudent and 
financially responsible in the expenditure of funds, from both public 
and private sources. The Order stated that it is essential to manage 
the costs associated with the governmental imposition of private 
expenditures required to comply with Federal regulations. Consistent 
with Executive Order 13771, this final rule is estimated to result in 
cost savings. Assuming a 7 percent discount rate, the final rule yields 
annualized cost savings of approximately $22.96 million (2016$). 
Therefore, this rule is an Executive Order 13771 deregulatory action.

C. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of a final regulatory flexibility analysis (FRFA) for any 
final rule where the agency was first required by law to publish a 
proposed rule for public comment, unless the agency certifies that the 
rule, if promulgated, will not have a significant economic impact on a 
substantial number of small entities. As required by Executive Order 
13272, ``Proper Consideration of Small Entities in Agency Rulemaking,'' 
67 FR 53461 (August 16, 2002), DOE published procedures and policies on 
February 19, 2003 to ensure that the potential impacts of its rules on 
small entities are properly considered during the DOE rulemaking 
process. 68 FR 7990. DOE has made its procedures and policies available 
on the Office of the General Counsel's website: http://energy.gov/gc/office-general-counsel. DOE certified in the November 2016 LED TP NOPR 
that the adopted test procedure amendment will not have a significant 
economic impact on a substantial number of small entities, and the 
preparation of a FRFA is not warranted. The factual basis for this 
certification is discussed in the following paragraphs.
    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 LED lamps 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.
    To estimate the number of companies that could be small businesses 
that sell LED lamps covered by this rulemaking, DOE conducted a market 
survey using publicly available information. DOE's research involved 
information from the Environmental Protection Agency's ENERGY STAR 
Certified Light Bulbs Database,\9\ previous rulemakings, individual 
company websites, SBA's database, and market research tools (e.g., 
Hoover's \10\ reports). DOE screened out companies that did not meet 
the definition of a ``small business'' or are completely foreign owned 
and operated. DOE identified approximately seven small businesses that 
maintain domestic production facilities for the integrated LED lamps 
covered by this rulemaking.
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    \9\ ENERGY STAR Certified Light Bulbs Database, https://www.energystar.gov/productfinder/product/certified-light-bulbs/results (last accessed April 2, 2018).
    \10\ http://hoovers.com/.
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    DOE notes that this final rule merely amends the existing LED test 
procedure in a way that will reduce test burden on manufacturers by 
providing the option of testing at elevated temperatures. The

[[Page 47811]]

adopted amendment will reduce the instances in which two tests for 
lifetime must be conducted for the same lamp. In addition, the 
amendment is supported by industry, including NEMA. Manufacturers that 
seek to test time to failure at elevated temperatures under the 
amendment are likely to have previously accounted for testing costs 
associated with the ENERGY STAR program as these measurements are 
required to be reported to ENERGY STAR if manufacturers certify the 
lamps as meeting the program requirements. For manufacturers who do not 
test products at elevated temperatures, this amendment presents no 
additional burden.
    Based on the criteria outlined earlier and the reasons discussed in 
this section, DOE previously certified in the November 2016 LED TP NOPR 
that the amendment adopted in this final rule will not have a 
significant economic impact on a substantial number of small entities. 
The factual basis for this certification has not changed.

D. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of LED lamps 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 LED lamps. (See 
generally 10 CFR part 429.) 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 35 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 must any person be subject to a penalty for 
failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB control number.

E. Review Under the National Environmental Policy Act of 1969

    In this final rule, DOE amends its test procedure for LED lamps. 
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 final rule amends 
the existing test procedure for integrated LED lamps 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.

F. Review Under Executive Order 13132

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

G. 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.

H. 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

[[Page 47812]]

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.

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

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

J. 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.

K. 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.

L. 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 to amend the test procedure for measuring 
the lumen maintenance and time to failure of LED lamps is not a 
significant regulatory action under Executive Order 12866. Moreover, it 
will 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.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the Chairman of the FTC concerning the impact 
of the commercial or industry standards on competition.
    The amendment to the test procedures for LED lamps adopted in this 
final rule does not incorporate any new standards that would require 
compliance under section 32(b) of the FEAA.

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 in 10 CFR Part 430

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

    Issued in Washington, DC, September 14, 2018.
Cathy Tripodi,
Acting Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

    For the reasons stated in the preamble, DOE amends part 430 of 
Chapter II of Title 10, Code of Federal Regulations as set forth below:

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
1. 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
2. Appendix BB to subpart B of part 430 is amended by revising the 
introductory note and second sentence of section 4.4.4 to read as 
follows:

Appendix BB to Subpart B of Part 430--Uniform Test Method for Measuring 
the Input Power, Lumen Output, Lamp Efficacy, Correlated Color 
Temperature (CCT), Color Rendering Index (CRI), Power Factor, Time to 
Failure, and Standby Mode Power of Integrated Light-Emitting Diode 
(LED) Lamps

    Note: On or after March 20, 2019, any representations made with 
respect to the energy use or efficiency of integrated light-emitting 
diode lamps must be made in accordance with the results of testing 
pursuant to this appendix.

* * * * *

4. Active Mode Test Method to Measure Time to Failure

* * * * *

4.4. Operating Conditions and Setup Between Lumen Output 
Measurements

* * * * *
    4.4.4. * * * Maintain the ambient temperature at 25 [deg]C 
 5 [deg]C or at a

[[Page 47813]]

manufacturer-selected temperature higher than 25 [deg]C with the 
same 5 [deg]C tolerance.
* * * * *
[FR Doc. 2018-20599 Filed 9-20-18; 8:45 am]
 BILLING CODE 6450-01-P