[Federal Register Volume 86, Number 105 (Thursday, June 3, 2021)]
[Proposed Rules]
[Pages 29888-29921]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-10067]



[[Page 29887]]

Vol. 86

Thursday,

No. 105

June 3, 2021

Part II





Department of Energy





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10 CFR Parts 429 and 430





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

  Federal Register / Vol. 86 , No. 105 / Thursday, June 3, 2021 / 
Proposed Rules  

[[Page 29888]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[EERE-2017-BT-TP-0011]
RIN 1904-AD85


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

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

ACTION: Notice of proposed rulemaking and request for comment.

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SUMMARY: The U.S. Department of Energy (``DOE'') proposes to amend the 
test procedures for general service fluorescent lamps (``GSFLs''), 
incandescent reflector lamps (``IRLs''), and general service 
incandescent lamps (``GSILs'') to update to the latest versions of the 
referenced industry test standards and provide cites to specific 
sections of these standards; to clarify definitions, test conditions 
and methods, and measurement procedures; to clarify test frequency and 
inclusion of cathode power in measurements for GSFLs; to provide a test 
method for measuring color rendering index (``CRI'') of GSILs and IRLs 
and for measuring lifetime of IRLs; to allow manufacturers to make 
voluntary (optional) representations of GSFLs at high frequency 
settings; to revise the sampling requirements; and to align sampling 
and certification requirements with proposed test procedure terminology 
and with the Federal Trade Commission's labeling program. DOE is 
seeking comment from interested parties on the proposal.

DATES: 
    Meeting: DOE will hold a webinar on Thursday, June 24, 2021, from 
10:00 a.m. to 2:00 p.m.
    Comments: DOE will accept comments, data, and information regarding 
this proposal no later than August 2, 2021. See section V, ``Public 
Participation,'' for details.

ADDRESSES: See section V, ``Public Participation,'' for webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants. If no 
participants register for the webinar then it will be cancelled.
    Interested persons are encouraged to submit comments using the 
Federal eRulemaking Portal at https://www.regulations.gov. Follow the 
instructions for submitting comments. Alternatively, interested persons 
may submit comments, identified by docket number EERE-2017-BT-TP-0011, 
by email: [email protected]. Include the docket number EERE-
2017-BT-TP-0011 or regulatory information number (``RIN'') 1904-AD85 in 
the subject line of the message.
    Although DOE has routinely accepted public comment submissions 
through a variety of mechanisms, including the Federal eRulemaking 
Portal, email, postal mail, or hand delivery/courier, DOE has found it 
necessary to make temporary modifications to the comment submission 
process in light of the ongoing Covid-19 pandemic. DOE is currently 
suspending receipt of public comments via postal mail and hand 
delivery/courier. If a commenter finds that this change poses an undue 
hardship, please contact Appliance Standards Program staff at (202) 
586-1445 to discuss the need for alternative arrangements. Once the 
Covid-19 pandemic health emergency is resolved, DOE anticipates 
resuming all of its regular options for public comment submission, 
including postal mail and hand delivery/courier.
    Docket: The docket, which includes Federal Register notices, 
comments, and other supporting documents/materials, is available for 
review at https://ww.regulations.gov. All documents in the docket are 
listed in the https://ww.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.
    The docket web page can be found at https://www.regulations.gov/docket/EERE-2017-BT-TP-0011. The docket web page contains simple 
instructions on how to access all documents, including public comments, 
in the docket. See section V for information on how to submit comments 
through https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: 
    Dr. Stephanie Johnson, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-5B, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 287-1943. Email: [email protected].
    Ms. Celia Sher, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121. 
Telephone: (202) 287-6122. Email: [email protected].
    For further information on how to submit a comment or review other 
public comments and the docket, contact the Appliance and Equipment 
Standards Program staff at (202) 287-1445 or by email: 
[email protected].

SUPPLEMENTARY INFORMATION: DOE proposes to maintain previously approved 
incorporation by references and to incorporate by reference the 
following industry test standards into 10 CFR part 430:
    ANSI Standard C78.21-2011 (R2016), (``ANSI C78.21-2011 (R2016)''), 
``American National Standard for Electric Lamps--PAR and R Shapes,'' 
approved August 23, 2016.
    ANSI Standard C78.79-2014 (R2020), (``ANSI C78.79-2014 (R2020)''), 
``American National Standard for Electric Lamps--Nomenclature for 
Envelope Shapes Intended for Use with Electric Lamps,'' approved 
January 17, 2020.
    ANSI Standard C78.81, (``ANSI C78.81-2016''), ``American National 
Standard for Electric Lamps--Double-Capped Fluorescent Lamps--
Dimensional and Electrical Characteristics,'' approved June 29, 2016.
    ANSI Standard C78.375A-2014 (R2020), (``ANSI C78.375A-2014 
(R2020)''), ``ANSI C78.375A-2014 (R2020) Revision of ANSI C78.375-2014, 
American National Standard for Electric Lamps-Fluorescent Lamps-Guide 
for Electrical Measures,'' approved January 17, 2020.
    ANSI Standard C78.901, (``ANSI C78.901-2016''), ``American National 
Standard for Electric Lamps--Single-Based Fluorescent Lamps--
Dimensional and Electrical Characteristics,'' approved August 23, 2016.
    ANSI__ANSLG_C81.61-2006, Revision of ANSI C81.61-2005, (``ANSI 
C81.61''), American National Standard for electrical lamp bases--
Specifications for Bases (Caps) for Electric Lamps, approved August 25, 
2006.
    ANSI Standard C82.3, (``ANSI C82.3'') ``American National Standard 
for ``For Reference Lamp Ballasts for Fluorescent Lamps,'' approved 
April 8, 2016.
    IES Test Method LM-9, (``IES LM-9-20'') ``ANSI/IES LM-9-2020--
Approved Method: Electrical and Photometric Measurements of Fluorescent 
Lamps,'' approved February 7, 2020.
    IES Test Method LM-20, (``IES LM-20-20'') ``ANSI/IES LM-20-20 
Approved Method: Photometry of Reflector Type Lamps,'' approved 
February 7, 2020.
    IES Test Method LM-45, (``IES LM-45-20'') ``ANSI/IES LM-45-20 
Approved Method: Electrical and

[[Page 29889]]

Photometric Measurement of General Service Incandescent Filament 
Lamps,'' approved February 7, 2020.
    IES Test Method LM-49, (``IES LM-49'') ``ANSI/IES LM-49-20 Approved 
Method: Life Testing of Incandescent Filament Lamps,'' approved 
February 7, 2020.
    IES Test Method LM-54, (``IES LM-54''), ``ANSI/IES LM-54-20 
Approved Method: IES Guide to Lamp Seasoning,'' approved February 7, 
2020.
    IES Test Method LM-58, (``IES LM-58'') ``ANSI/IES LM-58-20 Approved 
Method: Spectroradiometric Measurements Methods for Lighting Sources,'' 
approved February 7, 2020.
    IES Test Method LM-78, (``IES LM-78'') ``ANSI/IES LM-78-20 Approved 
Method: Total Luminous Flux Measurement of Lamps Using an Integrating 
Sphere Photometer,'' approved February 7, 2020.
    CIE 15:2018, (``CIE 15:2018'') ``Colorimetry, 4th Edition,'' 
approved 2018.
    Copies of ANSI C78.21, ANSI C78.79, ANSI C78.81, ANSI C78.375A, 
ANSI C78.901, ANSI C81.61, and ANSI C82.3 are available at https://www.ansi.org or https://www.nema.org. Copies of IES LM-20, IES LM-45, 
IES LM-49, IES LM-58, IES LM-54 and IES LM-78 can be obtained by going 
to https://www.ies.org/store. Copies of CIE 15:2018 can be obtained by 
going to https://cie.co.at/publications.
    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 Notice of Proposed Rulemaking
III. Discussion
    A. Scope of Applicability
    B. Incorporation by Reference of Industry Test Standards
    1. ANSI C78.375, ANSI C78.81, ANSI C78.901, and ANSI C82.3
    2. IES LM-58
    3. IES LM-45
    4. IES LM-49
    5. IES LM-20
    6. IES LM-9
    7. IES LM-54
    8. IES LM-78
    9. CIE 15
    C. Proposed Amendments to Appendix R
    1. Definitions
    2. General Instructions
    3. Test Method for Determining Initial Lamp Efficacy, CRI, and 
CCT
    4. Test Methods, Measurements, and Calculations for Determining 
Time to Failure
    5. References to Industry Test Standards
    D. Amendments to 10 CFR 429.27, 10 CFR 429.33 and 10 CFR 430.2
    1. Definitions
    2. Sampling Requirements
    3. Represented Value Determinations
    4. Reporting Requirements
    5. Rounding Requirements
    E. Amendments to 10 CFR 430.23(r)
    F. Conforming Amendments to Energy Conservation Standard Text at 
10 CFR 430.32
    G. Test Burden
    H. Test Procedures Costs and Harmonization
    1. Test Procedure Costs and Impacts
    2. Harmonization With Industry Test Standards
    I. Compliance Date
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Description of Materials Incorporated by Reference
V. Public Participation
    A. Participation in the Webinar
    B. Procedure for Submitting Prepared General Statements for 
Distribution
    C. Conduct of the Webinar
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    General service fluorescent lamps (``GSFLs''), incandescent 
reflector lamps (``IRLs''), and general service incandescent lamps 
(``GSILs'') are included in the list of ``covered products'' for which 
the U.S. Department of Energy (``DOE'') is authorized to establish and 
amend energy conservation standards and test procedures. (42 U.S.C. 
6292(a)(14)) The current DOE test procedures for GSFLs, IRLs, and GSILs 
appear at title 10 of the Code of Federal Regulations (``CFR'') part 
430, subpart B, appendix R (``Appendix R''). The following sections 
discuss DOE's authority to establish and amend test procedures for 
GSFLs, IRLs, and GSILs, as well as relevant background information 
regarding DOE's proposed amendments to the test procedures for these 
products.

A. Authority

    The Energy Policy and Conservation Act, as amended (``EPCA''),\1\ 
among other things, authorizes DOE to regulate the energy efficiency of 
a number of consumer products and industrial equipment. (42 U.S.C. 
6291-6317) 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 products include GSFLs, IRLs, and GSILs, the subject 
of this document. (42 U.S.C. 6292(a)(14))
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    \1\ All references to EPCA in this document refer to the statute 
as amended through the Energy Act of 2020, Public Law 116-260 (Dec. 
27, 2020).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated Part A.
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    The energy conservation program under EPCA consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. Relevant 
provisions of EPCA specifically 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 Federal 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 pursuant to EPCA (42 U.S.C. 6295(s)), 
and (2) making representations about the efficiency of those consumer 
products (42 U.S.C. 6293(c)). Similarly, DOE must use these test 
procedures to determine whether the products comply with 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 
in limited instances 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

[[Page 29890]]

under this section 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 not be unduly burdensome to conduct. (42 U.S.C. 
6293(b)(3))
    Additionally, EPCA directs DOE to amend its test procedures for all 
covered products to integrate measures of standby mode and off mode 
energy consumption. (42 U.S.C. 6295(gg)(2)(A)) Standby mode and off 
mode energy consumption must be incorporated into the overall energy 
efficiency, energy consumption, or other energy descriptor for each 
covered product unless the current test procedures already account for 
and incorporate standby and off mode energy consumption or such 
integration is technically infeasible. If an integrated test procedure 
is technically infeasible, DOE must prescribe a separate standby mode 
and off mode energy use test procedure for the covered product, if 
technically feasible. (42 U.S.C. 6295(gg)(2)(A)(ii)) Any such amendment 
must consider the most current versions of the International 
Electrotechnical Commission (``IEC'') Standard 62301 \3\ and IEC 
Standard 62087 \4\ as applicable. (42 U.S.C. 6295(gg)(2)(A))
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    \3\ IEC 62301, Household electrical appliances--Measurement of 
standby power (Edition 2.0, 2011-01).
    \4\ IEC 62087, Methods of measurement for the power consumption 
of audio, video, and related equipment (Edition 3.0, 2011-04).
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    EPCA, as codified, directs DOE to prescribe test procedures for 
fluorescent lamps and incandescent reflector lamps, taking into 
consideration the applicable standards of the Illuminating Engineering 
Society of North America (``IES'') or the American National Standards 
Institute (``ANSI''). (42 U.S.C. 6293(b)(6)) Consideration of IES and 
ANSI standards aligns DOE test procedures with latest industry 
practices for testing electric lamps and therefore DOE also considers 
these industry test standards when prescribing test procedures for 
general service incandescent lamps.
    EPCA also requires that, at least once every 7 years, DOE evaluate 
test procedures for each type of covered product, including GSFLs, 
IRLs, and GSILs, 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/her 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.\5\ 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 its determination not 
to amend the test procedures. DOE is publishing this NOPR to satisfy 
the 7-year review requirement specified in EPCA.
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    \5\ DOE has historically provided a 75-day comment period for 
test procedure NOPRs, consistent with the comment period requirement 
for technical regulations in the North American Free Trade 
Agreement, U.S.-Canada-Mexico (``NAFTA''), Dec. 17, 1992, 32 I.L.M. 
289 (1993); the North American Free Trade Agreement Implementation 
Act, Public Law 103-182, 107 Stat. 2057 (1993) (codified as amended 
at 10 U.S.C.A. Sec.  2576) (1993) (``NAFTA Implementation Act''); 
and Executive Order 12889, ``Implementation of the North American 
Free Trade Agreement,'' 58 FR 69681 (Dec. 30, 1993). However, 
Congress repealed the NAFTA Implementation Act and has replaced 
NAFTA with the Agreement between the United States of America, the 
United Mexican States, and the United Canadian States (``USMCA''), 
Nov. 30, 2018, 134 Stat. 11, thereby rendering E.O. 12889 
inoperable. Consequently, since the USMCA is consistent with EPCA's 
public comment period requirements and normally requires only a 
minimum comment period of 60 days for technical regulations, DOE now 
provides a 60-day public comment period for test procedure NOPRs.
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B. Background

    DOE's existing test procedures for GSFLs, IRLs and GSILs appear at 
Appendix R (``Uniform Test Method for Measuring Average Lamp Efficacy 
(``LE''), Color Rendering Index (``CRI''), and Correlated Color 
Temperature (``CCT'') of Electric Lamps'').
    On September 28, 1994, DOE issued an interim final rule to add a 
new section in the CFR to establish test procedures for certain 
fluorescent and incandescent lamps. 59 FR 49468. The test procedures 
incorporated by reference a number of IES and ANSI standards. Id.
    On May 29, 1997, DOE published a final rule adopting, with 
amendments, the test procedures established in the September 1994 
interim final rule. 62 FR 29222. This final rule (1) affirmed DOE's 
determination that the test procedures effectively measure lamp 
efficacy and CRI and are not unduly burdensome to conduct and (2) 
incorporated updates to the referenced IES and ANSI standards. Id.
    On July 6, 2009, DOE published a final rule amending the test 
procedures for GSFLs, IRLs, and GSILs. 74 FR 31829. These amendments 
consisted largely of: (1) Referencing the most current versions of 
several lighting industry test standards incorporated by reference; (2) 
adopting certain technical changes and clarifications; and (3) 
expanding the test procedures to accommodate new classes of lamps to 
which coverage was extended by the Energy Independence and Security Act 
of 2007 (Pub. L. 110-140). Id. The final rule also addressed the then 
recently established statutory requirement to expand test procedures to 
incorporate a measure of standby mode and off mode energy consumption 
and determined that, because these modes of energy consumption were not 
applicable to the lamps, an expansion of the test procedures was not 
necessary. Id. Shortly thereafter, DOE again amended the test 
procedures to adopt reference ballast settings necessary for the 
additional GSFLs for which DOE was establishing standards. 74 FR 34080, 
34096 (July 14, 2009).
    DOE most recently amended the test procedures for GSFLs and GSILs 
in a final rule published on January 27, 2012. 77 FR 4203. DOE updated 
several references to the industry test standards referenced in DOE's 
test procedures and established a lamp lifetime test method for GSILs. 
Id. In that final rule, DOE determined amendments to the existing test 
procedure for IRLs were not necessary. Id.
    On August 8, 2017, DOE published in the Federal Register a request 
for information seeking comments on the current test procedures for 
GSFLs, IRLs, and GSILs. 82 FR 37031 (``August 2017 RFI''). In the 
August 2017 RFI, DOE requested comments, information and data regarding 
several issues, including (1) updates to the incorporated standards and 
test methods from IES and ANSI, (2) information and data to determine 
if high frequency operation would affect the measured value of efficacy 
for specific lamp types, (3) modifying the voltage requirements for 
incandescent lamps, and (4) the use of the intensity distribution curve 
method for total lumen output for IRLs, the peak lumen method for total 
lumen output for GSFLs and GSILs, and use of only

[[Page 29891]]

the integrating sphere method for all lamps. Id.
    DOE received comments in response to the August 2017 RFI from the 
interested parties listed in Table I.1.

               Table I.1--August 2017 RFI Written Comments
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                                   Reference in this
          Commenter(s)                   NOPR           Commenter type
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Anonymous.......................  Anonymous.........  Private Citizens.
LEDVANCE........................  LEDVANCE..........  Manufacturer.
California Investor-Owned         CA IOUs...........  Utility.
 Utilities.
National Electrical               NEMA..............  Industry
 Manufacturers Association.                            Association.
Philips Lighting................  Philips...........  Manufacturer.
Appliance Standards Awareness     ASAP..............  Efficiency
 Project.                                              Organization.
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    This document addresses information and comments received in 
response to the August 2017 RFI and proposes amendments to the test 
procedures for GSFLs, IRLs, and GSILs. A parenthetical reference at the 
end of a comment quotation or paraphrase provides the location of the 
item in the public record.\6\
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    \6\ The parenthetical reference provides a reference for 
information located in the docket of DOE's rulemaking to review test 
procedures for general service fluorescent lamps, incandescent 
reflector lamps, and general service incandescent lamps (Docket No. 
EERE-2017-BT-TP-0011, which is maintained at https://www.regulations.gov). The references are arranged as follows: 
(commenter name, comment docket ID number at page of that document).
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II. Synopsis of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes to update 10 CFR 430.2, 10 CFR 430.3, 
and Appendix R as follows: (1) Update references to industry test 
standards to reflect current industry practices; (2) modify, add, and 
remove definitions to better align with the scope and test methods; (3) 
reference specific sections within industry test standards for further 
clarity; (4) provide a test method for measuring CRI for incandescent 
lamps to support DOE requirements; and (5) provide a test method for 
measuring lifetime of incandescent reflector lamps to support the 
Federal Trade Commission's (``FTC's'') labeling requirements. 
Additionally, DOE proposes to revise the sampling requirements and to 
modify language specifying sampling and certification requirements in 
10 CFR 429.27 to improve readability and organization and to support 
the FTC's labeling program. Further, DOE proposes to simplify language 
describing test procedures for GSFLs, IRLs, and GSILs in 10 CFR 
430.23(r) by removing unnecessary information. Finally, DOE proposes to 
better align the terminology in the test procedures for GSFLs, IRLs, 
and GSILs with energy conservation standards codified in 10 CFR 
430.32(n) and 10 CFR 430.32(x).
    DOE has tentatively determined that the proposed amendments 
described in section III of this NOPR would not alter the measured 
efficiency of GSFLs, IRLs, or GSILs, or require retesting solely as a 
result of DOE's adoption of the proposed amendments to the test 
procedures, if made final. Additionally, DOE has tentatively determined 
that the proposed amendments, if made final, would not increase the 
cost of testing. DOE's proposed actions are summarized in Table II.1 
and addressed in detail in section III of this NOPR.

                      Table II.1--Summary of Changes in Proposed TP Relative to Current TP
----------------------------------------------------------------------------------------------------------------
              Current DOE TP                                Proposed TP                        Attribution
----------------------------------------------------------------------------------------------------------------
References lamp datasheets in the 2010      Adopts newer versions of ANSI standards     Industry TP Update to
 version of ANSI C78.81 and 2005 version     only for voluntary representations that     ANSI C78.81 and
 of ANSI C78.901 to specify the              would help DOE determine how standards      C78.901.
 appropriate reference ballast to use when   can be adjusted to accommodate high
 testing a particular lamp.                  frequency testing. DOE does not require
                                             certification to DOE of any voluntary
                                             representations.
References of ANSI C78.375, ANSI C82.3,     Adopts latest versions of these referenced  Industry TP Update.
 IES LM-9, IES LM-58, IES LM-45, IES LM-     industry standards.
 49, IES LM-20, CIE 15.
Does not clearly state in all instances     Clarifies in all instances whether testing  Information needed to
 whether testing for GSFLs should be         should be performed at low or high          conduct testing.
 performed at low or high frequency and      frequency and whether cathode power
 whether cathode power should be included.   should be included.
Does not include a method for determining   Adds test method for measuring CRI for      Needed to comply with
 CRI of incandescent lamps.                  GSILs and IRLs.                             the statutory minimum
                                                                                         CRI requirement for
                                                                                         GSILs and IRLs.
Does not include a method for determining   Adds test method for measuring lifetime of  Supports FTC labeling
 lifetime of incandescent reflector lamps.   incandescent reflector lamps.               requirements.
Definitions of IRL types do not reference   Update definitions for BPAR, R20, ER, and   Update definitions to
 the latest industry standards.              BR incandescent reflector lamps and         reference latest
                                             define PAR and R incandescent lamps with    industry standards.
                                             references to latest versions of ANSI
                                             C78.21-2011 (R2016) and ANSI C78.79-2014
                                             (R2020), as appropriate.
Specifies only CRI to be measured from the  Specifies all metrics for all lamps be      Ensures different units
 same sample of units.                       measured from the same sample of units.     are not selected for
                                                                                         each metric.

[[Page 29892]]

 
Requires testing a minimum of 21 lamps by   Decreases the minimum number of lamps       Aligns sampling
 selecting a minimum of three lamps from     tested to be 10 instead of 21 and removes   requirements with those
 each month of production for a minimum of   the requirement for lamps to be selected    of other lighting
 7 out of a 12-month period.                 from at least 7 different months of a 12-   products (i.e.,
                                             month period.                               integrated light-
                                                                                         emitting diode [LED]
                                                                                         lamps and compact
                                                                                         fluorescent lamps
                                                                                         [CFLs]).
----------------------------------------------------------------------------------------------------------------

III. Discussion

    Although the August 2017 RFI requested comments, information and 
data regarding several specific issues, DOE welcomed written comments 
from the public on any subject within the scope of the document 
(including topics not raised in the RFI). In response to the August 
2017 RFI, DOE received several general comments. One stakeholder stated 
that DOE should rescind many energy conservation standards as new 
reports indicate such regulations are redundant and increase costs, are 
hurtful to seniors and low-income groups, and do not protect the 
environment. (Anonymous, No. 4 at p. 1) Other stakeholders stated that 
regulations should be waived for the states of Texas and Louisiana, due 
to the destruction caused in these states by Hurricane Harvey. 
(Anonymous, No. 3 at p. 1; Anonymous, No. 2 at p. 1)
    As stated in section I.A, DOE is publishing this NOPR to satisfy 
the 7-year review requirement specified in EPCA. This notice proposes 
updates to DOE test procedures to reflect current industry practices 
that are reasonably designed to produce test results which measure 
energy efficiency and energy use during a representative average use 
cycle or period of use, as determined by the Secretary, and are not 
unduly burdensome to conduct. The estimated costs of the proposed 
updates are discussed in section III.H of this document. The scope of 
this notice does not include granting waivers to test procedures. (See 
10 CFR 430.27 for procedures to petition for waivers from test 
procedures.)
    Philips provided another general comment that as a NEMA member, it 
supported any comments submitted by NEMA in response to the August 2017 
RFI. (Philips, No. 8 at p. 2) CA IOUs, along with ASAP, commended DOE 
for reassessing the test procedures for GSFLs, IRLs, and GSILs. CA IOUs 
noted that, while updates to the test procedures would impact state and 
voluntary regulations, it would be to a lesser extent due to the 
proliferation of solid-state lighting (``SSL'') products. (CA IOUs, No. 
6 at p. 1; ASAP, No. 9 at pp. 1-2) ASAP stated that, if updated test 
procedures resulted in a change in measured energy use that was not de 
minimis, DOE must modify the associated energy conservation standard. 
(ASAP, No. 9 at pp. 1-2)
    DOE evaluates and discusses the impact of proposed amendments on 
measured values throughout this notice.

A. Scope of Applicability

    DOE test procedures for GSFLs, IRLs, and GSILs are codified in 
Appendix R and associated sampling and certification requirements are 
codified in 10 CFR 429.27. The scope of this rulemaking is to review 
and amend, as applicable, the test procedures for GSFLs, IRLs, and 
GSILs and the associated sampling and certification requirements. DOE 
received comments regarding scope in response to the August 2017 RFI.
    In two final rules, effective January 1, 2020, DOE revised the 
definitions of general service lamp (``GSL'') and GSIL by bringing 
certain categories of lamps that had been excluded by statute from the 
definition of GSIL within the definitions of GSIL and GSL. 82 FR 7276; 
82 FR 7322 (January 19, 2017) (``2017 GSL Definition Rules''). CA IOUs 
stated that DOE should acknowledge that its updated test methods will 
apply to the new GSIL definition, as defined by DOE on January 19, 
2017. (CA IOUs, No. 6 at p. 1) As noted, the requirements specified in 
Appendix R and 10 CFR 429.27 apply to GSILs and IRLs as those terms are 
defined in 10 CFR 430.2.
    NEMA commented that DOE should not require lifetime testing of 
plug-in CFLs on reference ballasts. (NEMA, No. 7 at p. 6) The scope of 
this notice does not include assessing test procedures for CFLs.

B. Incorporation by Reference of Industry Test Standards

    The test conditions, methods, and measurements described in 
Appendix R reference several ANSI and IES standards. Several of the 
referenced industry test standards have been updated by industry since 
DOE last amended its test procedures. In the August 2017 RFI DOE 
requested information on updating Appendix R to reference the updated 
versions of these standards. 82 FR 37031, 37033, 37034.
    NEMA stated it appreciated DOE's efforts to update current test 
procedures to reflect progress in related industry test standards and 
test procedures. NEMA anticipated no issues in updating to the current 
versions of standards (i.e., industry test methods) unless it required 
retesting all currently certified products and noted this may be the 
case for certain standards related to GSFLs (see section 1 for more 
information). (NEMA, No. 7 at p. 1) CA IOUs also supported updating 
referenced industry test standards so that they are more relevant and 
consistent with products serving the same consumer utility. (CA IOUs, 
No. 6 at p. 1) ASAP added that industry test standards should be 
reviewed to ensure test results are reliable and accurate. (ASAP, No. 9 
at pp. 1-2)
    In this NOPR, DOE reviews the latest versions of industry test 
standards to identify differences compared to previous versions and 
assesses the impact of changes on measured values.
    NEMA and LEDVANCE stated that, even following ANSI and IES 
standards, testing variations will occur and, therefore, the lighting 
industry requires acceptable measurement and laboratory tolerances when 
considering compliance with standards. Further, they added that DOE 
should reference the NEMA LSD-63 \7\ standard which provides industry-
standardized testing tolerances for lamps. (NEMA, No. 7 at pp. 5-6; 
LEDVANCE, No. 5 at p. 6) NEMA LSD-63 factors in long-term manufacturing 
data variability and inter-lab measurement bias to assess the validity 
of a sample of values in comparison to the rated value based on a 
population of lamps. DOE notes that these considerations can be useful 
when developing the appropriate minimum requirements in a standards 
rulemaking.

[[Page 29893]]

DOE finds that its test methods provide repeatable and reproducible 
results for a single lamp and its sampling requirements in 10 CFR 
429.27 account for variation in the sample by comparing the mean value 
against a confidence limit. Hence, DOE has tentatively concluded that 
its test procedures sufficiently address variation in lamp 
manufacturing and testing without the need to reference NEMA LSD-63. 
DOE notes that, if supported by test data, manufacturers can rate their 
product lower than the maximum allowed value or higher than minimum 
allowed value per 10 CFR 429.27.
---------------------------------------------------------------------------

    \7\ National Electrical Manufacturers Association, A NEMA 
Lighting Systems Division Document LSD-63-2012- Measurement Methods 
and Performance Variation for Verification Testing of General 
Purpose Lamps and Systems. Approved July 20, 2012.
---------------------------------------------------------------------------

    Table III.1 shows the industry test standards currently referenced 
in Appendix R, whether there is an updated version available, and 
whether DOE is proposing to update to the latest version. In addition, 
DOE is proposing to incorporate by reference IES LM-54-2020 \8\ and IES 
LM-78-2020 \9\ for Appendix R. The proposed updates to industry test 
standard references do not involve substantive changes to the test 
setup and methodology, but rather clarifications. DOE has tentatively 
determined that incorporation by reference of the latest versions will 
better align DOE test procedures with industry practice and further 
increase the clarity of the test methods. DOE requests comment on 
incorporating by reference the updated versions of standards proposed 
in Table III.1 for Appendix R. DOE requests comments on incorporating 
by reference IES LM-54-2020 and IES LM-78-2020 for Appendix R. Each 
proposed industry test standard and associated comments and responses 
are discussed in the following sections.
---------------------------------------------------------------------------

    \8\ Illuminating Engineering Society, ANSI/IES LM-54-20 Approved 
Method: IES Guide to Lamp Seasoning, Approved February 7, 2020.
    \9\ Illuminating Engineering Society, ANSI/IES LM-78-20 Approved 
Method: Total Luminous Flux Measurement of Lamps Using an 
Integrating Sphere Photometer. Approved February 7, 2020.
---------------------------------------------------------------------------

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

    \10\ American National Standards Institute, ANSI C78.375-1997, 
Revision of ANSI C78.375-1991, American National Standard for 
electric lamps: Fluorescent Lamps Guide for Electrical Measurements. 
Approved September 25, 1997.
    \11\ American National Standards Institute, ANSI C78.375A-2014 
(R2020) Revision of ANSI C78.375-2014, American National Standard 
for Electric Lamps-Fluorescent Lamps-Guide for Electrical Measures. 
Approved January 17, 2020.
    \12\ American National Standards Institute, ANSI_ANSLG C78.81-
2010 Revision of ANSI C78.81-2005. American National Standard for 
Electric Lamps--Double-Capped Fluorescent Lamps-- Dimensional and 
Electrical Characteristics. Approved January 14, 2010.
    \13\ American National Standards Institute, ANSI C78.81-2016 
American National Standard For Electric Lamps--Double-Capped 
Fluorescent Lamps-- Dimensional and Electrical Characteristics. 
Approved June 29, 2016.
    \14\ American National Standards Institute, ANSI_IEC C78.901-
2005 Revision of ANSI C78.901-2001, American National Standards for 
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and 
Electrical Characteristics. Approved March 23, 2005.
    \15\ American National Standards Institute, ANSI/NEMA C78.901-
2016 American National Standards for Electric Lamps--Single-Based 
Fluorescent Lamps--Dimensional and Electrical Characteristics. 
Approved August 23, 2016.
    \16\ American National Standards Institute, ANSI C82.3-2002 
American National Standard For Lamp Ballasts--Reference Ballasts for 
Fluorescent Lamps. Approved January 1, 2002.
    \17\ American National Standards Institute, ANSI C82.3-2016 
American National Standard For Reference Lamp Ballasts for 
Fluorescent Lamps. Approved April 8, 2016.
    \18\ Illuminating Engineering Society of North America, IES LM-
9-09 IES Approved Method for the Electrical and Photometric 
Measurements of Fluorescent Lamps. Approved January 31, 2009.
    \19\ Illuminating Engineering Society, ANSI/IES LM-9-2020--
Approved Method: Electrical and Photometric Measurements of 
Fluorescent Lamps. Approved February 7, 2020.
    \20\ Illuminating Engineering Society of North America, LM-58 
IESNA Guide to Spectroradiometric Measurements. Approved December 3, 
1994.
    \21\ Illuminating Engineering Society, ANSI/IES LM-58-20 
Approved Method: Spectroradiometric Measurements Methods for 
Lighting Sources. Approved February 7, 2020.
    \22\ Illuminating Engineering Society, IES LM-45-09 IES Approved 
Method for The Electrical and Photometric Measurement of General 
Service Incandescent Filament Lamps. Approved December 14, 2009.
    \23\ Illuminating Engineering Society, ANSI/IES LM-45-20 
Approved Method: Electrical and Photometric Measurement of General 
Service Incandescent Filament Lamps. Approved February 7, 2020.
    \24\ Illuminating Engineering Society, IES LM-49-12 Approved 
Method: Life Testing of Incandescent Filament Lamps. Approved 
December 1, 2001.
    \25\ Illuminating Engineering Society, ANSI/IES LM-49-20 
Approved Method: Life Testing of Incandescent Filament Lamps. 
Approved February 7, 2020.
    \26\ Illuminating Engineering Society of North America, LM-20 
IESNA Approved Method for Photometric Testing of Reflector-Type 
Lamps. Approved December 3, 1994.
    \27\ Illuminating Engineering Society, ANSI/IES LM-20-20 
Approved Method: Photometry of Reflector Type Lamps. Approved 
February 7, 2020.
    \28\ International Commission on Illumination, Method of 
Measuring and Specifying Colour Rendering Properties of Light 
Sources. Approved 1995.
    \29\ International Commission on Illumination, Colorimetry, 3rd 
Edition. Approved 2004.
    \30\ International Commission on Illumination, Colorimetry, 4th 
Edition. Approved 2018.

 Table III.1--Industry Test Standards Referenced in Appendix R to 10 CFR
                              430 Subpart B
------------------------------------------------------------------------
     Industry test standard       Updated version if     Proposed for
    referenced in Appendix R          available             update
------------------------------------------------------------------------
ANSI C78.375 version 1997 \10\   ANSI C78.375A        Proposed.
 (section 4.1.1 of Appendix R).   version 2020 \11\.
ANSI C78.81 version 2010 \12\    ANSI C78.81 version  Proposed for
 (section 4.1.1 of Appendix R).   2016 \13\.           voluntary
                                                       representations.
ANSI C78.901 version 2005 \14\   ANSI C78.901         Proposed for
 (section 4.1.1 of Appendix R).   version 2016 \15\.   voluntary
                                                       representations.
ANSI C82.3 version 2002 \16\     ANSI C82.3 version   Proposed.
 (section 4.1.1 of Appendix R).   2016 \17\.
IES LM-9 version 2009 \18\       IES LM-9 version     Proposed.
 (sections 2.1, 2.9, 3.1,         2020 \19\.
 4.1.1, 4.4.1 of Appendix R).
IESNA LM-58 version 1994 \20\    IES LM-58            Proposed.
 (sections 2.1, 4.4.1 of          (retitled) version
 Appendix R).                     2020 \21\.
IES LM-45 version 2009 \22\      IES LM-45 version    Proposed.
 (sections 2.1, 2.9, 3.2,         2020 \23\.
 4.2.1, 4.2.2 of Appendix R).
IESNA LM-49 version 2001 \24\    IES LM-49            Proposed.
 (section 4.2.3 of Appendix R).   (retitled) version
                                  2020 \25\.
IESNA LM-20 version 1994 \26\    IES LM-20            Proposed.
 (sections 2.1, 2.9, 3.3, 4.3     (retitled) version
 of Appendix R).                  2020 \27\.
CIE 13.3 version 1995 \28\       No updated version   N/A.
 (section 2.1, 4.4.1 of           available.
 Appendix R).
CIE 15 version 2004 \29\         CIE 15 version 2018  Proposed.
 (section 4.4.1 of Appendix R).   \30\.
------------------------------------------------------------------------


[[Page 29894]]

1. ANSI C78.375, ANSI C78.81, ANSI C78.901, and ANSI C82.3
    Section 4.1.1 of Appendix R references industry test standards ANSI 
C78.375, ANSI C78.81, and ANSI C78.901 for the appropriate voltage and 
current conditions and ANSI C82.3 for the appropriate reference 
circuits in taking measurements of GSFLs.
    ANSI C78.375 provides general guidance for taking measurements of 
electrical characteristics of fluorescent lamps. DOE reviewed changes 
in ANSI C78.375A-2020 relevant to specifications of voltage and current 
conditions. DOE identified that updates in ANSI C78.375A-2020 compared 
to its 1997 version included new references to industry test standards 
ANSI C78.81, ANSI C78.901, and ANSI C82.3 to determine the appropriate 
voltage and current to use in reference circuits. 82 FR 37031, 37034. 
Regarding updating DOE's test procedure to reference ANSI C78.375A-
2014, NEMA and LEDVANCE stated they were not aware of any issues. 
(NEMA, No. 7 at pp. 2-3; LEDVANCE, No. 5 at p. 3) Because ANSI C78.81, 
ANSI C78.901, and ANSI C82.3 are already referenced by the DOE test 
procedure to determine the voltage and current to use in reference 
circuits, and DOE has determined (as described in the following 
paragraphs) that changes in the updated versions of these industry test 
standards will not affect final measured values, DOE has tentatively 
determined this update in ANSI C78.375A-2020 would not impact the 
current requirements of the DOE test procedure or change final measured 
values. Therefore, DOE proposes to update references from the 1997 
version of ANSI C78.375 to the 2020 version in Appendix R.
    Per section 4.1.1 of Appendix R, GSFLs must be operated by a 
reference ballast at an input voltage specified in the reference 
circuit as described in ANSI C82.3. ANSI C82.3 provides general design 
and operating characteristics for reference ballasts used to test 
fluorescent lamps. Compared to the 2002 version, the 2016 version of 
ANSI C82.3 contains updates regarding impedance tolerances, voltage 
regulation, and instrumentation for taking high frequency measurements. 
82 FR 37031, 37034. Regarding updating DOE's test procedure to 
reference ANSI C82.3-2016, NEMA and LEDVANCE stated they were not aware 
of any issues. (NEMA, No. 7 at pp. 2-3; LEDVANCE, No. 5 at p. 3)
    DOE identified the specific changes in the updated version of ANSI 
C82.3 to the impedance, frequency, and voltage requirements when 
operating a reference ballast with a fluorescent lamp in high frequency 
conditions. First, the 2016 version of ANSI C82.3 no longer requires an 
impedance tolerance of 1 percent for currents between 50 and 115 
percent of the calibration current. Second, the 2016 version of ANSI 
C82.3 removes frequency tolerances for operation with certain types of 
reference ballasts. Third, the 2016 version of ANSI C82.3 increases the 
power supply voltage tolerance from 0.2 percent to 1.0 percent. 
Although the 2016 version of ANSI C82.3 removes impedance tolerances at 
certain currents and the frequency tolerance and allows a wider range 
for power supply voltage tolerance, DOE's current test procedure 
requires reference ballasts to meet specific current, frequency, and 
voltage requirements and associated tolerances specified in the 
relevant lamp datasheets. Hence, if all requirements for reference 
ballasts in DOE's test procedures are satisfied, DOE has tentatively 
determined that changes in impedance, frequency, and voltage tolerances 
in ANSI C82.3 would not affect final measured values. DOE has 
tentatively determined updates in ANSI C82.3-2016 would not impact the 
current requirements of the DOE test procedure or change final measured 
values. Therefore, DOE proposes to update references from the 2002 
version of ANSI C82.3 to the 2016 version in Appendix R.
    Lamp data sheets with physical and electrical characteristics of 
fluorescent lamps are provided in ANSI C78.81 (double-ended lamps) and 
ANSI C78.901 (single-ended lamps). In the latest versions, ANSI C78.81-
2016 and ANSI C78.901-2016, DOE has identified new lamp datasheets and 
updates to existing lamp datasheets for certain GSFLs. DOE proposes to 
maintain the current references to ANSI C78.81-2010 and ANSI C78.901-
2005 for determining compliance and to add provisions for manufacturers 
to make additional voluntary representations based on high frequency 
testing using the updated lamp data sheets. A lamp data sheet provides 
the physical and electrical characteristics needed to operate a lamp 
appropriately, including starting method and the input voltage, 
current, and impedance of the reference ballast on which the lamp 
should be tested. For some lamps, the updated industry test standard 
now specifies only high frequency reference ballast settings, whereas 
previously low frequency settings were provided. Because cathode heat 
is not utilized at high frequency, the lamp efficacy would likely 
increase during high frequency operation compared to low frequency 
operation. DOE's test procedure requires testing at low frequency 
unless only high frequency settings are provided. Hence the potential 
adoption of ANSI C78.81-2016 and ANSI C78.901-2016 could result in 
certain lamps that were previously tested at low frequency being tested 
at high frequency, negating the consideration of cathode heat. ANSI 
C78.81-2016 and/or ANSI C78.901-2016 remove low frequency reference 
ballast settings and provide only high frequency reference ballast 
settings for the following lamps: 32 Watt (``W''), 48-Inch T8 lamp; 32 
W U-shaped lamp, 6-Inch Center T8 lamp; 31 W, U-shaped, 1-5/8 Inch 
Center T8 lamp; 59 W, 96-Inch T8, Single Pin Instant Start lamp; and 25 
W, 28 W, and 30 W 48-Inch T8 lamps. Additionally, two new lamp 
datasheets were added providing only high frequency reference ballast 
settings for the following lamps: 30 W, U-shaped, 6-Inch Center T8 lamp 
and 54 W 96-Inch T8, Single Pin Instant Start lamp. 82 FR 37031, 37034.
    NEMA noted that, although DOE stated in the August 2017 RFI that 
the updated version of ANSI C78.901 was 2014, a 2016 version was 
available. (In this notice, DOE's assessments of ANSI C78.901 are based 
on the 2016 version.) However, in general, NEMA, LEDVANCE, and Philips 
objected to adopting any updated versions of ANSI C78.901 or ANSI 
C78.81. NEMA, LEDVANCE, and Philips explained that testing fluorescent 
lamps at high frequency settings instead of low frequency settings 
would result in an apparent measured efficiency increase of 
approximately 5 to 10 percent. (NEMA, No. 7 at p. 3; LEDVANCE, No. 5 at 
p. 3; Philips, No. 8 at p. 2)
    NEMA stated that current standards for GSFLs were based on the 2010 
version of ANSI C78.81 and 2005 version of ANSI C78.901 currently 
referenced in Appendix R. NEMA and Philips asserted that testing lamps 
previously tested under low frequency settings at high frequency 
settings could allow non-compliant lamps to meet standards. (NEMA, No. 
7 at p. 3; Philips, No. 8 at p. 2) NEMA stated that compliance with 
standards must remain linked to the test procedures on which the 
standards are based. (NEMA, No. 7 at p. 3) LEDVANCE asserted that, if 
DOE were to update to the latest versions of ANSI C78.81 and ANSI 
C78.901, it would also have to amend the applicable energy conservation 
standards for GSFLs and increasing these standards was unreasonable for 
a mature product already at maximum technology.

[[Page 29895]]

    Additionally, LEDVANCE stated, because at high frequency settings 
the lamp is providing the same lumen output as at low frequency but at 
a lower system wattage, the efficacy increase would be misleading to 
the consumers, who associate higher efficacy with more lumens, 
ultimately causing consumer dissatisfaction. (LEDVANCE, No. 5 at p. 3)
    NEMA and LEDVANCE added that changing the test procedure to 
reference high rather than low frequency settings would require 
retesting lamps, resulting in significant test burden for all 
manufacturers. LEDVANCE estimated that retesting a portfolio of T8 
lamps could cost between $100,000 to $200,000, excluding test equipment 
purchases and certification costs. (NEMA, No. 7 at p. 3; LEDVANCE, No. 
5 at p. 3)
    DOE's assessment of ANSI C78.81-2016 and ANSI C78.901-2016 
indicates that there has been a considerable shift to testing on high 
frequency settings for fluorescent lamps. Except for T12 lamps and a 51 
W 8-foot single-pin T8 lamp, GSFLs with ANSI specifications have only 
high frequency reference ballast settings in the updated standards. 
This shift was also noted in the review of GSFL energy conservation 
standards updated in a final rule published January 26, 2015, and for 
which compliance was required beginning January 26, 2018. 80 FR 4042 
(``2015 GSFL Rule'').
    In response to the preliminary analysis preceding the 2015 GSFL 
Rule, NEMA stated that, because of the market shift to electronic high 
frequency ballasts, ANSI had drafted new standards for electrical and 
photometric characterization of GSFL T8 lamps that were based on high 
frequency rather than the former low frequency 60 Hz reference 
ballasts. NEMA further explained that these high frequency 
specifications would be published in 2013 at which point industry would 
begin characterizing its products using these high frequency 
specifications. NEMA recommended that DOE base its assessment of 
potential amendments to standards for GSFLs on the new ANSI high 
frequency standards. 79 FR 24068, 24096 (April 29, 2014). In response 
to the NOPR of the 2015 GSFL Rule, NEMA also raised several concerns 
with DOE's Compliance, Certification Management System (``CCMS'') 
database and the use of high frequency settings. NEMA stated that DOE's 
assessment of the CCMS data indicated the possibility that 4-foot 
medium bipin (``MBP'') reduced wattage lamps and 59 W and 54 W 8-foot 
single-pin slimline lamps (59 W to a lesser degree) are being tested 
erroneously on high frequency settings. 80 FR 4071, 4072.
    The updated ANSI standards were not available in time for the 2015 
GSFL Rule to consider basing its analysis on high frequency 
specifications. Hence the 2015 GSFL Rule established efficacy levels 
based on ANSI wattages as specified in ANSI C78.81-2010 and ANSI 
C78.901-2004 and initial lumen outputs published in manufacturer 
catalogs.\31\
---------------------------------------------------------------------------

    \31\ At the time of the analysis, the dataset on DOE's 
certification database did not represent a comprehensive dataset on 
which to base an engineering analysis. DOE utilized catalog data to 
identify baseline products and develop initial efficacy levels. DOE 
then used available certification data to adjust the initial 
efficacy levels, if necessary, to ensure that the considered levels 
could be met based on the certification values submitted by 
manufacturers to demonstrate compliance with standards. 79 FR 24068, 
24094.
---------------------------------------------------------------------------

    It would be to the benefit of the manufacturers and consumers to 
align DOE requirements to the latest industry requirements, providing 
one consistent method of assessing the efficacy of fluorescent lamps. 
DOE understands that the change in measured efficacy when testing on 
high frequency versus low frequency settings resulting from updated 
versions of ANSI C78.81 and ANSI C78.901 is not de minimis. Adoption of 
test procedures that reference the latest versions of ANSI C78.81 and 
ANSI C78.901 would impact compliance under the current GSFL energy 
conservation standards and require reassessment of the energy 
conservation standards based on measured values tested according to DOE 
test procedures using the updated industry test standards (e.g., ANSI 
C78.81-2016 and ANSI C78.901-2016).
    Based on the impact to test results from testing using only high 
frequency settings as provided in ANSI C78.81-2016 and ANSI C78.901-
2016, and the corresponding potential that products currently not 
compliant would meet the energy conservation standards if tested under 
these latest industry test standards, DOE proposes to maintain the 
references to the 2010 version of ANSI C78.81 and 2005 version of ANSI 
C78.901. This ensures that lamps are tested and certified for 
compliance according to settings upon which current minimum 
requirements for GSFLs were established. However, DOE also proposes 
that manufacturers can voluntarily make representations at the high 
frequency settings specified in the 2016 versions of ANSI C78.81 and 
ANSI C78.901 in accordance with test procedures specified in Appendix R 
and sampling requirements in 10 CFR 429.27. These values would not be 
used for compliance but would be in addition to values obtained for 
compliance and used for determining if and how standards for GSFLs 
should be amended to accommodate testing at high frequency settings. As 
a best practice, an indication of high frequency operation should be 
provided with the voluntary representations. DOE proposes to 
incorporate by reference ANSI C78.81-2016 and ANSI C78.901-2016 for 
this purpose.
    Also, ANSI C78.81-2016 includes updates to the reference ballast 
characteristics for input voltage and impedance while maintaining the 
current for the 86 W, 96-Inch T8 lamp. In the August 2017 RFI, DOE 
requested information on how these updated ballast characteristics 
would impact measured lamp efficacy. 82 FR 37031, 37034. LEDVANCE 
responded that for the 86 W, 96-Inch T8 lamp the impedance was changed 
simply to harmonize the impedance value across lamp types and to aid 
with starting. LEDVANCE further stated that changing the impedance or 
circuit voltage to maintain the same lamp current would not change any 
lamp characteristics. (LEDVANCE, No. 5 at p. 4)
    DOE has preliminarily determined that changes to lamp 
characteristics of the 86 W, 96-Inch T8 lamp will not impact final 
measured values. However, as stated previously, due to updates that 
provide only high frequency settings for certain lamps, DOE is not 
proposing to incorporate ANSI C78.81-2016 for the purposes of testing 
to assess compliance with DOE's minimum requirements.
2. IES LM-58
    Section 4.4.1 of Appendix R describes test methods for measuring 
CRI and CCT. It states that the required spectroradiometric measurement 
and characterization shall be conducted in accordance with IES LM-
58.\32\ DOE's review indicated that key changes in IES LM-58-2013 
compared to its 1994 version include: (1) Updates to definitions; (2) 
clarification updates regarding the characteristics of 
spectroradiometers and applicable detectors; and (3) additions of a new 
method called array spectrometry and a section on correction methods. 
In the August 2017 RFI DOE requested information on referencing the 
updated version of IES LM-58 and on the impact on measured values of 
using the new array spectrometry method. 82 FR 37031, 37034. NEMA and 
LEDVANCE stated that adoption of IES LM-58-2013 posed no known issues. 
They added

[[Page 29896]]

that the IES ensures equivalent test results when adding new test 
procedures and, therefore, supported the array spectrometry method as 
an option. Additionally, NEMA and LEDVANCE pointed out that an addendum 
to IES LM-58-2013 had been published to make certain corrections to the 
initial version. (NEMA, No. 7 at p. 2; LEDVANCE, No. 5 at p. 4)
---------------------------------------------------------------------------

    \32\ Note that the 1994 version of this standard was titled 
IESNA LM-58 but the 2013 version is titled IES LM-58.
---------------------------------------------------------------------------

    Since the publication of the August 2017 RFI, a 2020 version of IES 
LM-58 has been published. In this notice, DOE is proposing to update 
the currently referenced 1994 version of IES LM-58 to the 2020 version. 
Specifically, the 2020 and 2013 versions of IES LM-58 remove 
definitions for spectral irradiance, spectral radiance, and spectral 
radiant intensity; and add a definition for colorimeter. IES LM-58-2020 
also removes the definition for bandwidth and replaces the term 
bandwidth with bandpass throughout the standard. IES LM-58-2020 
continues to describe how to measure spectral irradiance, spectral 
radiance, and spectral radiant intensity, which are different ways of 
measuring radiant flux, and describe how to use bandpass (previously 
referred to as bandwidth) in detail. DOE has tentatively determined the 
term colorimeter, which is a basic instrument for measuring 
chromaticity, was likely added for completeness. IES LM-58-2020 also 
includes the new section on array spectrometry and adds further 
specificity in taking spectral power measurements. It specifies that 
the stray light for a good single-pass and double-pass monochromator to 
be respectively, less than 10-\4\ and 10-\8\ 
times than the maximum signal while the 1994 version specifies 
10-\3\ and 10-\6\. It also states that when the 
slit scattering function is not triangular, the scanning interval 
should be reduced to an integer fraction of the bandpass to reduce 
errors. DOE also evaluated the addendum to IES LM-58-2013 and found 
that it reverted bandwidth tolerance to that specified in the 1994 
version of IES LM-58 and provided further guidance on determining 
bandwidth. The content of the addendum has been incorporated into IES 
LM-58-2020. DOE has tentatively determined that these additions are 
only clarifications and are already being adhered to by industry in 
practice. Similarly, the addition of a section on correction methods is 
only explicitly stating best practices likely already being followed by 
test laboratories when taking spectral power measurements. DOE has 
tentatively determined updates in IES LM-58-2020 would not change 
current requirements of the DOE test procedure or change final measured 
values. Thus, DOE proposes to update references from the 1994 version 
of IES LM-58 to the 2020 version in 10 CFR 430.3 for Appendix R.
3. IES LM-45
    Sections 3.2, 4.2.1, and 4.2.2 of Appendix R specify that for GSILs 
test conditions, methods, and measurements should be conducted in 
accordance with 2009 version of IES LM-45. IES LM-45 provides methods 
for taking electrical and photometric measurements of general service 
incandescent filament lamps. DOE's initial review indicated that 
changes in IES LM-45-2015, compared to its 2009 version, included 
clarification updates regarding the impact of lamp polarity on light 
output and changes to certain tolerances (e.g., impedance limits for 
instruments). 82 FR 37031, 37034. Regarding referencing the updated 
version of IES LM-45, NEMA and LEDVANCE stated that adoption of IES LM-
45-2015 posed no known issues. (NEMA, No. 7 at pp. 2,4; LEDVANCE, No. 2 
at p. 4)
    Since the publication of the August 2017 RFI, a 2020 version of IES 
LM-45 has been published. In this notice, DOE is proposing to update 
the currently referenced 2009 version of IES LM-45 to the 2020 version. 
Specifically, DOE identified the following key changes in both the 2015 
and 2020 versions of IES LM-45, compared to the currently referenced 
2009 version: (1) Specifies testing with the same polarity connections; 
(2) increases impedance tolerance of current input from 10 milliohms to 
20 milliohms; and (3) updates tolerances for detector used to measure 
lumens.
    DOE has tentatively determined that added information on polarity 
connections in IES LM-45-2020 is only explicitly stating what is likely 
already practiced by test laboratories based on how measurements are 
taken in electrical circuit setups. DOE has tentatively concluded that 
the change in current input impedance tolerance for instrumentation is 
small and not discernable in the final measured values. Regarding 
updates to detector use, the 2020 version states each detector must 
have a relative spectral responsivity which approximates the luminosity 
function less than 3 percent while a 5 percent threshold is specified 
in the 2009 version. Additionally, the 2020 version states that the 
minimum distance of the detector is 10 times the lamp length to keep 
error less than 1 percent while 5 times the lamp length is specified in 
the 2009 version. DOE has tentatively concluded that these changes have 
been made to ensure accuracy of measurement but do not substantively 
impact final measured values.
    IES LM-45 references IES LM-54, the industry standard for lamp 
seasoning, with regards to seasoning lamps. Section 6.2 of IES LM-45-
2020 updates its references of IES LM-54 from the 1999 \33\ version to 
the 2020 version. DOE has tentatively determined that referencing the 
2020 version of IES LM-54 will not change final measured values and 
proposes to incorporate the standard for appendix R (see section 7). 
Because lamp seasoning is a necessary part of testing GSILs, DOE is 
proposing to incorporate by reference IES LM-54-2020 for appendix R and 
referencing section 6.2 of IES LM-45-2020 directly in its revisions to 
Appendix R (see section III.C.a). IES LM-45 also references IES LM-78, 
the industry standard for measurements in an integrating sphere, with 
regards to measurements using a photodetector and for detector sources 
of error. Section 7.0 of IES LM-45-2020 updates its references of IES 
LM-78, from the 2007 version \34\ to the 2020 version. DOE has 
tentatively determined that referencing the 2020 version IES LM-78 will 
not change final measured values and proposes to incorporate the 
standard for appendix R (see section 8). Because DOE allows use of an 
integrating sphere to make necessary photometric measurements of GSILs, 
DOE is proposing to incorporate by reference IES LM-78-2020 for 
appendix R and referencing section 7.0 of IES LM-45-2020 directly in 
its revisions to Appendix R (see section III.C.b).
---------------------------------------------------------------------------

    \33\ Illuminating Engineering Society of North America, LM-54-99 
IESNA Guide to Lamp Seasoning, Approved May 10, 1999.
    \34\ Illuminating Engineering Society of America, IESNA LM-78-07 
IESNA Approved Method for Total Luminous Flux Measurement of Lamps 
Using an Integrating Sphere Photometer. Approved January 28, 2007.
---------------------------------------------------------------------------

    In summary, DOE has tentatively concluded that updates in IES LM-
45-2020 would not change final measured values. Therefore, DOE proposes 
to update references from the 2009 version of IES LM-45 to the 2020 
version in Appendix R.
4. IES LM-49
    Section 4.2.3 of Appendix R specifies that lifetime testing of 
GSILs must be conducted in accordance with the 2001 version of IESNA 
LM-49. IESNA LM-49 \35\ provides test methods for measuring the 
lifetime of incandescent filament lamps. DOE's initial review indicated 
that key changes in IES LM-

[[Page 29897]]

49-2012 compared to its 2001 version included: (1) Clarifications 
regarding input voltage, voltage regulation, lamp handling, wiring, and 
recording failures; (2) addition of instrument voltage tolerances; and 
(3) direction regarding the interval at which operation of lamps must 
be checked. 82 FR 37031, 37034. Regarding updating references to IES LM 
49-2012, NEMA and LEDVANCE stated that adoption of IES LM-49-2012 posed 
no known issues. (NEMA, No. 7 at pp. 2,4; LEDVANCE, No. 2 at p. 5)
---------------------------------------------------------------------------

    \35\ Note that the 2001 version of this standard was titled 
IESNA LM-49 but the 2012 version is titled IES LM-49.
---------------------------------------------------------------------------

    Since the publication of the August 2017 RFI, a 2020 version of IES 
LM-49 has been published. In this notice, DOE is proposing to update 
the currently referenced 2001 version of IES LM-45 to the 2020 version. 
The key changes DOE identified were in both the 2012 and 2020 versions 
of IES LM-49. Specifically, DOE identified revisions in IES LM-49-2020 
that modify language to appropriately use root mean square (``RMS'') 
voltage and provide further specifications on test receptacles and lamp 
holders. The added instrument tolerances for the test voltage are the 
same as those specified in IES LM-45-2009. Because IES LM-45-2009 is 
the currently referenced standard for electrical and photometric 
measurements of incandescent lamps, the tolerances in this standard are 
likely already being followed for any test of an incandescent lamp. IES 
LM-49-2020 changes the interval for checking lamp failures from no more 
than 0.5 percent of rated life to 1 percent of rated life. This change 
continues to allow checking lamp failure at or less than 0.5 percent of 
rated life, and therefore would not require retesting. Further DOE 
finds that IES LM-49-2020 also specifies the recorded failure time 
should be the midpoint of the monitoring interval. This specification 
would add consistency to the execution of the test method. Further, 
because each interval is no more than a few minutes, the point within 
the interval at which the measurement is taken would not have a 
significant impact on the final measured value.
    DOE has tentatively concluded that the updates in IES LM-49-2020 
would not change final measured values. Therefore, DOE proposes to 
update references from the 2001 version of IES LM-49 to the 2020 
version in Appendix R.
5. IES LM-20
    Sections 3.3, 4.3.1, and 4.3.2 of Appendix R specify that, for 
IRLs, test conditions, methods, and measurements must be conducted in 
accordance with IESNA LM-20-1994. IESNA LM-20 \36\ provides methods for 
taking photometric measurements of reflector-type lamps. DOE's initial 
review indicated that IES LM-20-2013, compared to its 1994 version, 
included the addition of new definitions and changes to existing 
definitions. IES LM-20-2013 also included updates regarding 
characteristics of photometers, lamp stabilization, intensity 
distribution determination, among other topics; and changes to certain 
tolerances (e.g., allowable reflectivity in the integrated sphere). 82 
FR 37031, 37035. Specifically, DOE identified the following key changes 
in IES LM-20-2013, compared to its 1994 version: (1) Updates to 
definitions; (2) updates regarding the integrating sphere method; (3) 
updates to referenced industry test standards regarding test 
conditions; and (4) inclusion of reference to stabilization procedures. 
Regarding updating references to IES LM-20-2013, NEMA and LEDVANCE 
stated that adoption of IES LM-20-2013 posed no known issues. (NEMA, 
No. 7 at pp. 2,4; LEDVANCE, No. 2 at p. 5; Philips, No. 8 at p. 2)
---------------------------------------------------------------------------

    \36\ Note that the 1994 version of this standard was titled 
IESNA LM-20 but in the 2013 version titled IES LM-20.
---------------------------------------------------------------------------

    Since the publication of the August 2017 RFI, a 2020 version of IES 
LM-20 has been published. In this notice, DOE is proposing to update 
the currently referenced 1994 version of IES LM-20 to the 2020 version. 
DOE has tentatively determined that the updates identified in IES LM-
20-2013 have been retained and no other key changes have been made in 
the 2020 version. Compared to the 2013 version, IES LM-20-2020 mainly 
updates references to other industry standards.
    IES LM-20-2013 adds new definitions (e.g. extraneous light, 
undirected light) and makes minor updates to existing definitions (e.g. 
beam axis, central cone, stray light). The 2020 version maintains the 
definitions in IES LM-20-2013. DOE has tentatively determined these 
changes to definitions do not change the essential meaning of the terms 
or their usage in the test methods.
    Section 8.0 of IES LM-20-2020 provides more updated information 
regarding minimizing errors when calibrating the integrating sphere and 
directly references IES LM-78-2020, the industry standard for 
measurements in an integrating sphere, for basic integrating sphere 
photometer calibration and measurements. Because DOE allows use of an 
integrating sphere to make necessary photometric measurements of IRLs, 
DOE is proposing to incorporate by reference IES LM-78-2020 for 
Appendix R and referencing section 8.0 of IES LM-20-2020 directly in 
its revisions to Appendix R (see section III.C.b). Further IES LM-20 
references IES LM-54, the industry standard for lamp seasoning, with 
regard to seasoning lamps. Section 6.0 of IES LM-20-2020 updates its 
references of IES LM-54 from the 1991 \37\ version to the 2020 version. 
DOE has tentatively determined that referencing the 2020 version of IES 
LM-54 will not change final measured values and proposes to incorporate 
the standard for Appendix R (see section 7). Because lamp seasoning is 
a necessary part of testing IRLs, DOE is proposing to incorporate by 
reference IES LM-54-2020 for Appendix R and to reference section 6.2 of 
IES LM-20-2020 directly in its revisions to Appendix R (see section 
III.C.a).
---------------------------------------------------------------------------

    \37\ Illuminating Engineering Society of North America, LM-54 
Lamp Seasoning, Approved June 1991.
---------------------------------------------------------------------------

    IES LM-20-2020 references IES LM-45-2020 for ambient temperature 
and instrumentation conditions and lamp connections and circuits while 
IES LM-20-1994 references IES LM-45-1991. Compared to the 1991 version, 
IES LM-45-2020 changed the temperature tolerance from +/-1 degree to +/
-10 degrees. IES LM-45-2020 also states that maintaining temperature is 
not critical for incandescent filament lamps. Because incandescent 
filament lamps are not sensitive to small temperature changes, DOE has 
tentatively determined that the change in temperature tolerance would 
not impact final measured values. Additionally, IES LM-45-2020 omits 
the statement that instruments will have an accuracy of at least 0.25 
percent, instead referencing instrument manuals and specifying 
instrumentation tolerances; tightens the DC supply voltage tolerance 
from 0.1 to 0.02 percent; provides specific impedance tolerances for 
supply voltages and currents; and specifies tolerances for detectors to 
measure lumens. DOE has tentatively concluded that test labs typically 
adhere to the specifications in instrument manuals as a best practice. 
Further the changes and addition of tolerances provide greater 
specificity in the calibration of instruments, increasing repeatability 
and reproducibility. DOE has tentatively concluded that these updates 
would not impact final measured values. IES LM-45-2020 also adds basic 
lamp connection and circuit information including circuit diagrams for 
AC and DC connections to a lamp. Because the

[[Page 29898]]

lamp to instrumentation connections for incandescent lamps are 
relatively simple, the circuit information and directions provided are 
likely already being followed by test laboratories to test IRLs.
    IES LM-20-2020 also references IES LM-45-2020 for lamp 
stabilization procedures while IES LM-20-1994 only states that lamps 
should be seasoned to provide necessary stabilization. IES LM-45-2020 
provides a method commonly used in industry for establishing lamp 
stability. The method requires determining the average percent 
difference of maximum and minimum measurements at several regular 
intervals and ensuring it is within a certain tolerance. Laboratories 
are likely already following a method like the one prescribed in IES 
LM-45-2020 to ensure stability of IRLs before taking measurements. 
Hence, DOE has tentatively concluded that the requirement of a specific 
stabilization method only explicitly references a procedure that is 
already being followed.
    In summary, DOE has tentatively concluded that changes in IES LM-
20-2020 would not change measured values. DOE proposes that 
manufacturers would not be required to retest and would be able to 
continue to rely upon test data previously conducted in accordance with 
the DOE test procedure. Hence, DOE proposes to update references from 
the 1994 version of IES LM-20 to the 2020 version in 10 CFR 430.3 for 
Appendix R.
6. IES LM-9
    Sections 3.1, 4.1.1, and 4.4 of Appendix R specify that, for GSFLs, 
test conditions, methods, and measurements must be conducted in 
accordance with the 2009 version of IES LM-9. IES LM-9 provides methods 
for taking electrical and photometric measurements of fluorescent 
lamps. The latest version of the industry standard, IES LM-9-2020 was 
not available for analysis and requests for comment in the August 2017 
RFI. DOE's initial review of this standard indicates no major changes 
in the 2020 version except for relevant updated references.
    Section 6.2 of IES LM-9-2020 updates its reference of IES LM-54, 
the industry standard for lamp seasoning, from the 1999 version to 2020 
version. DOE has tentatively determined that referencing the 2020 
version of IES LM-54 will not change final measured values and proposes 
to incorporate the standard for Appendix R (see section 7). Because 
lamp seasoning is a necessary part of testing GSFLs, DOE is proposing 
to incorporate by reference IES LM-54-2020 for appendix R and to 
reference section 6.2 of IES LM-9-2020 directly in its revisions to 
Appendix R (see section III.C.a). Section 7.0 of IES LM-9-2020 updates 
its references of IES LM-78 from the 2007 to the 2020 version. DOE has 
tentatively determined that referencing the 2020 version of IES LM-78 
will not change final measured values and proposes to incorporate the 
standard for Appendix R (see section 7). Because DOE allows use of an 
integrating sphere to make necessary photometric measurements of GSFLs, 
DOE is proposing to incorporate by reference IES LM-78-2020 for 
Appendix R and referencing section 7.0 of IES LM-9-2020 directly in its 
revisions to Appendix R (see section III.C.b).
    In summary, DOE has tentatively concluded that updates in IES LM-9-
2020 would not change final measured values. Therefore, DOE proposes to 
update references from the 2009 version of IES LM-9 to the 2020 version 
in Appendix R.
7. IES LM-54
    IES LM-54 is the industry standard for lamp seasoning. Appendix R 
currently references sections of IES LM-45-2009 and IES LM-9-2009 which 
reference IES LM-54-1999; and sections of IES LM-20-1994 which 
reference IES LM-54-1991. The 2020 versions of IES LM-45, IES LM-9, and 
IES LM-20 proposed for incorporation by reference for Appendix R in 
this notice have updated this reference to IES LM-54-2020. The latest 
version of the industry standard, IES LM-54-2020 was not available for 
analysis and requests for comment in the August 2017 RFI.
    Compared to both the 1991 and 1999 versions, the 2020 version of 
IES LM-54 adds numerous new sections which codify best practices that 
labs are likely already following. The 2020 version adds a section on 
physical environment test conditions that covers topics such as keeping 
labs clean and within the ambient temperature range; not subjecting 
lamps to excessive vibration/shock; and using airflow to cool the 
seasoning area. The 2020 version also adds a section on electrical test 
conditions which includes instructions on frequency, voltage wave 
shape, and voltage regulation; basic lamp connection protocols; and 
setting up an adjacent ground for fluorescent lamps. Additionally, the 
2020 version includes a new section on test preparation which addresses 
how to handle and mark lamps. Finally, the 2020 version adds a 
statement expressly stating that the orientation of the lamp during 
seasoning should be maintained for the entire test. In this NOPR, DOE 
is proposing to specify in Appendix R that lamp orientation be 
maintained throughout testing, including seasoning and lamp handling 
between tests (see section 2 for further details) for all test methods 
in Appendix R. These specifications in IES LM-54-2020 are similar to 
test conditions in other industry lamp standards. DOE has tentatively 
determined that the additions in IES LM-54-2020 are industry best 
practices for taking lamp measurements, and therefore likely are 
already being followed by laboratories.
    DOE also identified updates to specifications in the 1991 version. 
The 1991 version states normal seasoning is generally performed at 
rated voltage for a period of 0.5 to 1 percent of rated life. The 2020 
version states normal seasoning refers to lamp operation at rated 
voltage for 0.5 percent of rated life. Because 0.5 percent was already 
part of the range, DOE has tentatively concluded that this change will 
negligibly impact the seasoning of the lamp. Additionally, compared to 
the 1991 version, IES LM-54-2020 provides new accelerated seasoning 
times for lamps with rated life of 100-499 hours and changes the 
accelerated seasoning time from 45 minutes to 30 minutes for lamps with 
lifetimes of 500-1000 hours. IES LM-54-2020 also provides equations to 
calculate more-precise estimates of accelerated seasoning time, which 
DOE understands to be minimum seasoning times. The 1991 version did not 
include these equations. These changes reflect a more precise 
assessment of accelerated seasoning time, requiring less seasoning for 
lamps with shorter lifetimes. DOE has tentatively concluded that these 
adjustments make the accelerated seasoning method more practical to 
follow and would negligibly impact the seasoning of the lamp.
8. IES LM-78
    IES LM-78 is the industry standard for taking measurements in an 
integrating sphere. Appendix R currently reference sections of IES LM-
45-2009 and IES LM-9-2009 which reference IES LM-78-2007. The 2020 
versions of IES LM-45 and IES LM-9 proposed for incorporation by 
reference for Appendix R in this notice have updated this reference to 
IES LM-78-2020. The latest version of the industry standard, IES LM-78-
2020 was not available for analysis and requests for comment in the 
August 2017 RFI.
    DOE identified several changes in 2020 version of IES LM-78 
compared to the 2007 version. The 2020 version includes a discussion of 
spectral

[[Page 29899]]

measurements including a new section on taking measurements with a 
spectroradiometer within a sphere. IES LM-78-2020 also provides 
specific sections on 2[pi] and 4[pi] geometry. For 4[pi] geometry the 
2020 version states the total surface area of the lamp should be less 
than 2 percent of the total area of the sphere wall. Regarding 
instrumentation, the 2020 version states that detectors other than 
silicon photodiodes are not recommended. IES LM-78-2020 adds an 
explanation on using sphere angular response distribution function 
(``SRDF'') to assess sphere responsivity. Further the equation to 
compute luminous flux now includes subtraction of dark/stray light, a 
ratio of spectral mismatch correction factor to self-absorption factor, 
and the sphere angular non-uniformity correction factor. DOE has 
tentatively concluded that the additional information in IES LM-78-2020 
is reflective of industry learning in making more accurate and 
consistent measurements using the integrating sphere but will not 
impact final measured values.
    DOE also identified updates to specifications. The 2020 version 
states the sphere diameter be 1.5 times the length of a linear lamp 
whereas it was 2 times the length in the 2007 version. IES LM-78-2020 
also states for the degree of the spectral match to the V([lambda]) 
function, it is preferable that the value of the photometer be less 
than 3 percent whereas it was less than 5 percent in the 2007 version. 
Throughout the standard the term spatial luminous intensity is replaced 
with angular luminous intensity. Finally, the uncertainty analysis 
section has been condensed to a list of potential sources of errors and 
references to other industry standards for guidance. DOE has 
tentatively concluded that these updates are minimal and will not 
impact final measured values.
9. CIE 15
    Section 4.4.1 of Appendix R states that for incandescent lamps CCT 
shall be determined in accordance with the 2004 version of CIE 15. CIE 
15 provides the International Commission on Illumination's 
recommendations concerning colorimetry (i.e., the measurement of 
color). The latest version of the industry standard, CIE 15-2018 was 
not available for analysis and requests for comment in the August 2017 
RFI. DOE's initial review indicates that CIE 15-2018, compared to its 
2004 version, adds specifications regarding the following: Standard 
observer data and cone-fundamental-based colorimetric observer data; 
indoor daylight illuminant spectra; smoothed D illuminants; LED 
illuminants; and geometry specification of colorimetry. The latest 
version also makes updates to tables specifying spectral power 
distribution data and colorimetric data of illuminants. DOE has 
tentatively determined that the updates in CIE 15-2018 do not 
substantially change measurement of CCT for incandescent lamps and 
would not change final measured values. DOE requests comment on the 
impact on measured CCT values of incandescent lamps using CIE 15-2018 
compared to the 2004 version of the standard.

C. Proposed Amendments to Appendix R

    DOE proposes changes to Appendix R to improve the organization of 
the test procedures, further clarify test conditions and measurement 
steps, and cite specific sections of referenced industry test 
standards. Note that the proposed section references of industry test 
standards are based on the version of the standard proposed for 
adoption (see section III.B). Additionally, DOE proposes to remove 
references to rounding and sample size from Appendix R, as these 
requirements are addressed in 10 CFR 429.27, and also to remove 
references to minimum lifetime standards as these are provided in 10 
CFR 430.32(x)(1)(iii)(A)-(B). DOE details these proposed changes to 
Appendix R in the following sections.
1. Definitions
    DOE proposes to define certain new terms and modify certain 
existing terms in Appendix R. Specifically, DOE proposes to add ``time 
to failure.'' To support the test method in Appendix R for measuring 
lifetime of lamps that use incandescent technology, DOE proposes to 
define ``time to failure'' as the time elapsed between first use and 
the point at which the lamp ceases to produce measurable lumen output. 
This definition clarifies the time that must be measured to determine 
the lifetime of the lamp.
    Additionally, DOE proposes four changes related to the definition 
of ``lamp efficacy'': (1) To replace ``lamp efficacy'' with ``initial 
lamp efficacy;'' (2) to simplify this definition by referencing lamp 
efficacy as defined in 10 CFR 430.2; (3) to specify that the value is 
determined after the lamp is stabilized and seasoned; and (4) to remove 
references to rounding requirements, which are proposed to be addressed 
in 10 CFR 429.27 (see section 4 for details on DOE's proposal to 
consolidate rounding requirements in 10 CFR 429.27). DOE also proposes 
to replace ``lamp lumen output'' with ``initial lumen output'' and to 
specify that it is the initial lumen output measured after the lamp is 
stabilized and seasoned. Similarly, DOE proposes to replace ``lamp 
electrical power input'' with ``initial input power'' and to specify 
that it is the initial input power measured after the lamp is 
stabilized and seasoned. These proposed changes more accurately 
describe the values being determined and measured by the test methods 
in Appendix R.
    DOE also proposes to remove the term ``reference condition'' 
because it is neither referenced in nor necessary for the test 
procedure. Additionally, DOE proposes to remove definitions for ``ANSI 
Standard,'' ``CIE,'' and ``IESNA'' in Appendix R because 10 CFR 430.3 
contains the relevant terms. Further, DOE proposes to remove 
definitions for ``CCT'' and ``CRI'' which only reference the 
definitions in 10 CFR 430.2.
    DOE also proposes to update section references to definitions in 
industry test standards to align with the proposed updated versions by 
changing references to section 2 of IES LM-58-1994 to be references to 
section 3 of IES LM-58-2020 and to delete the reference to Glossary of 
IES LM-45-2015 as it no longer exists in the 2020 version.
2. General Instructions
    To improve the readability of and streamline the test methods in 
Appendix R, DOE proposes to add a ``General Instructions'' section to 
specify test practices applicable to all lamps covered by the appendix.
    To ensure consistency in measurements, DOE proposes to include in 
the ``General Instructions'' section specifications regarding: (1) 
Conflicting requirements; (2) lamp orientation; (3) lamp breakage; and 
(4) rated voltage. First, DOE proposes that, where there is a conflict 
between requirements in referenced industry test standards and those in 
the appendix, the latter must take precedence. Second, DOE proposes 
that lamp orientation be maintained throughout testing, including 
seasoning and lamp handling between tests. Third, DOE proposes that, if 
a lamp breaks, becomes defective, fails to stabilize, exhibits abnormal 
behavior such as swirling \38\ prior to the end of the seasoning 
period, or stops producing light, the lamp must be replaced with a new 
unit. DOE has tentatively concluded that these proposals only 
explicitly state best practices already being followed by labs for 
testing lamps,

[[Page 29900]]

and would not change current requirements of the DOE test procedure.
---------------------------------------------------------------------------

    \38\ This term refers to the visual observation that a beam or 
line of light appears to be ``swirling'' or ``spiraling'' within a 
fluorescent tube lamp.
---------------------------------------------------------------------------

    Regarding instructions for rated voltage, in the August 2017 RFI, 
DOE noted that currently Appendix R requires that incandescent lamps be 
operated at the ``rated voltage as defined in Sec.  430.2.'' This 
definition of ``rated voltage with respect to incandescent lamps'' 
references the term ``design voltage,'' also defined in 10 CFR 430.2. 
The terms ``rated voltage with respect to incandescent lamps'' and the 
associated ``design voltage with respect to incandescent lamps'' are 
defined as follows in 10 CFR 430.2:
    Rated voltage with respect to incandescent lamps means:
    (1) The design voltage if the design voltage is 115 V, 130 V or 
between 115V and 130 V;
    (2) 115 V if the design voltage is less than 115 V and greater than 
or equal to 100 V and the lamp can operate at 115 V; and
    (3) 130 V if the design voltage is greater than 130 V and less than 
or equal to 150 V and the lamp can operate at 130 V.
    Design voltage with respect to an incandescent lamp means:
    (1) The voltage marked as the intended operating voltage;
    (2) The mid-point of the voltage range if the lamp is marked with a 
voltage range; or
    (3) 120 V if the lamp is not marked with a voltage or voltage 
range. 10 CFR 430.2.
    DOE requested feedback on simplifying the test voltage requirements 
in these definitions and aligning them, to the extent possible, with 
DOE test procedure requirements for other lamp types such as CFLs and 
integrated LED lamps. Those test procedures require that CFLs and 
integrated LED lamps be tested at the voltage marked on the lamp as the 
intended operating voltage and if no voltage is marked to test at 120 
volts (``V''); if multiple voltages are marked including 120 V to test 
at 120 V, and if multiple voltages are marked not including 120 V to 
test at the highest voltage. 82 FR 37031, 37035. DOE received several 
comments on modifying the required test voltage for incandescent lamps.
    NEMA and LEDVANCE stated their support for simplifying the test 
voltage requirements for incandescent lamps with LEDVANCE adding that 
the requirement should also apply to IRLs. It is not clear whether NEMA 
intended to include IRLs in ``incandescent lamps,'' as NEMA did not 
specifically reference IRLs in its comments on test voltage 
requirements. Both parties added that DOE's considered changes to test 
voltage specifications in the August 2017 RFI would have little 
practical impact on products that meet standards stating that, while 
there is a reduction in efficiency when testing 130 V lamps at 120 V, 
there are no 130 V lamps on the market. (NEMA, No. 7 at p. 5; LEDVANCE, 
No. 5 at p. 5) Philips also posed no objections to modifying the 
required test voltage for incandescent lamps and referred to NEMA's 
comment on the subject. (Philips, No. 8 at p. 3)
    However, CA IOUs expressed concern regarding modifying the 
requirement for lamps to be tested at the marked voltage. CA IOUs noted 
that GSILs are defined as lamps operating at least partially within 110 
to 130 volts and with a minimum light output of 310 lumens (232 lumens 
for modified spectrum). Further, the 2017 GSL Definition Rules 
specified GSLs, which include GSILs and IRLs, as lamps operating 
between 100 to 130 V with a minimum light output of 310 lumens. CA IOUs 
argued that testing at the labeled voltage could allow lamps to be 
tested at a lower voltage producing less than the minimum lumens to be 
considered GSLs. (CA IOUs, No. 6 at p. 2) ASAP stated that for 
incandescent lamps an increase in voltage will lead to higher lumens, 
and some manufacturers may choose to label their lamps at a lower 
voltage than for which it was designed to avoid the minimum lumen 
requirements of a GSL. In particular, ASAP expressed concerns regarding 
re-rating by manufacturers for incandescent lamps with medium screw 
bases. ASAP added that allowing manufacturers to test lamps at labeled 
voltages not used in real applications could yield results that are not 
representative of actual performance for the vast majority of 
consumers. Regarding aligning with the CFL and integrated LED lamp test 
procedures, ASAP stated that CFLs and integrated LED lamps are often 
designed to maintain uniform power consumption and brightness across a 
range of operating voltages and therefore can be tested at the voltage 
marked on the lamp. Further ASAP stated that the current definition of 
``rated voltage with respect to incandescent lamps'' and the associated 
``design voltage'' terminology in 10 CFR 430.2 provides sufficient 
flexibility to accommodate different types of incandescent lamps while 
avoiding loopholes. (ASAP, No. 9 at pp. 2-3)
    Based on feedback in response to the August 2017 RFI and further 
review, modifying the test voltage requirements in Appendix R to align 
with DOE test procedure requirements for CFLs and LED lamps would 
change the rated voltage for certain IRLs and potentially exclude them 
from the definition of IRL, which is defined as having a rated voltage 
or voltage range that lies at least partially in the range of 115 and 
130 volts. Further, because energy conservation standards are in part 
determined by the rated voltage of the IRL, changes to rated voltage 
may subject lamps to different standards. Therefore, DOE proposes to 
maintain the current specifications for determining the test voltage of 
incandescent lamps as specified in the definition of ``rated voltage 
with respect to incandescent lamps'' in 10 CFR 430.2. DOE proposes to 
move this voltage specification currently codified as part of a 
definition to the ``General Instructions'' section of Appendix R to 
make it clear that it applies to GSIL and IRL test methods in Appendix 
R.
3. Test Method for Determining Initial Lamp Efficacy, CRI, and CCT
    To improve the organization of the appendix, DOE proposes to create 
a section called ``Test Method for Determining Initial Input Power, 
Initial Lumen Output, Initial Lamp Efficacy, CRI, and CCT'' and include 
existing sections regarding these measurements as subsections.
a. Test Conditions and Setup
    The test conditions and setup section of the test procedure 
provides specifications regarding the ambient, physical, and electrical 
conditions of the test setup. To convey this purpose DOE proposes to 
include the term ``setup'' in the title and modify the existing 
language to use the phrase ``establish ambient, physical, and 
electrical conditions'' consistently.
    Additionally, for GSFLs, DOE proposes to move the specifications on 
appropriate voltage and current conditions and reference ballast 
settings from the ``Test Methods and Measurements'' section to ``Test 
Conditions and Setup'' as these requirements are part of the electrical 
conditions and setup that should be met prior to taking any 
measurements. Further as stated in section 1, DOE proposes to allow 
manufacturers to make voluntary representations for GSFLs that are 
based on high frequency reference ballast settings in the 2016 versions 
of ANSI C78.81 and ANSI C78.901. (These optional representations would 
be in addition to the required representations made in accordance with 
the DOE test procedure and would not be used to show compliance with 
minimum requirements.) In support of this testing,

[[Page 29901]]

DOE proposes that, for voluntary high-frequency measurements, lamps 
would be required to operate using high frequency reference ballast 
settings in ANSI C78.81-2016 and ANSI C78.901-2016. Voluntary 
representations are described in a new section 5.0 in Appendix R.
    Further, DOE proposes to clarify existing instructions regarding 
operation on low versus high frequency reference ballast settings and 
the inclusion of cathode power in measurements. For any lamp with an 
ANSI datasheet, if the datasheet includes low frequency settings, the 
test would occur using low frequency settings and DOE proposes to 
clearly state when to include cathode power. For any lamp with an ANSI 
datasheet that does not include low frequency settings, the test would 
occur using high frequency settings and cathode power would not be 
included. For any lamp with no ANSI datasheet, DOE proposes to add text 
that clarifies the frequency of operation and whether to include 
cathode power in calculations.
    DOE proposes to specify that when operating at low frequency, 
cathode power must be included in the measurement if ANSI C78.81 or 
ANSI C78.901 classifies the circuit application as ``rapid start.'' If 
those industry test standards classify the circuit application as 
something other than ``rapid start,'' cathode power would not be 
included. DOE also proposes to specify that cathode power must not be 
included in measurements when operating at high frequency. DOE seeks 
comments on the usefulness of the proposed general clarification 
regarding cathode power for lamps found in ANSI C78.81 and ANSI C78.901 
and any associated impacts on test burden.
    Additionally, for lamps that do not have lamp data sheets in 
industry test standards, DOE provides reference ballast settings on 
which to test in Appendix R. DOE obtained these reference ballast 
settings from existing lamp data sheets of industry test standards for 
the lamp type most similar to the lamp type not contained in the 
industry test standard. However, Appendix R only specifies the 
reference ballast settings and does not indicate whether the test must 
be done at low or high frequency or include cathode power. DOE proposes 
to specifically state whether lamp types not included in industry test 
standards must be tested at low or high frequency to clarify that 
manufacturers only need to conduct one test and to indicate the 
frequency at which that test must occur. DOE also proposes to specify 
for these lamps whether cathode power must be included in the 
measurements. DOE bases this proposal on how the lamp types most 
similar to the lamp type not contained in the industry test standard 
are tested. DOE proposes to specify the following:

  Table III.2--Proposed Frequency and Cathode Power Test Specifications
                                for GSFLs
------------------------------------------------------------------------
                                                      Test with cathode
          Lamp type              Test frequency            power?
------------------------------------------------------------------------
4-foot medium bipin (T8,      Low.................  Yes.
 T10, T12).
2-foot U-shaped (T8 and T12)  Low.................  Yes.
8-foot slimline (T8 and T12)  Low.................  No.
8-foot high output (T12)....  Low.................  Yes.
8-foot high output (T8).....  High................  No.
4-foot medium bipin standard  High................  No.
 output and high output (T5).
------------------------------------------------------------------------

    DOE notes that if this proposal were finalized, DOE would expect 
manufacturers whose test data was not consistent with the specified 
cathode heat provisions would be required to retest. DOE seeks comments 
on the usefulness of the proposed clarification regarding the frequency 
of operation and inclusion of cathode power for lamps that do not have 
lamp data sheets in industry test standards and any associated impacts 
on test burden.
    Appendix R currently references IES LM-9, IES LM-45, and IES LM-20 
in their entirety for test conditions. DOE proposes to specify that 
ambient, physical, and electrical conditions be established as 
described in sections 4.0, 5.0, 6.1, 6.5 and 6.6 of IES LM-9 for GSFLs; 
sections 4.0, 5.0, 6.1, 6.3 and 6.4 in IES LM-45 for GSILs; and 
sections 4.0 and 5.0 of IES LM-20 for IRLs.
    The proposed updates to test conditions and setup in Appendix R 
only reorganize or specify more exact industry reference to current 
specifications and would not change current requirements of the DOE 
test procedure.
b. Test Methods, Measurements, and Calculations
    The section on test methods and measurements in the current 
Appendix R, in some cases, references industry test standards in their 
entirety. It also does not expressly state when to season and stabilize 
the lamps or take measurements or which measurements to take. DOE 
proposes to limit references of industry test standards to listed 
sections and to reorganize the section to provide a clear, step-by-step 
process of seasoning and stabilizing the lamp; taking the appropriate 
measurements of initial input power and initial lumen output; and 
making necessary calculations to determine values of initial lamp 
efficacy, CCT, and CRI.
Seasoning and Stabilization
    DOE proposes to state explicitly that lamps must be seasoned and 
stabilized according to section 6.2 in IES LM-45 for GSILs and section 
6.0 in IES LM-20 for IRLs. These proposed updates only specify more 
exact industry reference to current specifications and will not change 
current requirements of the DOE test procedure.
    In the August 2017 RFI, DOE requested information on the use of the 
``peak lumen method,'' which is an alternative stabilization method 
referenced in IES LM-9, the industry test standard for non-CFL lamps 
that use fluorescent technology. 82 FR 37031, 37035. DOE received 
several comments on this method. NEMA and LEDVANCE explained that the 
peak lumen method is useful for lamps that have long stabilization 
times such as high output lamps. (NEMA, No. 7 at p. 5; LEDVANCE, No. 5 
at p. 6) NEMA stated that, while the method is not used often since 
such lamps are not high volume, the method should be maintained because 
it improves throughput time in the laboratory. (NEMA, No. 7 at p. 5) 
LEDVANCE stated it did not employ the peak lumen method but had no 
objection to its use. (LEDVANCE, No. 5 at p. 6)
    IES LM-9 states that through careful correlation tests it may be 
possible to relate peak to stabilized lumens by a constant that would 
be unique to each lamp type. IES LM-9 goes on to explain

[[Page 29902]]

that the measured peak lumens of a lamp can be multiplied by this 
correction factor to determine stabilized lumens. Although industry 
feedback indicates that it is not a popular method, the ``peak lumen 
method'' can improve throughput time in the laboratory. Therefore, DOE 
proposes to continue to allow the ``peak lumen method'' as an 
alternative stabilization method.
    For GSFLs, DOE proposes to state that lamps must be seasoned and 
stabilized in accordance with sections 6.1, 6.2, 6.3, and 6.4 of IES 
LM-9. These proposed updates only specify the exact sections of an 
industry standard and would not change current requirements of the DOE 
test procedure.
Photometric Measurements
    In the August 2017 RFI, DOE requested information on allowing only 
the integrating sphere method and no longer allowing the 
goniophotometer (the combination of a goniometer and photometer) method 
for taking photometric measurements of GSFLs, IRLs, and GSILs. 82 FR 
37031, 37035. Additionally, DOE requested comments on how frequently 
the industry uses the average intensity distribution curve method, 
which is the calculation of total lumen output based on the intensity 
measurements taken using the goniophotometer method for determining 
lumen output of IRLs. DOE received several comments on these topics.
    NEMA supported, and LEDVANCE did not object to, allowing the 
goniophotometer and average intensity distribution curve methods in 
addition to the integrating sphere method. NEMA preferred to maintain 
the option of testing with a goniometer \39\ stating that it was a 
better method for testing IRLs and also provided flexibility when the 
integrating sphere was otherwise occupied. NEMA also stated that, while 
the average intensity distribution curve method is little-used, it 
should be maintained as an option. (NEMA, No. 7 at p. 5) LEDVANCE 
stated that, while it uses the integrating sphere method for testing 
and certifying all the lamps including IRLs, LEDVANCE had no objections 
to maintaining the goniophotometer as a test method option because of 
the flexibility it provided. LEDVANCE stated that, while it did not use 
the average intensity distribution curve method, it had no objection to 
allowing it. (LEDVANCE, No. 5 at p. 6)
---------------------------------------------------------------------------

    \39\ Industry use the term goniophotometer and goniometer 
interchangeably, but both refer to the same method in which a large 
mirror attached to an arm-like construction is rotated around the 
light source (goniometer) and the light that is reflected is 
detected and measured by a photometer.
---------------------------------------------------------------------------

    CA IOUs stated their belief that, because GSLs are defined to 
include GSILs, CFLs, and general service LED lamps and all three lamp 
types will be subject to the same standard DOE should strive to 
harmonize test methods, where possible. Because only the integrating 
sphere method is allowed for CFLs and integrated LED lamps, the CA IOUs 
expressed support for allowing only this method for measuring light 
output of GSFLs, IRLs, and GSILs. (CA IOUs, No. 6 at p. 2)
    Because alternative methods of measurement may provide logistical 
flexibility, even though they are little-used, DOE proposes to continue 
to allow the average intensity distribution method for reflector lamps 
and goniophotometers for all lamps in addition to the integrating 
sphere method. Thus, the proposal makes no change to the current test 
procedure. DOE proposes to specify that initial lumen output 
measurements be taken in accordance with section 7.0 in IES LM-9 for 
GSFLs, section 7.0 in IES LM-45 for GSILs, and section 7.0 or 8.0 in 
IES LM-20 for IRLs.
    Additionally, for reflector lamps, DOE proposes to require 
measuring initial lumen output rather than total forward lumens (as it 
is currently described in Appendix R). DOE most recently discussed 
measuring an IRL's total forward lumens more than twenty years ago in a 
test procedure final rule published on May 29, 1997. 62 FR 29222, 
29235. In that rulemaking proceeding, NEMA commented that the light 
output for IRLs should be measured as total forward lumens. 62 FR 
29222, 29235. In a final rule published June 13, 1995, in response to a 
letter from NEMA containing a similar request for measurement in total 
forward lumens, the FTC amended its labeling requirements for IRLs to 
clarify ``total forward lumens,'' instead of lumens ``at beam spread.'' 
60 FR 31077, 31079-31080. FTC concluded that light output disclosure 
should reflect useable light output reflected forward, and not merely 
forward light focused within the more narrow ``beam spread'' of the 
particular lamp. 60 FR 31077, 31080. Neither IES LM-20-2013 nor IESNA 
LM-20-1994 uses the term ``forward lumens.'' However, based on FTC's 
amendment, DOE tentatively finds that, because a reflector lamp is 
designed to focus lumens in a specific direction rather than in all 
directions, the term ``total forward lumens'' has the same meaning as 
``initial lumen output.'' To align terminology with other lamp test 
procedures (i.e., GSFLs, GSILs, CFLs, and LED lamps), DOE proposes to 
change the term ``total forward lumens'' to ``initial lumen output'' 
for IRLs in Appendix R.
Determining CRI and CCT
    DOE proposes to include a test method for determining CRI for lamps 
that use incandescent technology. Because there is a minimum CRI 
requirement for GSILs (see 10 CFR 430.32(x)(1)), and manufacturers are 
required to certify CRI values for GSILs (see 10 CFR 
429.27(b)(2)(iii)), DOE proposes to include a test method for 
determining CRI of GSILs in Appendix R. In addition, the Energy 
Independence and Security Act (``EISA'') of 2007 established a CRI 
requirement for IRLs.\40\ Hence, DOE also proposes to include a test 
method for determining CRI of IRLs in Appendix R. Specifically, DOE 
proposes to require that CRI of GSILs be determined in accordance with 
section 7.4 in IES LM-45 and CIE 13.3 and that CRI of IRLs be 
determined in accordance with CIE 13.3. Because CIE 13.3 is the 
industry test standard for testing CRI of all lamps, CRI is likely 
already being measured in accordance with this standard. Hence, DOE has 
tentatively concluded that the proposed test method for CRI is only 
establishing procedures already being followed.
---------------------------------------------------------------------------

    \40\ Section 321(a) of EISA 2007 established CRI requirements 
for lamps that are intended for a general service or general 
illumination application (whether incandescent or not); have a 
medium screw base or any other screw base not defined in ANSI 
C81.61-2006; are capable of being operated at a voltage at least 
partially within the range of 110 to 130 volts; and are manufactured 
or imported after December 31, 2011.
---------------------------------------------------------------------------

    For GSFLs, Appendix R currently requires CRI to be determined in 
accordance with CIE 13.3. (Section 4.4.1 of Appendix R). For 
completeness, DOE proposes to state that, in addition to CIE 13.3, the 
CRI of GSFLs be determined in accordance with section 7.6 in IES LM-9.
    Currently Appendix R requires CCT for GSFLs to be determined in 
accordance with IES LM-9, and CCT for incandescent lamps to be 
determined in accordance with CIE 15. Id. DOE proposes to require that 
CCT of GSFLs be determined in accordance with section 7.6 in IES LM-9 
and CIE 15; CCT of GSILs be determined in accordance with section 7.4 
in IES LM-45 and CIE 15; and CCT of IRLs be determined in accordance 
with CIE 15. Section 7.6 of IES LM-9 states that color measurements are 
based on chromaticity coordinates and CRI as defined by CIE standards.

[[Page 29903]]

4. Test Methods, Measurements, and Calculations for Determining Time to 
Failure
    To improve the organization of the appendix, DOE proposes to create 
a section called ``Test Method for Determining Time to Failure for 
General Service Incandescent Lamps and Incandescent Reflector Lamps'' 
and subsections, ``Test Conditions and Setup,'' and ``Test Methods, 
Measurements, and Calculations.'' To clarify the existing test method 
for determining the time to failure of GSILs and adopt the same test 
method for determining time to failure of IRLs, DOE proposes to include 
information on test conditions, seasoning and stabilization, and remove 
information not pertinent to determining the time to failure value of 
the lamp.
    Currently Appendix R requires measuring lifetime of GSILs in 
accordance with IES LM-49 and does not provide a test procedure for 
measuring lifetime of IRLs. DOE proposes to measure lifetime of IRLs in 
accordance with IES LM-49 and use the same methods as for GSIL lifetime 
testing. To improve the clarity of the existing instructions for GSIL 
lifetime testing and the proposed instructions for IRL lifetime 
testing, DOE proposes to reference specific sections of the industry 
standards to execute the steps in determining lifetime for GSILs and 
IRLs. To specify the ambient, physical, and electrical conditions, DOE 
proposes to reference sections 4.0 and 5.0 of IES LM-49. DOE also 
proposes to specify that the lamps must be seasoned and stabilized and 
reference section 6.2 of IES LM-45 for these procedures. Also, as 
explained in section 1, DOE is proposing to replace ``lifetime'' with 
the term ``time to failure,'' which would be defined as the time 
elapsed between first use and the point at which the lamp ceases to 
produce measurable lumen output (see section 1). This provides more 
precision regarding the point at which measurements must be taken. 
Further, DOE proposes to require measuring ``time to failure'' in 
accordance with section 6.0 of IES LM-49 (see section 1). (DOE is also 
proposing to use the term ``time to failure'' to describe the 
represented value for lifetime; see section III.D). Additionally, 
because accelerated lifetime testing is described in section 6.4 of the 
latest version of IES LM-49 proposed for adoption in this notice, DOE 
proposes to update the existing reference to section 6.1 to be section 
6.4 of IES LM-49 in the provision disallowing accelerated testing. 
Finally, because it relates to the standard rather than the test 
procedure, DOE proposes to remove language stating that the lamp will 
be deemed to meet minimum rated lifetime standards if greater than 50 
percent of the sample size meets the minimum rated lifetime from 
appendix R.
    DOE has tentatively determined that these proposed updates would 
not change current requirements for testing lifetime of GSILs, as the 
updates only explicitly state certain steps of the referenced industry 
standard for determining time to failure for incandescent lamps and 
provide the associated section references to an industry test standard 
already incorporated by reference. DOE tentatively determines that 
because the proposed requirements for testing lifetime of IRLs 
reference IES LM-49, the industry standard for testing lifetime of 
incandescent lamps, they are not substantively different from those 
manufacturers are currently using to conduct this test.
5. References to Industry Test Standards
    NEMA recommended DOE adopt industry test standards ``without 
modification'' because testing according to both modified industry test 
standards in DOE test procedures and to original industry test 
standards for other programs such as ENERGY STAR or the State of 
California's standards increases burden. NEMA added that following a 
single test procedure for all these programs minimizes risk of errors. 
(NEMA, No. 7 at p. 2) Philips agreed, citing the test lab costs for 
setting up protocols for modified industry test standards and the 
potential of erroneously using the modified industry test standard to 
test a product for non-DOE purposes. (Philips, No. 8 at p. 2) LEDVANCE 
agreed, adding that adopting industry test standards without 
modification streamlines and simplifies testing requirements. 
(LEDVANCE, No. 5 at p. 6)
    In this document, DOE is only updating referenced industry test 
standards to the latest versions and including more specific section 
references of these industry test standards. Further, the potential of 
adopting a test procedure that is different from other programs should 
not add to test burden for these lamp types. Because the ENERGY STAR 
program does not include lamps that operate on an external ballast, its 
test method would not apply to the GSFLs subject to DOE's test 
procedures. ENERGY STAR also does not include any incandescent lamp 
types.\41\ Manufacturers also do not need to conduct separate tests for 
California requirements because the California Energy Commission 
regulations refer to the DOE test procedures for testing general 
service fluorescent lamps, general service incandescent lamps, and 
incandescent reflector lamp types (see 20 California Code of 
Regulations 1604 \42\).
---------------------------------------------------------------------------

    \41\ ENERGY STAR[supreg] Program Requirements Product 
Specification for Lamps (Light Bulbs) Eligibility Criteria Version 
2.0. February 2016. https://www.energystar.gov/sites/default/files/asset/document/ENERGY%20STAR%20Lamps%20V2%20Revised%20Spec.pdf.
    \42\ California Code of Regulations. ``Test Methods for Specific 
Applications.'' https://govt.westlaw.com/calregs/Document/I90BAEA80D44E11DEA95CA4428EC25FA0?viewType=FullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Default
).
---------------------------------------------------------------------------

D. Amendments to 10 CFR 429.27, 10 CFR 429.33 and 10 CFR 430.2

    DOE proposes to modify language in 10 CFR 429.27, which sets forth 
the sampling, certification, and rounding requirements for GSFLs, IRLs, 
and GSILs, to improve clarity and organization and ensure it supports 
the labeling requirements for lamps established by the FTC. DOE also 
proposes changes to definitions in 10 CFR 430.2 to align better with 
terminology proposed in Appendix R and 10 CFR part 429. Further, DOE 
proposes to separate each lamp type by creating two new sections in 10 
CFR part 429. This will add clarity and allow DOE to treat represented 
values differently depending on the product. Although the paragraphs 
below describe changes to 10 CFR 429.27, the changes for each lamp type 
will appear in separate sections in 10 CFR part 429. DOE also proposes 
to revise 10 CFR 429.33 to replace references to 10 CFR 429.27 with 
references to the proposed, separate sections for each lamp type.
1. Definitions
    To provide further clarity to the test procedure DOE is making 
several updates to definitions including revising the definition of 
``basic model;'' references and definition of ``rated;'' and updating 
definitions of different IRL types.
Definitions of ``Basic Model''
    DOE proposes to update the definition of ``basic model'' in 10 CFR 
430.2 to replace ``lumens per watt (lm/W)'' with ``lamp efficacy.'' 
This improves clarity by using the name of the metric instead of the 
unit of measure. Lamp efficacy is already defined elsewhere in 10 CFR

[[Page 29904]]

430.2 as being expressed in terms of lumens per watt.
Definitions and References of ``Rated''
    DOE proposes to replace references of ``rated lumen output'' and 
``rated lifetime'' in 10 CFR 429.27 with, respectively, ``initial lumen 
output'' and ``lifetime.'' The term ``rated'' can lead to 
misunderstanding to the extent a reader interprets it as a standardized 
value rather than one that is determined through measurements. DOE 
requests comments on replacing ``rated lumen output'' and ``rated 
lifetime'' with, respectively, ``initial lumen output'' and 
``lifetime.''
    The term ``rated lifetime for general service incandescent lamps'' 
is defined in 10 CFR 430.2 in relevant part as ``the length of 
operating time of a sample of lamps,'' as defined in 10 CFR 429.27, 
``between first use and failure of 50 percent of the sample size,'' as 
determined in accordance with Appendix R. To align with proposed 
requirements in 10 CFR 429.27 for determining lifetime, DOE proposes to 
remove the term ``rated.'' Additionally, because the term ``lifetime'' 
rather than ``lifetime for general service incandescent lamps'' is used 
in 10 CFR 429.27, DOE also proposes to remove ``for general service 
incandescent lamps.'' DOE also proposes to modify the definition to 
``the length of operating time between first use and failure of 50 
percent of the sample units (as specified in 10 CFR 429.27 of this 
chapter), determined in accordance with the test procedures described 
in Appendix R to subpart B of this part.''
    ``Rated wattage'' for GSILs and IRLs is defined in 10 CFR 430.2 as 
the electrical power measured according to Appendix R. If there is no 
lamp datasheet for a type of GSFL in one of the referenced ANSI 
standards, ``rated wattage'' for GSFLs is defined as the electrical 
power of a lamp when measured according to the test procedures outlined 
in Appendix R. To align with 10 CFR 429.27, DOE proposes to clarify 
this definition by replacing the references to Appendix R with 
references to the relevant sections in 10 CFR part 429 and replacing 
``electrical power'' with ``initial input power.'' DOE requests 
comments on the proposed definition of ``lifetime'' and modification to 
the definition of ``rated wattage'' in 10 CFR 430.2.
    In the provisions for determining the represented value of rated 
wattage for GSFLs, GSILs, and IRLs, DOE proposes to change to ``rated 
wattage'' in any current references to ``rated lamp wattage,'' for 
consistency within 10 CFR part 429 and to conform to the relevant term 
used in the energy conservation standards in 10 CFR 430.32.
    Finally, in the provisions for determining the rated wattage of 
GSILs, DOE proposes to change how to determine the 95-percent upper 
confidence limit from using a two-tailed confidence interval to a one-
tailed confidence interval. A two-tailed confidence interval test is 
typically utilized to determine whether a set of results could be 
either higher or lower while a one-tailed confidence interval test is 
typically utilized to determine whether a set of results are going in 
one specific direction (i.e., either higher or lower). All represented 
values of lamp metrics required by DOE are either the greater of or 
lower of the mean or the upper/lower confidence limit of the results--
depending on how the consumer may value that metric. (For example, 
where lower values are favored, such as wattage, the represented value 
is greater of the mean or upper confidence limit of the results.) 
Currently any represented value of rated wattage for a GSIL is the 
greater of the mean or the upper 95-percent confidence limit. Because 
DOE is interested in the greater value from the tested results for 
wattage, a one-tailed confidence interval rather than two-tailed 
confidence interval test is appropriate. The proposed change to a one-
tailed confidence interval will also align the represented value 
determination of rated wattage of GSILs with all other represented 
value determinations of lamp metrics. DOE requests comment on its 
proposed changes to the provisions for determining the represented 
value of rated wattage for GSFLs, GSILs, and IRLs.
Definitions of IRL Types
    On May 1, 2020 DOE published an RFI document seeking comments to 
inform its determination of whether the standards for IRLs need to be 
amended. 85 FR 25326. In response to the RFI, DOE received several 
comments on the definitions of different types of IRLs. CA IOUs 
recommended that DOE update the industry references in 10 CFR 430.2 for 
the definitions of bulged parabolic reflector (``BPAR''), reflector 
(``R'')20, elliptical reflector (``ER''), and bulged reflector (``BR'') 
lamps with the latest versions of ANSI C78.21-2011(R2016) \43\ and ANSI 
C78.79-2014 (R2020) \44\ to ensure that the latest industry standards 
and definitions are reflected. (CA IOUs, No. 8 at p. 4) NEMA supported 
the use of ANSI C78.21-2011 (R2016) as the current industry reference 
for reflector shape lamps. NEMA stated that colored lamps, lamps 
designed for rough or vibration service applications, and lamps that 
are R20 short type should remain excluded from the IRL definition. 
(Docket No. EERE-2019-BT-STD-0030, NEMA, No. 6 at p. 2)
---------------------------------------------------------------------------

    \43\ American National Standards Institute, ANSI C78.21-
2011(R2016) American National Standard for Incandescent Lamps--PAR 
and R Shapes, Approved August 23, 2016.
    \44\ American National Standards Institute, ANSI C78.79-
2014(R2020) American National Standard for Electric Lamps--
Nomenclature for Envelope Shapes Intended for Use with Electric 
Lamps, Approved January 17, 2020.
---------------------------------------------------------------------------

    DOE agrees with CA IOUs and NEMA on updating the CFR references 
with the latest versions of the currently referenced industry 
standards. Therefore, in this notice, DOE proposes to update the 
definitions in 10 CFR 430.2 for the BPAR, R20, ER, and BR incandescent 
reflector lamps with references to the latest versions of the currently 
referenced industry standards. Additionally, DOE is proposing 
definitions for R and parabolic aluminized reflector (``PAR'') 
incandescent reflector lamps that reference ANSI C78.21-2011 (R2016). 
Accordingly, DOE proposes to incorporate by reference ANSI C78.21-2011 
(R2016) and ANSI C78.79-2014 (R2020) for 10 CFR 430.2.
2. Sampling Requirements
    DOE proposes certain clarifying and organizational modifications to 
the sampling provisions in 10 CFR 429.27(a). First, to be consistent 
with sampling requirement language for other lamp types (i.e., CFLs and 
integrated LED lamps), DOE proposes to state explicitly that 
represented values and certified ratings must be determined in 
accordance with the sampling provisions described in 10 CFR part 429.
    DOE also proposes to require using the same sample of units as the 
basis for representations for all metrics for each basic model.
    DOE proposes to change the minimum sample size from 21 lamps to 10 
lamps and to remove the requirement that a minimum of three lamps be 
selected from each month of production for a minimum of 7 out of a 12-
month period. Removing the latter provision would reduce confusion and 
burden. First, the 12-month requirement has led to confusion among 
manufacturers who interpreted this to mean DOE requires re-testing 
every calendar year. Second, selecting a few sample units from multiple 
months of the year can be difficult to coordinate and execute. In 
particular, if a manufacturer does not initially know the number of 
months in

[[Page 29905]]

which it will produce the basic model, it would need to reserve lamps 
from each production month and later decide how many to test. In light 
of these considerations, DOE proposes to remove this requirement and 
instead align the minimum number of sample units with the requirements 
for other lighting products. Reflecting this change, DOE also proposes 
to eliminate the requirement to identify the production months of 
sample units in 10 CFR 429.27(c) by providing the production date codes 
and accompanying decoding schemes for all test units. DOE does not 
believe this change would require manufacturers to retest products. 
Current certifications based on 21 lamps would meet the proposed 
requirement to base certification on a minimum of 10 units. However, 
manufacturers would likely choose to test fewer lamps when they certify 
new products and therefore save testing costs. The expected cost 
savings are described in section III.H. DOE requests comments on its 
proposal to reduce the minimum sample size and remove the requirement 
that a minimum of three lamps be selected from each month of production 
for a minimum of 7 months out of a 12-month period.
    Because sample units would no longer have to be selected over a 12-
month period, DOE is also proposing to remove the requirement in 10 CFR 
429.12(e)(2) to submit an initial certification report prior to or 
concurrent with the distribution of a new basic model for GSFLs and 
IRLs. Instead, for GSFLs and IRLs, the complete certification report 
described in 10 CFR 429.12(b) would be required at that time. In 
addition, DOE expects that a manufacturer would complete the testing 
needed to submit a certification of compliance with standards prior to 
distribution in commerce, so a subsequent report would not be needed to 
reflect additional test results. DOE requests comments on its proposal 
to remove the submission of an initial certification report for GSFLs 
and IRLs.
3. Represented Value Determinations
    DOE proposes to add specifications for determining the represented 
values of certain metrics. Under the FTC lighting facts labeling 
requirement, manufacturers of GSILs and IRLs are required to include on 
the lamp packaging basic and consistent information, including lumen 
output, wattage, life, CCT, and costs of annual energy consumption. 16 
CFR 305.23(b) In support of FTC labeling requirements for GSILs and 
IRLs, DOE proposes adding determinations for the represented values of 
life (in years), estimated annual energy cost (in dollars per year), 
CCT, wattage (for IRLs only), and initial lumen output (for IRLs only).
    Specifically, DOE proposes represented values of life (in years) 
for GSILs and IRLs be determined by dividing the represented lifetime 
of these lamps as determined by DOE requirements in 10 CFR part 429 by 
the estimated annual operating hours as specified by FTC in 16 CFR 
305.23(b)(3)(iii). To support this calculation, DOE proposes that 
lifetime for IRLs be determined as equal to or less than the median 
time to failure of the sample. DOE proposes represented values of 
estimated annual energy cost (in dollars per year) for GSILs and IRLs 
be determined in accordance with FTC requirements (i.e., a usage rate 
of 3 hours per day, and 11 cents ($0.11) per kWh) using the average 
initial wattage for the tested sample of lamps (see 16 CFR 
305.23(b)(3)(ii)). DOE proposes the represented values of CCT for GSILs 
and IRLs be determined as the mean of the sample. Because consumers 
would favor a higher value for initial lumen output, DOE proposes 
represented values of initial lumen output for IRLs be determined as 
less than or equal to the lower of the mean or the lower confidence 
limit of the sample. DOE proposes the represented value of wattage for 
IRLs be determined as the mean of the sample. Because IRL wattage is 
used to determine which lamps are subject to DOE standards, the mean 
(average) of measured values is appropriate and confidence limits need 
not be applied.
    Additionally, DOE's current test procedure for GSFLs includes 
measurement of wattage and CCT and in this notice DOE is proposing a 
test procedure for measuring CRI of IRLs (see section III.C.3). To 
support these test procedures, DOE proposes to provide instructions on 
determining the represented values for wattage and CCT of GSFLs and CRI 
for IRLs. Because consumers would favor a higher value for CRI, DOE 
proposes represented values of CRI for IRLs be determined as less than 
or equal to the lower of the mean or the lower confidence limit of the 
sample. DOE proposes the represented value of wattage and CCT for GSFLs 
be determined as the mean of the sample. Because GSFL wattage and CCT 
are used to determine which lamps are subject to DOE standards, the 
mean (average) of measured values is appropriate and confidence limits 
need not be applied.
    Further, DOE is proposing revisions to the existing represented 
value determinations of initial lumen output for GSILs and CRI for 
GSFLs. DOE proposes to revise the current instruction to average the 
measurements of lumen output for GSILs. Because GSIL energy 
conservation standards are based on initial lumen output and consumers 
would favor a higher value for this metric, DOE proposes the 
represented initial lumen output be less than or equal to the lower of 
the mean or the lower confidence limit. DOE proposes to revise the 
current instruction to apply the lower confidence limit to determine 
CRI for GSFLs. Because CRI can determine which lamps are subject to DOE 
standards, the mean (average) of measured values is appropriate and 
confidence limits need not be applied. DOE proposes the represented 
value of CRI for GSFLs to be determined as the mean of the sample.
    Finally, DOE is proposing changes to clarify the determination of 
the represented value of lifetime for GSILs. DOE proposes to remove 
language stating that lifetime is the length of operating time between 
first use and failure of 50 percent of the sample size. Instead DOE 
proposes to state that the represented value of lifetime is equal to or 
less than the median time to failure of the sample. For an odd sample 
size, the median time to failure is simply the middle unit's time to 
failure. For an even sample size, it is the arithmetic mean of the time 
to failure of the two middle samples. DOE also proposes this clarified 
determination of represented value of lifetime for IRLs.
4. Reporting Requirements
    In line with the proposed amendments to sampling requirements (see 
section III.D.2), DOE is proposing to remove the requirement to report 
production dates of units tested for GSFLs, IRLs, and GSILs. 
Additionally, DOE is proposing to clarify currently reported values for 
GSFLs, IRLs, and GSILs by removing ``12-month average'' from the 
description.
    Further to align with the proposed method of referencing wattage 
(see section III.D.1), DOE is clarifying the description of ``lamp 
wattage'' so that it instead reads as ``rated wattage'' for GSFLs, 
IRLs, and GSILs. To align with proposed method of referencing lifetime 
(see section III.D.1), DOE is clarifying the description of ``average 
minimum rated lifetime'' so that it instead reads as ``lifetime'' for 
GSILs.
5. Rounding Requirements
    For completeness and clarity, DOE proposes to specify rounding 
requirements for all represented values. DOE proposes to require 
rounding initial input power to the nearest tenth of a watt, initial 
lumen output to three

[[Page 29906]]

significant digits, CRI to the nearest whole number, and lifetime to 
the nearest whole hour. DOE proposes to modify the CCT rounding 
requirement to the nearest 100 Kelvin. Currently Appendix R requires 
rounding lamp efficacy to the nearest tenth of a lumen per watt and CCT 
to the nearest 10 Kelvin. These updates to rounding requirements align 
with other DOE lamp test procedures such as CFLs and integrated LED 
lamps, and DOE has tentatively determined they provide the necessary 
level of precision for evaluating compliance with the applicable 
metric(s).
    DOE proposes to move the rounding requirements for lamp efficacy 
and CCT from Appendix R to part 429. DOE also proposes to consolidate 
all rounding provisions in a single paragraph in the relevant product-
specific section in part 429, subpart B.

E. Amendments to 10 CFR 430.23(r)

    Test procedures and measurements for GSFLs, IRLs, and GSILs are 
specified in 10 CFR 430.23(r). This section includes calculations and 
appropriate section references to Appendix R for determining annual 
energy consumption, lamp efficacy, CRI, and lifetime for GSFLs, GSILs, 
and IRLs, as applicable. Because calculations for determining these 
metrics are already established in Appendix R, DOE proposes to remove 
them from Sec.  430.23(r). Additionally, DOE proposes to reference 
Appendix R in general rather than specifying sections, so that any 
future amendments to sections in Appendix R do not require changes in 
10 CFR 430.23(r). Finally, DOE proposes to remove all references to 
annual energy consumption as this metric is not required by DOE. DOE 
proposes to replace the current language in 10 CFR 430.23(r) with a 
requirement to measure initial lumen output, initial input power, 
initial lamp efficacy, CRI, CCT, and time to failure in accordance with 
Appendix R.

F. Conforming Amendments to Energy Conservation Standard Text at 10 CFR 
430.32

    To avoid confusion and align with the proposed new terminology for 
Appendix R and 10 CFR 429.27, DOE proposes to modify certain terms 
related to the energy conservation standards for GSFLs, IRLs, and 
GSILs. The tables in 10 CFR 430.32(n)(6) and 10 CFR 430.32(x) provide 
the energy conservation standards for IRLs and GSILs, respectively, 
where the wattage terms are measured values. For IRLs, DOE proposes to 
change ``rated lamp wattage'' to be ``rated wattage'' in 10 CFR 
430.32(n)(6). Also, in existing footnote 1 in the table in 10 CFR 
430.32(n)(6), DOE proposes to specify the ``P'' in the minimum standard 
equation as ``rated wattage'' rather than ``rated lamp wattage.'' For 
GSILs, DOE proposes to change the term ``maximum rate wattage'' to 
``maximum rated wattage'' in 10 CFR 430.32(x).
    Further, for GSIL standards in 10 CFR 430.32(x), DOE proposes to 
remove the term ``rated'' from ``rated lumen ranges'' and add an 
explanatory footnote to use the measured initial lumen output to 
determine the applicable lumen range. Finally, DOE proposes to remove 
the term ``rate'' from ``minimum rate lifetime'' and add an explanatory 
footnote stating to use lifetime determined in accordance with 10 CFR 
429.27 to assess compliance with this standard. The use of ``initial 
lumen output'' and ``lifetime'' aligns with the proposed terminology 
for Appendix R and 10 CFR 429.27. DOE tentatively finds that the 
proposed changes to terminology in GSFL, IRL and GSIL energy 
conservation standards do not change the existing requirements but only 
clarify how measured values relate to the requirements in Sec.  430.32.
    Additionally, DOE proposes to remove the lamp efficacy requirements 
for GSFLs manufactured after May 1, 1994, and November 1, 1995, and on 
or before July 14, 2012, listed in 10 CFR 430.32(n)(1) and for IRLs 
manufactured after November 1, 1995, and on or before July 14, 2012, 
listed in 10 CFR 430.32(n)(5). Eight years ago, new standards 
superseded these standards, and there are likely no units on the market 
to which they apply.
    Finally, DOE proposes to change the subparagraph numbering in 10 
CFR 430.32(x) as follows: 10 CFR 430.32(x)(1)(iii)(A) and (B) to 
respectively 10 CFR 430.32(x)(2) and (3); and subsequently renumber 10 
CFR 430.32(x)(2) and (3) to 10 CFR 430.32(x)(4) and (5). This will 
reduce any confusion that standards under these subparagraphs are 
applicable only for lamps that fall under 10 CFR 430.32(x)(1)(iii).

G. Test Burden

    DOE received several comments regarding the test burden resulting 
from updated test procedures for GSFLs, GSILs, and IRLs.
    NEMA and LEDVANCE stated that to reduce test burden DOE should 
eliminate the annual sampling, testing, and reporting requirement for 
GSFL, GSIL, and IRL basic models and require only reporting to CCMS 
when products change, or are removed from or introduced into the 
market. (NEMA, No. 7 at p. 6; LEDVANCE, No. 5 at p. 6)
    DOE does not require manufacturers to retest a basic model 
annually. The initial test results used to generate a certified rating 
for a basic model remain valid as long as the basic model has not been 
modified from the tested design in a way that makes it less efficient 
or more consumptive, which would require a change to the certified 
rating. 10 CFR 429.12(e). If a manufacturer has modified a basic model 
in a way that makes it more efficient or less consumptive, new testing 
is required only if the manufacturer wishes to make representations of 
the new, more efficient rating. DOE does require that manufacturers 
report certified values for a basic model even if the previously 
submitted certified value has not changed and retesting is not 
required. See 10 CFR 429.12(a). Because this should only entail 
resubmitting existing documents, DOE has tentatively concluded that the 
test burden of this requirement is minimal.
    NEMA, LEDVANCE, and Philips stated that amending test procedures 
will not induce manufacturers to undertake any innovation efforts for 
these products. NEMA and LEDVANCE added that any amendments to test 
procedures could increase, rather than decrease, test burden. LEDVANCE 
added that all its research and development is being conducted in SSL 
products. Along these lines, NEMA stated that DOE should carefully 
consider burden when determining whether to update test procedures for 
highly mature products. (NEMA, No. 7 at p. 6, LEDVANCE, No. 5 at p. 7; 
Philips, No. 8 at p. 3) CA IOUs stated that, where there are conflicts, 
inaccuracies or outdated references, DOE should make updates to test 
procedures as needed regardless of perceived test procedure burdens. CA 
IOUs asserted that test procedures should be comprehensive and reflect 
real-world usage or would become burdensome in the long-term, 
particularly as multiple product standards evolve such as the ENERGY 
STAR[supreg], California Title 20 requirements, and California Title 24 
requirements. (CA IOUs, No. 6 at pp. 1-2)
    DOE's proposed updates to its test procedures in Appendix R and 
associated sections to update references to industry test standards and 
to clarify the language and organization of the test procedures are not 
related to product innovation. DOE has tentatively determined that 
these proposed updates will not increase test burden. As discussed in 
section III.B, updates in the

[[Page 29907]]

latest versions of industry test standards do not substantively impact 
test methods. Further, in proposing language that clarifies 
definitions, test conditions, measurements/calculations, sampling, and 
certification requirements, DOE seeks to make the test procedures 
easier and clearer to follow. Additionally, DOE is providing test 
methods for measuring the CRI of incandescent lamps to support existing 
statutory requirements and for determining the lifetime of incandescent 
reflector lamps to support FTC labeling requirements. Written 
representations of these values are already required; CRI is a value 
reported for GSILs and life (in years) is required on FTC Lighting 
Facts labels. Finally, DOE is proposing to revise the sampling 
requirements such that fewer lamps need to be tested (see section 
III.D) which would result in cost savings for manufacturers as they 
certify new products to DOE. DOE has tentatively concluded that the 
proposed amendments in this notice clarify existing test procedures and 
result in cost savings (see section III.H).
    DOE requests comment on its tentative determination that its 
proposed updates for GSFLs, IRLs, and GSILs will not increase test 
burden because determining these values to ascertain compliance with 
applicable DOE standards or FTC labeling requirements is already 
required by regulation and/or statute.

H. Test Procedures Costs and Harmonization

1. Test Procedure Costs and Impacts
    In this NOPR, DOE proposes to amend the existing test procedures 
for GSFLs, IRLs, and GSILs by updating to the latest versions of the 
referenced industry test standards and providing cites to specific 
sections of these standards; providing further specifications for 
definitions, test conditions, test methods, and measurement procedures; 
clarifying test frequency and inclusion of cathode power in 
measurements; revising the sampling requirements; aligning sampling and 
certification requirements with proposed test procedure terminology; 
providing a test method for measuring the CRI of incandescent lamps and 
for measuring lifetime of incandescent reflector lamps; and allowing 
manufacturers to make voluntary (optional) representations of GSFLs at 
high frequency settings. DOE has tentatively determined that these 
proposed amendments to the GSFL, IRL, and GSIL test procedures, if 
finalized, would impact testing costs as shown in Table III.3 and Table 
III.4.

     Table III.3--Summary of Cost Impacts for GSFLs, IRLs, and GSILs
------------------------------------------------------------------------
                                      Present value      Discount rate
             Category               (thousands 2016$)      (percent)
------------------------------------------------------------------------
Cost Savings:
    Reduction in Testing Costs....             $8,472                  3
                                                3,239                  7
Total Net Cost Impacts:
    Total Net Cost Savings........            (8,472)                  3
                                              (3,239)                  7
------------------------------------------------------------------------


  Table III.4--Summary of Annualized Cost Impacts for GSFLs, IRLs, and
                                  GSILs
------------------------------------------------------------------------
                                     Annualized value    Discount rate
             Category               (thousands 2016$)      (percent)
------------------------------------------------------------------------
Annualized Cost Savings:
Reduction in Testing Costs........               $254                  3
                                                  227                  7
Total Net Annualized Cost Impacts:
Total Net Cost Savings............              (254)                  3
                                                (227)                  7
------------------------------------------------------------------------

    Further discussion of the cost impacts of the proposed test 
procedure amendments are presented in the following paragraphs.
    The proposed amendments are primarily providing updates and 
clarifications for how to conduct the test procedure and do not add 
complexity to test conditions/setup or add test steps. For example, 
this notice adds references to specific sections of industry test 
standards to provide precise direction when conducting the test 
procedure. Proposed revisions to definitions and test conditions only 
clarify the test method. Further, the proposed reorganization and 
alignment of terminology among relevant sections of the CFR improves 
readability and provides clarity throughout the sampling requirements, 
test procedure, and applicable energy conservation standards.
    DOE is proposing to specify the frequency for testing and whether 
cathode heat is included in measurements. DOE's proposal reflects the 
stated direction in industry test standards referenced by the current 
test procedure and also standard industry practice as verified by 
product submissions in CCMS. Because DOE is specifying details that are 
already required or in use, DOE tentatively concludes that there are no 
costs incurred due to this proposal.
    Although DOE notes that it has proposed a test method for measuring 
the CRI of incandescent lamps and measuring lifetime of incandescent 
reflector lamps, testing for these metrics is already required by DOE, 
EISA 2007, or FTC. As such, manufacturers already conduct this test for 
covered products. The method of measuring CRI has not changed 
substantively in over 20 years (the referenced industry test standard 
was last updated in 1995) and therefore the method of measurement used 
by manufacturers is likely substantively similar to DOE's proposed 
method. Further, the data required for CRI can be gathered via an 
integrating sphere at the same time the sphere is used to measure lumen 
output. Thus, the data to determine CRI can be gathered while measuring 
a quantity that is used in a metric already reported to DOE (i.e., lamp 
efficacy). Regarding lifetime, the FTC requires manufacturers to report

[[Page 29908]]

life (in years) of IRLs on its Lighting Facts label. The lifetime test 
method used in support of the Lighting Facts label is likely 
substantively similar to the method proposed by DOE. The industry test 
method that describes measuring the lifetime of incandescent filament 
lamps is IES-49. Although IES-49 was updated in 2012, DOE tentatively 
concluded in section 4 that changes in the updated version are only 
explicitly stating what is likely already practiced by test labs. 
Further, NEMA and LEDVANCE stated that the adoption of the updated 
standard posed no known issues. (NEMA, No. 7 at pp. 2, 4; LEDVANCE, No. 
2 at p. 5) Therefore, because industry is already conducting tests for 
the CRI of incandescent lamps and the lifetime of incandescent 
reflector lamps and using methods that are substantively similar to the 
methods in this proposal, DOE concludes that there are no costs 
incurred due to these proposed test methods.
    DOE is proposing to change the minimum sample size to 10 lamps 
instead of 21 lamps. Because current certifications already must be 
based on a sample size of more than 10 units, products currently 
certified to DOE would not have to be retested as a result of this 
change. However, manufacturers would be able to use the new sampling 
requirements, if made final, when new products are introduced and 
certified to DOE. Based on a review of submission dates for GSFL, IRL, 
and GSIL basic models in DOE's CCMS database, DOE determined the number 
of new model certifications for 2016-2018, the past three full years of 
certification. An average of 196 GSFL, 30 IRL, and 84 GSIL new models 
were certified over these years. The cost to test efficacy, CCT, and 
CRI at a third party laboratory is $90 per unit for a GSFL and $75 per 
unit for an IRL or GSIL. Based on feedback from laboratories, a 
reduction in sample size would not change costs for lifetime testing 
for GSILs. Thus, DOE estimates the annual savings for GSFLs due to 
reduced sample size requirements to be $193,710, for IRLs $24,475 and 
for GSILs $69,025.
    DOE did not include any administrative cost savings associated with 
the removal of the requirement that the sample include a minimum of 
three lamps from each month of production for a minimum of 7 out of the 
12-month period. DOE requests comments from stakeholders on the 
magnitude of savings from such a change, if any.
    DOE has also proposed to allow manufacturers to make voluntary 
representations of certain GSFLs. DOE proposes that manufacturers can 
voluntarily make representations at the high frequency settings 
specified in the 2016 versions of ANSI C78.81 and ANSI C78.901 in 
accordance with test procedures specified in Appendix R and sampling 
requirements in 10 CFR 429.27. These values would not be used for 
compliance but rather would be in addition to values obtained for 
compliance and used for determining if and how standards for GSFLs 
should be amended to accommodate testing at high frequency settings. 
While this proposed test method is voluntary and would only be used for 
representations of efficacy at high frequency reference ballast 
settings, it is unclear how many manufacturers would use it to make 
representations. DOE requests comments, data, and information regarding 
what percent of industry may choose to make representations at these 
conditions.
    DOE has initially determined that the proposed amendments discussed 
above would not require changes to the designs of GSFLs, IRLs, or 
GSILs, and that the proposed amendments would not impact the utility of 
such products or impact the availability of GSFL, IRL, or GSIL 
products. DOE expects that the proposed amendments would not impact the 
representations of GSFL, IRL, or GSIL energy efficiency. DOE expects 
that manufacturers would be able to rely on data generated under the 
current test procedure should the proposed amendments be finalized. As 
such, DOE does not expect retesting of GSFLs, IRLs, or GSILs would be 
required solely as a result of DOE's adoption of the proposed 
amendments to the test procedure.
    DOE requests comment on its understanding of the estimated cost 
impact and its finding that manufacturers would experience cost savings 
associated with these proposed amendments.
2. Harmonization With Industry Test Standards
    DOE's established practice is to adopt relevant industry standards 
as DOE test procedures unless such methodology would be unduly 
burdensome to conduct or would not produce test results that reflect 
the energy efficiency, energy use, water use (as specified in EPCA) or 
estimated operating costs of that product during a representative 
average use cycle or period of use. Section 8(c) of appendix A of 10 
CFR part 430 subpart C; see also 42 U.S.C. 6293(b)(3). In cases where 
the industry standard does not meet EPCA statutory criteria for test 
procedures, DOE will make modifications through the rulemaking process 
to these standards as the DOE test procedure.
    DOE is proposing to update to the latest versions of several 
industry test standards referenced in Appendix R. For the electrical 
and photometric measurements of GSFLs DOE is proposing to incorporate 
by reference IES LM-9-2020, ANSI C78.375A-2014 (R2020), ANSI C82.3-
2016, ANSI C78.81-2016 (voluntary representations only) and ANSI 
C78.901-2016 (voluntary representations only). For the electrical and 
photometric measurements of IRLs, DOE is proposing to incorporate by 
reference IES LM-20-2020. For electrical and photometric measurements 
of GSILs, DOE is proposing to incorporate IES LM-45-2020 and for 
lifetime measurements of GSILs, IES LM-49-2020. For spectroradiometric 
measurements of GSFLs, IRLs, and GSILs, DOE is proposing to incorporate 
IES LM-58-2020. For CCT measurements for GSFLs, IRLs, and GSILs, DOE is 
proposing to incorporate CIE 15:2018. For seasoning instructions for 
GSFLs, IRLs, and GSILs, DOE is proposing to incorporate IES LM-54-2020. 
For integrated sphere measurements for GSILs and GSFLs, DOE is 
proposing to incorporate IES LM-78-2020. In addition to references to 
industry test standards, DOE is proposing the following general 
instructions: The DOE test procedure takes precedence when there are 
conflicting requirements between it and referenced industry test 
standards; the same lamp orientation should be maintained throughout 
testing; and defective lamps should be replaced with new units.
    The industry test standards DOE proposes to incorporate by 
reference via amendments described in this notice are discussed in 
further detail in section II.B of this NOPR. DOE has tentatively 
determined that the proposed amendments in this notice are not unduly 
burdensome to conduct. DOE requests comments on the benefits and 
burdens of the proposed updates and additions to industry test 
standards referenced in the test procedure for GSFLs, IRLs, and GSILs.

I. Compliance Date

    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 such a test procedure final 
rule in the Federal Register. (42 U.S.C. 6293(c)(2)) If DOE were to 
publish amended test procedures, EPCA provides an allowance for 
individual manufacturers

[[Page 29909]]

to petition DOE for an extension of the 180-day period if the 
manufacturer may experience undue hardship in meeting the 180-day 
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 
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., as amended by 
the Small Business Regulatory Enforcement Fairness Act of 1996) 
requires preparation of an initial regulatory flexibility analysis 
(``IRFA'') for any rule that by law must be proposed for public 
comment, unless the agency certifies that the rule, if promulgated, 
will not have a significant economic impact on a substantial number of 
small entities. A regulatory flexibility analysis examines the impact 
of the rule on small entities and considers alternative ways of 
reducing negative effects. Also, as required by Executive Order 13272, 
``Proper Consideration of Small Entities in Agency Rulemaking,'' 67 FR 
53461 (August 16, 2002), DOE published procedures and policies on 
February 19, 2003, to ensure that the potential impacts of its rules on 
small entities are properly considered during the DOE rulemaking 
process. 68 FR 7990. DOE has made its procedures and policies available 
on the Office of the General Counsel's website: https://www.energy.gov/gc/office-general-counsel.
    DOE reviewed this proposed rule to amend the test procedures for 
GSFLs, GSILs, and IRLs under the provisions of the Regulatory 
Flexibility Act and the procedures and policies published on February 
19, 2003. DOE certifies that the proposed rule, if adopted, would not 
have a significant impact on a substantial number of small entities. 
The factual basis for this certification is set forth 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. The size standards and codes are established by the 2017 
North American Industry Classification System (``NAICS'').
    GSFL, GSIL, and IRL manufacturers are classified under NAICS code 
335110, electric lamp bulb and part manufacturing. The SBA sets a 
threshold of 1,250 employees or fewer for an entity to be considered as 
a small business for this NAICS code. DOE conducted a focused inquiry 
into small business manufacturers of products covered by this 
rulemaking. DOE used DOE's Compliance Certification Database to 
identify basic models of GSFLs, IRLs, and GSILs. DOE then used other 
publicly available data sources, such as California Energy Commission's 
Modernized Appliance Efficiency Database System and company specific 
product literature, to create a list of companies that import or 
otherwise manufacture the GSFL, IRL, and GSIL models covered by this 
rulemaking. Using these sources, DOE identified a total of 20 distinct 
companies that import or manufacture GSFLs, IRLs, or GSILs in the 
United States.
    DOE then reviewed these companies to determine whether the entities 
met the SBA's definition of a ``small business'' as it relates to NAICS 
code 335110 and screened out any companies that do not offer products 
covered by this rulemaking, do not meet the definition of a ``small 
business,'' or are foreign owned and operated. DOE did not identify any 
small businesses that manufacture GSFLs, IRLs, or GSILs in the United 
States.
    Because DOE identified no small businesses that manufacture GSFLs, 
IRLs, or GSILs in the United States, DOE tentatively concludes that the 
impacts of the test procedure amendments proposed in this NOPR would 
not have a ``significant economic impact on a substantial number of 
small entities,'' and that the preparation of an IRFA is not warranted. 
DOE will transmit the certification and supporting statement of factual 
basis to the Chief Counsel for Advocacy of the Small Business 
Administration for review under 5 U.S.C. 605(b).
    DOE requests comments on its tentative determination that there are 
no small businesses that manufacture GSFLs, IRLs, and GSILs in the 
United States.

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of GSFLs, IRLs, and GSILs 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 
GSFLs, IRLs, and GSILs. (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 shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    DOE is analyzing this proposed regulation in accordance with the 
National Environmental Policy Act of 1969 (``NEPA'') and DOE's NEPA 
implementing regulations (10 CFR part 1021). DOE's regulations include 
a categorical exclusion for rulemakings interpreting or amending an 
existing rule or regulation that does not change the environmental 
effect of the rule or regulation being amended. 10 CFR part 1021, 
subpart D, Appendix A5. DOE anticipates that this rulemaking qualifies 
for categorical exclusion A5 because it is an interpretive rulemaking 
that does not change the environmental effect of the rule and otherwise 
meets the requirements for application of a categorical exclusion. See 
10 CFR 1021.410. DOE will complete its NEPA review before issuing the 
final rule.

E. Review Under Executive Order 13132

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

[[Page 29910]]

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

F. Review Under Executive Order 12988

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

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'') 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a proposed regulatory action likely to result in a rule that may 
cause the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820; also available 
at https://energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf. 
DOE examined this proposed rule according to UMRA and its statement of 
policy and determined that the rule contains neither an 
intergovernmental mandate, nor a mandate that may result in the 
expenditure of $100 million or more in any year, so these requirements 
do not apply.

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

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

I. Review Under Executive Order 12630

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

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

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). Pursuant 
to OMB Memorandum M-19-15, Improving Implementation of the Information 
Quality Act (April 24, 2019), DOE published updated guidelines which 
are available at https://www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has 
reviewed this proposed rule under the OMB and DOE guidelines and has 
concluded that it is consistent with applicable policies in those 
guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated or is expected to lead to promulgation of a 
final rule, and that (1) is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the

[[Page 29911]]

action and their expected benefits on energy supply, distribution, and 
use.
    The proposed regulatory action to amend the test procedure for 
measuring the energy efficiency of GSFLs, IRLs, and GSILs is not a 
significant regulatory action under Executive Order 12866. Moreover, it 
would not have a significant adverse effect on the supply, 
distribution, or use of energy, nor has it been designated as a 
significant energy action by the Administrator of OIRA. Therefore, it 
is not a significant energy action, and, accordingly, DOE has not 
prepared a Statement of Energy Effects.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the FTC concerning the impact of the 
commercial or industry test standards on competition.
    The modifications to the test procedure for GSFLs, IRLs, and GSILs 
proposed in this document incorporate the following industry standards:
    (1) ANSI Standard C78.21, ``American National Standard for Electric 
Lamps--PAR and R Shapes,'' 2011 (R2016);
    (2) ANSI Standard C78.79, ``American National Standard for Electric 
Lamps--Nomenclature for Envelope Shapes Intended for Use with Electric 
Lamps,'' 2014 (R2020);
    (3) ANSI C78.375A, ``American National Standard for Electric 
Lamps--Fluorescent Lamps--Guide for Electrical Measures,'' 2014 
(R2020);
    (4) ANSI Standard C78.81, ``American National Standard for Electric 
Lamps--Double-Capped Fluorescent Lamps--Dimensional and Electrical 
Characteristics,'' 2016;
    (5) ANSI Standard C78.901, ``American National Standard for 
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and 
Electrical Characteristics,'' 2016;
    (6) ANSI_ANSLG C81.61, ``American National Standard for electrical 
lamp bases--Specifications for Bases (Caps) for Electric Lamps,'' 2006;
    (7) ANSI C82.3, ``American National Standard for Lamp Ballasts--
Reference Ballasts for Fluorescent Lamps,'' 2016;
    (8) IES Test Method LM-9, ``ANSI/IES LM-9-2020--Approved Method: 
Electrical and Photometric Measurements of Fluorescent Lamps,'' 2020;
    (9) IES LM-20, ``ANSI/IES LM-20-20 Approved Method: Photometry of 
Reflector Type Lamps,'' 2020;
    (10) IES LM-45, ``ANSI/IES LM-45-20 Approved Method: Electrical and 
Photometric Measurement of General Service Incandescent Filament 
Lamps,'' 2020;
    (11) IES LM-49, ``ANSI/IES LM-49-20 Approved Method: Life Testing 
of Incandescent Filament Lamps,'' 2020;
    (12) IES Test Method LM-54, ``ANSI/IES LM-54-20 Approved Method: 
IES Guide to Lamp Seasoning,'' 2020;
    (13) IES LM-58, ``ANSI/IES LM-58-20 Approved Method: 
Spectroradiometric Measurements Methods for Lighting Sources,'' 2020;
    (14) IESNA LM-78, ``ANSI/IES LM-78-20 Approved Method: Total 
Luminous Flux Measurement of Lamps Using an Integrating Sphere 
Photometer,'' 2020; and
    (15) CIE 15:2018, ``Colorimetry, 4th Edition,'' 2018.
    DOE has evaluated these standards and is unable to conclude whether 
they fully comply with the requirements of section 32(b) of the FEAA 
(i.e., whether they were developed in a manner that fully provides for 
public participation, comment, and review). DOE will consult with both 
the Attorney General and the Chairman of the FTC concerning the impact 
of these test procedures on competition, prior to prescribing a final 
rule.

M. Description of Materials Incorporated by Reference

    In this NOPR, DOE proposes to incorporate by reference the test 
standard published by ANSI, titled ``ANSI C78.21-2011 (R2016) Revision 
of ANSI C78.21-2011, American National Standard for Incandescent 
Lamps--PAR and R Shapes,'' ANSI Standard ANSI C78.21-2011 (R2016). ANSI 
C78.21-2011 (R2016) is an industry accepted test standard that provides 
physical and electrical characteristics of the group of incandescent 
lamps that have PAR and R bulb shapes. The test procedure proposed in 
this NOPR references sections of ANSI C78.21-2011 (R2016) for 
definitions of incandescent reflector lamps. ANSI C78.21-2011 (R2016) 
is readily available on ANSI's website at https://webstore.ansi.org/.
    In this NOPR, DOE proposes to incorporate by reference the test 
standard published by ANSI, titled ``ANSI C78.79-2014 (R2020) Revision 
of ANSI C78.79-2014, American National Standard for Electric Lamps--
Nomenclature for Envelope Shapes Intended for Use with Electric 
Lamps,'' ANSI Standard ANSI C78.79-2014 (R2020). ANSI C78.79-2014 
(R2020) is an industry accepted test standard that describes a system 
of nomenclature that provides designations for envelope shapes used for 
all electric lamps. The test procedure proposed in this NOPR references 
sections of ANSI C78.79-2014 (R2020) for definitions of incandescent 
reflector lamps. ANSI C78.79-2014 (R2020) is readily available on 
ANSI's website at https://webstore.ansi.org/.
    In this NOPR, DOE proposes to incorporate by reference the test 
standard published by ANSI, titled ``ANSI_ANSLG C81.61-2006, Revision 
of ANSI C81.61-2005, American National Standard for electric lamp 
bases--Specifications for Bases (Caps) for Electric Lamps,'' ANSI 
Standard C81.61-2006. ANSI C81.61-2006 is an industry accepted standard 
that sets forth the specification for bases (caps) used on electric 
lamps. The standard is currently used to specify GSILs with certain 
bases that are not subject to standards in 10 CFR 430.32. In this NOPR 
ANSI C81.61-2006 is being approved for use in 10 CFR 430.32. ANSI 
C81.61-2006 is readily available on ANSI's website at https://webstore.ansi.org/.
    In this NOPR, DOE proposes to incorporate by reference the test 
standard published by ANSI, titled ``ANSI C78.375A-2014 (R2020) 
Revision of ANSI C78.375-2014, American National Standard for Electric 
Lamps-Fluorescent Lamps-Guide for Electrical Measures,'' ANSI Standard 
C78.375A-2014 (R2020). ANSI C78.375A-2014 (R2020) is an industry 
accepted test standard that describes procedures for measuring the 
electrical characteristics of fluorescent lamps. The test procedure 
proposed in this NOPR references sections of ANSI C78.375A-2014 (R2020) 
for voltage and current conditions when testing performance of 
fluorescent lamps. ANSI C78.375A-2014 (R2020) is readily available on 
ANSI's website at https://webstore.ansi.org/.
    In this NOPR, DOE proposes to incorporate by reference the test 
standard published by ANSI, titled ``American National Standard for 
Lamp Ballasts--Reference Ballasts for Fluorescent Lamps,'' ANSI 
Standard C82.3-2016. ANSI C82.3 is an industry accepted standard that 
describes characteristics and requirements of

[[Page 29912]]

fluorescent lamp reference ballasts. The test procedure proposed in 
this NOPR references ANSI C82.3 for setting up the reference circuit 
when testing the performance of fluorescent lamps. ANSI C82.3 is 
readily available on ANSI's website at https://webstore.ansi.org/.
    In this NOPR, DOE proposes to incorporate by reference the test 
standard published by ANSI, titled ``American National Standard for 
Electric Lamps--Double-Capped Fluorescent Lamps--Dimensional and 
Electrical Characteristics,'' ANSI Standard C78.81-2016. ANSI C78.81 is 
an industry accepted standard that provides electrical characteristics 
for double base fluorescent lamps and reference ballasts. The test 
procedure proposed in this NOPR references ANSI C78.81 for reference 
ballast settings to test the performance of fluorescent lamps using 
high frequency reference ballast settings for making voluntary 
representations to DOE. ANSI C78.81 is readily available on ANSI's 
website at https://webstore.ansi.org/.
    In this NOPR, DOE proposes to incorporate by reference the test 
standard published by ANSI, titled ``American National Standard for 
Electric Lamps--Single-Based Fluorescent Lamps--Dimensional and 
Electrical Characteristics,'' ANSI Standard C78.901-2016. ANSI C78.901 
is an industry accepted standard that provides electrical 
characteristics for single base fluorescent lamps and reference 
ballasts. The test procedure proposed in this NOPR references ANSI 
C78.901 for reference ballast settings to test the performance of 
fluorescent lamps using high frequency reference ballast settings for 
making voluntary representations to DOE. ANSI C78.901 is readily 
available on ANSI's website at https://webstore.ansi.org/.
    In this NOPR, DOE proposes to incorporate by reference the test 
method published by IES, titled ``ANSI/IES LM-9-2020--Approved Method: 
Electrical and Photometric Measurements of Fluorescent Lamps,'' IES 
Test Method LM-9. IES LM-9 is an industry accepted standard that 
describes methods for taking electrical and photometric measurements of 
fluorescent lamps. The test procedure proposed in this NOPR references 
IES LM-9 for testing the performance of general service fluorescent 
lamps. IES LM-9 is readily available on IES's website at https://www.ies.org/store.
    In this NOPR, DOE proposes to incorporate by reference the test 
method published by IES, titled ``ANSI/IES LM-20-20 Approved Method: 
Photometry of Reflector Type Lamps,'' IES Test Method LM-20. IES LM-20 
is an industry accepted standard that describes methods for taking 
electrical and photometric measurements of reflector lamps. The test 
procedure proposed in this NOPR references IES LM-20 for testing the 
performance of incandescent reflector lamps. IES LM-20 is readily 
available on IES's website at https://www.ies.org/store.
    In this NOPR, DOE proposes to incorporate by reference the test 
method published by IES, titled ``Approved Method: Electrical and 
Photometric Measurement of General Service Incandescent Filament 
Lamps,'' IES Test Method LM-45-2020. IES LM-45 is an industry accepted 
standard that describes methods for taking electrical and photometric 
measurements of general service incandescent filament lamps. The test 
procedure proposed in this NOPR references IES LM-45 for testing the 
performance of incandescent lamps. IES LM-45 is readily available on 
IES's website at https://www.ies.org/store.
    In this NOPR, DOE proposes to incorporate by reference the test 
method published by IES, titled ``ANSI/IES LM-49-20 Approved Method: 
Life Testing of Incandescent Filament Lamps,'' IES Test Method LM-49. 
IES LM-49 is an industry accepted standard that describes the method 
for determining the lifetime of an incandescent filament lamp. The test 
procedure proposed in this NOPR references IES LM-49 for testing the 
lifetime of incandescent lamps. IES LM-49 is readily available on IES's 
website at https://www.ies.org/store.
    In this NOPR, DOE proposes to incorporate by reference the test 
method published by IES, titled ``ANSI/IES LM-58-20 Approved Method: 
Spectroradiometric Measurements Methods for Lighting Sources,'' IES 
Test Method LM-58. IES LM-58 is an industry accepted standard that 
describes methods for taking spectroradiometric measurements for light 
sources. The test procedure proposed in this NOPR references IES LM-58 
for determining the CRI and CCT of fluorescent lamps and incandescent 
lamps and CRI of incandescent reflector lamps. IES LM-58 is readily 
available on IES's website at https://www.ies.org/store.
    In this NOPR, DOE proposes to incorporate by reference the test 
method published by IESNA, titled ``ANSI/IES LM-78-20 Approved Method: 
Total Luminous Flux Measurement of Lamps Using an Integrating Sphere 
Photometer,'' IES Test Method LM-78. IES LM-78 is an industry accepted 
test standard that specifies a method for measuring lumen output in an 
integrating sphere. The test procedure proposed in this NOPR references 
IES LM-20 for testing the performance of incandescent reflector lamps, 
which in turn references IES LM-78 for integrating sphere photometer 
calibration and measurements. IES LM-78 is readily available on IES's 
website at https://www.ies.org/store.
    In this NOPR, DOE proposes to incorporate by reference the test 
method published by IES, titled ``ANSI/IES LM-54-20 Approved Method: 
IES Guide to Lamp Seasoning,'' IES Test Method LM-54. IES LM-54 is an 
industry accepted test standard that specifies a method for seasoning 
lamps. The test procedure proposed in this NOPR references IES LM-9, 
IES LM-20, and IES LM-45 for testing the performance of respectively, 
GSFLs, IRLs, and GSILs, which in turn references IES LM-54 for 
seasoning lamps. IES LM-54 is readily available on IES's website at 
https://www.ies.org/store.
    In this NOPR, DOE proposes to incorporate by reference the test 
method published by CIE, titled ``Colorimetry, 4th edition,'' CIE 
15:2018. CIE 15:2018 is an industry accepted test standard that 
specifies methods for taking color measurements. The test procedure 
proposed in this NOPR references CIE 15:2018 for testing CCT. CIE 
15:2018 is readily available on CIE's website at https://cie.co.at/publications.
    In this NOPR, DOE included proposed revisions to the regulatory 
text of Sec.  430.32 that contained a reference to ANSI C78.3. That 
standard was previously approved for incorporation by reference; no 
changes are proposed.

V. Public Participation

A. Participation in the Webinar

    The time and date of the webinar are listed in the DATES section at 
the beginning of this document. If no participants register for the 
webinar then it will be cancelled. Webinar registration information, 
participant instructions, and information about the capabilities 
available to webinar participants will be published on DOE's website: 
https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=22. Participants are responsible for ensuring 
their systems are compatible with the webinar software.

B. Procedure for Submitting Prepared General Statements for 
Distribution

    Any person who has an interest in the topics addressed in this 
notice, or who is representative of a group or class of persons that 
has an interest in these issues, may request an opportunity to

[[Page 29913]]

make an oral presentation at the webinar. Such persons may submit to 
[email protected]. Persons who wish to speak 
should include with their request a computer file in WordPerfect, 
Microsoft Word, PDF, or text (ASCII) file format that briefly describes 
the nature of their interest in this rulemaking and the topics they 
wish to discuss. Such persons should also provide a daytime telephone 
number where they can be reached.

C. Conduct of the Webinar

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

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this proposed rule. Interested parties may submit 
comments using any of the methods described in the ADDRESSES section at 
the beginning of this proposed rule.
    Submitting comments via https://www.regulations.gov. The https://www.regulations.gov web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to https://www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (``CBI'')). Comments submitted 
through https://www.regulations.gov cannot be claimed as CBI. Comments 
received through the website will waive any CBI claims for the 
information submitted. For information on submitting CBI, see the 
Confidential Business Information section.
    DOE processes submissions made through https://www.regulations.gov 
before posting. Normally, comments will be posted within a few days of 
being submitted. However, if large volumes of comments are being 
processed simultaneously, your comment may not be viewable for up to 
several weeks. Please keep the comment tracking number that https://www.regulations.gov provides after you have successfully uploaded your 
comment.
    Submitting comments via email. Comments and documents submitted via 
email also will be posted to https://www.regulations.gov. If you do not 
want your personal contact information to be publicly viewable, do not 
include it in your comment or any accompanying documents. Instead, 
provide your contact information on a cover letter. Include your first 
and last names, email address, telephone number, and optional mailing 
address. The cover letter will not be publicly viewable as long as it 
does not include any comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English and free of any defects or viruses. 
Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. According to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email two well-marked copies: One copy of the document marked 
confidential including all the information believed to be confidential, 
and one copy of the document marked non-confidential with the 
information believed to be confidential deleted. DOE will make its own 
determination about the confidential status of the information and 
treat it according to its determination.

[[Page 29914]]

    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    (1) DOE requests comments on its proposal to incorporate by 
reference the latest versions of ANSI C78.375, ANSI C82.3, IES LM-58, 
IES-LM-9, IES LM-45, IES LM-49, IES LM-20, IES LM-54, and IES LM-78, 
and CIE 15 for Appendix R. See section III.B.
    (2) DOE requests comments on its proposal to maintain the currently 
referenced 2010 versions of ANSI C78.81 and ANSI C78.901 for purposes 
of demonstrating compliance with standards. DOE also requests comments 
on its proposal to allow manufacturers to make voluntary 
representations of certain GSFLs in accordance with the 2016 versions 
of ANSI C78.81 and ANSI C78.901. See section 1.
    (3) DOE seeks comments on the usefulness of the proposed general 
clarifications regarding the frequency of operation and inclusion of 
cathode power and any associated impacts on test burden. DOE also seeks 
comments on whether the proposed changes are perceived as affecting the 
compliance of an existing product.
    (4) DOE requests comment on its proposed definitions for ``time to 
failure,'' ``initial lamp efficacy,'' ``initial lumen output,'' 
``initial input power,'' and updates to definitions of IRL lamp shapes 
and removal of definitions for ``CCT,'' ``CRI,'' ``ANSI Standard,'' 
``CIE,'' and ``IESNA.'' See section 1.
    (5) DOE requests comments on its proposed general instructions 
regarding conflicting requirements, lamp orientation, and lamp 
breakage. See section 2.
    (6) DOE requests comments on its proposed section references in IES 
LM-9, IES LM-20, and IES LM-45 for establishing ambient, physical, and 
electrical conditions; and seasoning and stabilization. See section 
III.C.a.
    (7) DOE requests comments on its proposed industry test standard 
references for measuring CCT and CRI. See section III.C.b.
    (8) DOE requests comments on its proposed section references in IES 
LM-49 for establishing ambient, physical, and electrical conditions and 
measuring time to failure; and its proposed section references in IES 
LM-45 for seasoning and stabilization. See section 4.
    (9) DOE requests comments on its proposed rounding requirements for 
initial input power, initial lumen output, CRI, CCT, and lifetime. See 
section 4.
    (10) DOE requests comment on its tentative determination that its 
proposed updates for GSFLs, IRLs, and GSILs will not increase test 
burden because determining these values to ascertain compliance with 
applicable DOE standards or FTC labeling requirements is already 
required by regulation and/or statute.
    (11) DOE requests comments on its proposed changes in 10 CFR 430.32 
to align terminology with test procedures for GSFLs, IRLs, and GSILs. 
See section III.D
    (12) DOE seeks comment on its proposal to base the 95 percent upper 
confidence limit determination for input power on the one-tail rather 
than the two-tail confidence interval. See section III.D
    (13) DOE requests comments on replacing ``rated lumen output'' and 
``rated lifetime'' with respectively, ``initial lumen output'' and 
``lifetime.'' See section III.D.
    (14) DOE requests comments on its proposed modifications to 
definitions for ``lifetime'' and ``rated wattage.'' See section III.D.
    (15) DOE requests comments on its proposal to reduce the minimum 
sample size from 21 to 10 and remove the requirement that a minimum of 
three lamps be selected from each month of production for a minimum of 
7 months out of a 12-month period. See section III.D
    (16) DOE requests comments on its proposal to remove initial 
certification report submissions for GSFLs and IRLs. See section II.D.
    (17) DOE requests comments from stakeholders on the magnitude of 
cost savings, if any, from removing the requirement that the sample 
include a minimum of three lamps from each month of production for a 
minimum of 7 out of the 12-month period. See section III.H.
    (18) DOE requests comments, data, and information regarding what 
percent of industry may choose to make representations using high 
frequency ballast settings. See section III.H.
    (19) DOE requests comment on its understanding of the estimated 
impact and its finding that manufacturers would experience cost savings 
associated with these proposed amendments. See section III.H.
    (20) DOE requests comments on its tentative determination that 
there are no small businesses that manufacture GSFLs, IRLs, and GSILs 
in the United States. See section IV.B.

VI. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Incorporation 
by reference, 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.

Signing Authority

    This document of the Department of Energy was signed on May 5, 
2021, by Kelly Speakes-Backman, Principal Deputy Assistant Secretary 
and Acting Assistant Secretary for Energy Efficiency and Renewable 
Energy, pursuant to delegated authority from the Secretary of Energy. 
That document with the original signature and date is maintained by 
DOE. For administrative purposes only, and in compliance with 
requirements of the Office of the Federal Register, the undersigned DOE 
Federal Register Liaison Officer has been authorized to sign and submit 
the document in electronic format for publication, as an official 
document of the Department of Energy. This administrative process in no 
way alters the legal effect of this document upon publication in the 
Federal Register.

    Signed in Washington, DC, on May 7, 2021
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 430 of Chapter II of Title 10, Code of Federal 
Regulations as set forth below:

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

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


[[Page 29915]]


    Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.


Sec.  429.11  [Amended]

0
2. Amend Sec.  429.11 by:
0
a. Removing, ``429.62'' and adding in its place ``429.66'' in paragraph 
(a); and
0
b. Removing, ``429.65'' and adding in its place ``429.66'' in paragraph 
(b)(1).


Sec.  429.12  [Amended]

0
3. Amend Sec.  429.12 by:
0
a. Removing paragraph (e)(2); and
0
b. Redesignating paragraph (e)(3) as (e)(2).
0
4. Revise Sec.  429.27 to read as follows:


Sec.  429.27  General service incandescent lamps.

    (a) Determination of Represented Value. Manufacturers must 
determine represented values, which include certified ratings, for each 
basic model by testing in accordance with the following sampling 
provisions.
    (1) Units to be tested. (i) When testing, use a sample comprised of 
production units. The same sample of units must be tested and used as 
the basis for representations for initial lumen output, rated wattage, 
color rendering index (CRI), correlated color temperature (CCT), and 
lifetime.
    (ii) For each basic model, randomly select and test a sample of 
sufficient size, but not less than 10 units, to ensure that--
    (A) Represented values of initial lumen output and CRI are less 
than or equal to the lower of:
    (1) The arithmetic mean of the sample:
    Or,
    (2) The lower 95 percent confidence limit (LCL) of the true mean 
divided by .97, where:
[GRAPHIC] [TIFF OMITTED] TP03JN21.000

    (B) Represented values of rated wattage are greater than or equal 
to the higher of:
    (1) The arithmetic mean of the sample:
    Or,
    (2) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.03, where:
[GRAPHIC] [TIFF OMITTED] TP03JN21.001


and x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.95 is the t statistic for a 
95% one-tailed confidence interval with n-1 degrees of freedom (from 
Appendix A to this subpart).

    (2) Any represented values of measures of energy efficiency or 
energy consumption for all individual models represented by a given 
basic model must be the same.
    (3) Represented values of CCT must be equal to the arithmetic mean 
of the sample.
    (4) Represented values 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 (or the 
value of the middle sample unit if there are an odd number of units) 
when the measured values are sorted in value order).
    (5) Calculate represented values of life (in years) by dividing the 
represented lifetime of these lamps as determined in paragraph (a)(4) 
of this section by the estimated annual operating hours as specified in 
16 CFR 305.23(b)(3)(iii).
    (6) Represented values of the estimated annual energy cost, 
expressed in dollars per year, must be the product of the rated wattage 
in kilowatts, an electricity cost rate as specified in 16 CFR 
305.23(b)(1)(ii), and an estimated average annual use as specified in 
16 CFR 305.23(b)(1)(ii).
    (b) Certification reports. (1) The requirements of Sec.  429.12 
apply to general service incandescent lamps; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report shall 
include the following public product-specific information: The testing 
laboratory's ILAC accreditation body's identification number or other 
approved identification assigned by the ILAC accreditation body, rated 
wattage in watts (W), the lifetime in hours, and CRI.
    (c) Rounding Requirements.
    (1) Round rated wattage to the nearest tenth of a watt.
    (2) Round initial lumen output to three significant digits.
    (3) Round CCT to the nearest 100 kelvin (K).
    (4) Round CRI to the nearest whole number.
    (5) Round lifetime to the nearest whole hour.
    (6) Round life (in years) to the nearest tenth.
    (7) Round annual energy cost to the nearest cent.


Sec.  429.33  [Amended]

0
5. Amend Sec.  429.33 by:
0
a. Removing paragraph (a)(2); and
0
b. Redesignating paragraph (a)(3) as (a)(2).
0
c. Removing ``Sec.  429.27'' in newly redesignated paragraph 
(a)(2)(i)(B), and adding ``Sec.  429.66'' in its place; and
0
d. Removing ``Sec.  429.27'' in newly redesignated paragraph 
(a)(2)(i)(C), and adding ``Sec.  429.27, Sec.  429.38, or Sec.  429.40, 
as applicable,'' in its place.
0
6. Add Sec.  429.38 to read as follows:


Sec.  429.38  Incandescent reflector lamps.

    (a) Determination of Represented Value. Manufacturers must 
determine represented values, which include the certified ratings, for 
each basic model, in accordance with the following sampling provisions.
    (1) Units to be tested. (i) When testing, use a sample comprised of 
production units. The same sample of units must be tested and used as 
the basis for representations for initial lumen output, rated wattage, 
lamp efficacy, color rendering index (CRI), lifetime, and correlated 
color temperature (CCT).
    (ii) For each basic model, randomly select and test a sample of 
sufficient size, but not less than 10 units, to ensure that represented 
values of average lamp efficacy, CRI, and initial lumen output are less 
than or equal to the lower of:
    (A) The arithmetic mean of the sample;
    Or,
    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by .97, where:

[[Page 29916]]

[GRAPHIC] [TIFF OMITTED] TP03JN21.002

    (2) Any represented values of measures of energy efficiency or 
energy consumption for all individual models represented by a given 
basic model must be the same.
    (3) Represented values of CCT and rated wattage must be equal to 
the arithmetic mean of the sample.
    (4) Represented values 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 (or the 
value of the middle sample unit if there are an odd number of units) 
when the measured values are sorted in value order).
    (5) Calculate represented values of life (in years) by dividing the 
represented lifetime of these lamps as determined in paragraph (a)(4) 
of this section by the estimated annual operating hours as specified in 
16 CFR 305.23(b)(3)(iii).
    (6) Represented values of the estimated annual energy cost, 
expressed in dollars per year, must be the product of the rated wattage 
in kilowatts, an electricity cost rate as specified in 16 CFR 
305.23(b)(1)(ii), and an estimated average annual use as specified in 
16 CFR 305.23(b)(1)(ii).
    (b) Certification reports. (1) The requirements of Sec.  429.12 
apply to incandescent reflector lamps; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report shall 
include the following public product-specific information: The testing 
laboratory's ILAC accreditation body's identification number or other 
approved identification assigned by the ILAC accreditation body, 
average lamp efficacy in lumens per watt (lm/W), and rated wattage in 
watts (W).
    (c) Rounding Requirements.
    (1) Round rated wattage to the nearest tenth of a watt.
    (2) Round initial lumen output to three significant digits.
    (3) Round average lamp efficacy to the nearest tenth of a lumen per 
watt.
    (4) Round CCT to the nearest 100 kelvin (K).
    (5) Round CRI to the nearest whole number.
    (6) Round lifetime to the nearest whole hour.
    (7) Round life (in years) to the nearest tenth.
    (8) Round annual energy cost to the nearest cent.
0
7. Add Sec.  429.66 to read as follows:


Sec.  429.66  General service fluorescent lamps.

    (a) Determination of Represented Value. Manufacturers must 
determine represented values, which include certified ratings, for each 
basic model by testing, in accordance with the following sampling 
provisions.
    (1) Units to be tested. (i) When testing, use a sample comprised of 
production units. The same sample of units must be tested and used as 
the basis for representations for rated wattage, average lamp efficacy, 
color rendering index (CRI), and correlated color temperature (CCT).
    (ii) For each basic model, randomly select and test a sample of 
sufficient size, but not less than 10 units, to ensure that represented 
values of average lamp efficacy are less than or equal to the lower of:
    (A) The arithmetic mean of the sample:
    Or,
    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by .97, where:
[GRAPHIC] [TIFF OMITTED] TP03JN21.003

    (2) Any represented values of measures of energy efficiency or 
energy consumption for all individual models represented by a given 
basic model must be the same.
    (3) Represented values of CCT, CRI and rated wattage must be equal 
to the arithmetic mean of the sample.
    (b) Certification reports. (1) The requirements of Sec.  429.12 
apply to general service fluorescent lamps; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report shall 
include the following public product-specific information: The testing 
laboratory's ILAC accreditation body's identification number or other 
approved identification assigned by the ILAC accreditation body, 
average lamp efficacy in lumens per watt (lm/W), rated wattage in watts 
(W), CCT in Kelvin (K), and CRI.
    (c) Rounding Requirements.
    (1) Round rated wattage to the nearest tenth of a watt.
    (2) Round average lamp efficacy to the nearest tenth of a lumen per 
watt.
    (3) Round CCT to the nearest 100 kelvin (K).
    (4) Round CRI to the nearest whole number.


Sec.  429.102  [Amended]

0
8. Amend Sec.  429.102 by removing ``429.62'' and adding in its place 
``429.66'' in paragraph (a)(1).

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
9. 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
10. Amend Sec.  430.2 by:
0
a. Revising the definition of ``Basic model'' introductory paragraph 
(1);

[[Page 29917]]

0
b. Revising the definitions of ``BPAR incandescent reflector lamp,'' 
``BR incandescent reflector lamp,'' ``ER incandescent reflector lamp,'' 
and ``R20 incandescent reflector lamp'';
0
c. Adding in alphabetical order the definitions of ``Lifetime,'' ``PAR 
incandescent reflector lamp,'' and ``R incandescent reflector lamp;''
0
d. Removing the definition of ``Rated lifetime for general service 
incandescent lamps''; and
0
e. Revising the definition of ``Rated wattage'', paragraphs (1)(iii) 
and (2), and adding paragraph (3).
    The additions and revisions read as follows:


Sec.  430.2  Definitions.

* * * * *
    Basic model * * *
    (1) With respect to general service fluorescent lamps, general 
service incandescent lamps, and incandescent reflector lamps: Lamps 
that have essentially identical light output and electrical 
characteristics--including lamp efficacy and color rendering index 
(CRI).
* * * * *
    BPAR incandescent reflector lamp means a reflector lamp as shown in 
figure C78.21-278 on page 28 of ANSI C78.21-2011 (R2016) (incorporated 
by reference; see Sec.  430.3).
    BR incandescent reflector lamp means a reflector lamp that has a 
bulged section below the bulb's major diameter and above its 
approximate base line as shown in Figure 1 (RB) on page 6 of ANSI 
C78.79-2014 (R2020). A BR30 lamp has a lamp wattage of 85 or less than 
66 and a BR40 lamp has a lamp wattage of 120 or less.
* * * * *
    ER incandescent reflector lamp means a reflector lamp that has an 
elliptical section below the major diameter of the bulb and above the 
approximate baseline of the bulb, as shown in Figure 1 (RE) on page 6 
of ANSI C78.79-2014 (R2020) (incorporated by reference; see Sec.  
430.3) and product space drawings shown in ANSI C78.21-2011 (R2016) 
(incorporated by reference; see Sec.  430.3).
* * * * *
    Lifetime with respect to an incandescent lamp means the length of 
operating time between first use and failure of 50 percent of the 
sample units (as specified in 10 CFR 429.27 and 429.38 of this 
chapter), determined in accordance with the test procedures described 
in appendix R to subpart B of this part.
* * * * *
    PAR incandescent reflector lamp means a reflector lamp formed by 
the sealing together during the lamp-making process of a pressed glass 
parabolic section and a pressed lens section as shown in Figure 1 (PAR) 
on page 5 of ANSI C78.79-2014 (R2020), (incorporated by reference; see 
Sec.  430.3). The pressed lens section may be either plain or 
configured.
* * * * *
    R incandescent reflector lamp means a reflector lamp that includes 
a parabolic or elliptical section below the major diameter as shown in 
Figure 1 (R) on page 5 of ANSI C78.79-2014 (R2020).
    R20 incandescent reflector lamp means an R incandescent reflector 
lamp that has a face diameter of approximately 2.5 inches, as shown in 
Figure C78.21-254 on page 16 of ANSI C78.21-2011 (R2016) (incorporated 
by reference; see Sec.  430.3).
* * * * *
    Rated wattage means:
    (1) * * *
    (iii) If the lamp is neither listed in one of the ANSI standards 
referenced in paragraph (1)(i) of this definition, nor a residential 
straight-shaped lamp, a represented value of electrical power for a 
basic model, determined according to 10 CFR 429.66 of this chapter, and 
derived from the measured initial input power of a lamp tested 
according to appendix R to subpart B of this part.
    (2) With respect to general service incandescent lamps, a 
represented value of electrical power for a basic model, determined 
according to 10 CFR 429.27 of this chapter, and derived from the 
measured initial input power of a lamp tested according to appendix R 
to subpart B of this part.
    (3) With respect to incandescent reflector lamps, a represented 
value of electrical power for a basic model, determined according to 10 
CFR 429.38 of this chapter, and derived from the measured initial input 
power of a lamp tested according to appendix R to subpart B of this 
part.
* * * * *
0
11. Amend Sec.  430.3 by:
0
a. Revising paragraphs (e)(3) and (4), and (7);
0
b. Removing the words ``IBR approved for Sec.  430.2'', and adding in 
their place ``IBR approved for Sec.  430.2 and Sec.  430.32'' in 
paragraph (e)(14);
0
c. Removing paragraph (e)(17) and redesignating paragraphs (e)(18) 
through (e)(26) as follows:

------------------------------------------------------------------------
               Old paragraph                        New paragraph
------------------------------------------------------------------------
(e)(18)...................................  (e)(17).
(e)(19)...................................  (e)(18).
(e)(20)...................................  (e)(19).
(e)(21)...................................  (e)(20).
(e)(22)...................................  (e)(21).
(e)(23)...................................  (e)(22).
(e)(24)...................................  (e)(23).
(e)(25)...................................  (e)(24).
(e)(26)...................................  (e)(25).
------------------------------------------------------------------------

0
d. Removing the words ``appendix Q'', and adding in their place 
``appendices Q and R'' in paragraphs (e)(6), (e)(11) and newly 
redesignated (e)(17);
0
e. Revising Note 1 to Paragraph (e);
0
f. Removing the words ``appendices R and W'', and adding in their place 
``appendix W'' in paragraph (l)(2);
0
g. Adding new paragraph (l)(3);
0
h. Removing the words ``appendices R, V, and V1'' and adding in their 
place ``appendices V and V1'' in paragraph (p)(2);
0
i. Redesignating paragraphs (p)(4) through (20) as follows;

------------------------------------------------------------------------
               Old paragraph                        New paragraph
------------------------------------------------------------------------
(p)(4)....................................  (p)(5).
(p)(5)....................................  (p)(7).
(p)(7)....................................  (p)(9).
(p)(9)....................................  (p)(10).
(p)(10)...................................  (p)(11).
(p)(11) through (15)......................  (p)(13) through (17).
(p)(16) through (20)......................  (p)(19 through (23)).
------------------------------------------------------------------------

0
j. Adding new paragraph (p)(4);
0
k. Revising newly redesignated paragraphs (p)(7), (9), (10);
0
l. Adding new paragraph (p)(12);
0
m. Revising newly redesignated paragraph (p)(13); and
0
n. Adding new paragraph (p)(18).
    The revisions and additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (e) * * *
    (3) ANSI C78.21-2011 (R2016), (``ANSI C78.21-2011 (R2016)''), 
American National Standard for Electric Lamps--PAR and R Shapes, 
approved August 23, 2016; IBR approved for Sec.  430.2 to subpart B.
    (4) ANSI C78.79-2014 (R2020), (``ANSI C78.79-2014 (R2020)''), 
American National Standard for Electric Lamps--Nomenclature for 
Envelope Shapes Intended for Use with Electric Lamps, approved January 
17, 2020; IBR approved for Sec.  430.2.
* * * * *
    (7) ANSI C78.375A-2014 (R2020) Revision of ANSI C78.375-2014, 
(``ANSI C78.375A'') American National Standard for Electric Lamps-
Fluorescent Lamps-Guide for Electrical Measures, approved January 17, 
2020; IBR approved for appendix R to subpart B.
* * * * *

    Note 1 to paragraph (e): The standards referenced in paragraphs 
(e)(6), (8), (11), (15),

[[Page 29918]]

(16), (17), (18), and (20) of this section were all published by 
National Electrical Manufacturers Association (NEMA) and are also 
available from National Electrical Manufacturers Association, 1300 
North 17th Street, Suite 900, Rosslyn, Virginia 22209, https://www.nema.org/Standards/Pages/default.aspx.

* * * * *
    (l) * * *
    (3) CIE 15:2018 (``CIE 15:2018''), Technical Report: Colorimetry, 
4th edition, 2018, ISBN 978 3 902842 13 8; IBR approved for appendix R 
to subpart B.
* * * * *
    (p) * * *
    (4) IES LM-9-2020, (``IES LM-9-20''), ANSI/IES LM-9-2020--Approved 
Method: Electrical and Photometric Measurements of Fluorescent Lamps, 
approved February 7, 2020; IBR approved for appendix R to subpart B.
* * * * *
    (7) IES LM-20-2020, (``IES LM-20-20''), ANSI/IES LM-20-20 Approved 
Method: Photometry of Reflector Type Lamps, approved February 7, 2020; 
IBR approved for appendix R to subpart B.
* * * * *
    (9) IES LM-45-2020, (``IES LM-45-20''), ANSI/IES LM-45-20 Approved 
Method: Electrical and Photometric Measurement of General Service 
Incandescent Filament Lamps, approved February 7, 2020; IBR approved 
for appendix R to subpart B.
    (10) IES LM-49-2020, (``IES LM-49-20''), ANSI/IES LM-49-20 Approved 
Method: Life Testing of Incandescent Filament Lamps, approved February 
7, 2020; IBR approved for appendix R to subpart B.
* * * * *
    (12) IES LM-54-2020, (``IES LM-54-20''), ANSI/IES LM-54-20 Approved 
Method: IES Guide to Lamp Seasoning, approved February 7, 2020; IBR 
approved for appendix R to subpart B.
    (13) IES LM-58-2020, (``IES LM-58-20'') ANSI/IES LM-58-20 Approved 
Method: Spectroradiometric Measurements Methods for Lighting Sources; 
approved February 7, 2020, IBR approved for appendix R to subpart B.
* * * * *
    (18) IES LM-78-2020, (``IES LM-78-20'') ANSI/IES LM-78-20 Approved 
Method: Total Luminous Flux Measurement of Lamps Using an Integrating 
Sphere Photometer,'' approved February 7, 2020, IBR approved for 
appendix R to subpart B.
* * * * *
0
12. Revise Sec.  430.23 paragraph (r) to read as follows:


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

* * * * *
    (r) General service fluorescent lamps, general service incandescent 
lamps, and incandescent reflector lamps. Measure initial lumen output, 
initial input power, initial lamp efficacy, color rendering index 
(CRI), correlated color temperature (CCT), and time to failure of 
GSFLs, IRLs, and GSILs, as applicable, in accordance with appendix R of 
this subpart.
* * * * *
0
13. Appendix R to subpart B of part 430 is revised to read as follows:

Appendix R to Subpart B of Part 430--Uniform Test Method for Measuring 
Electrical and Photometric Characteristics of General Service 
Fluorescent Lamps, Incandescent Reflector Lamps, and General Service 
Incandescent Lamps

    Note: After [DATE 30 DAYS AFTER DATE OF PUBLICATION OF THE FINAL 
RULE IN THE FEDERAL REGISTER] and prior to [DATE 180 DAYS AFTER DATE 
OF PUBLICATION OF THE FINAL RULE IN THE FEDERAL REGISTER] any 
representations with respect to energy use or efficiency of general 
service fluorescent lamps, incandescent reflector lamps, and general 
service incandescent lamps must be in accordance with the results of 
testing pursuant to this Appendix or the test procedures as they 
appeared in Appendix R to Subpart B or Part 430 revised as of 
January 1, 2021. On or after [DATE 180 DAYS AFTER DATE OF 
PUBLICATION OF THE FINAL RULE IN THE FEDERAL REGISTER], any 
representations, including certifications of compliance for lamps 
subject to any energy conservation standard, made with respect to 
the energy use or efficiency of general service fluorescent lamps, 
incandescent reflector lamps, and general service incandescent lamps 
must be made in accordance with the results of testing pursuant to 
this appendix.
    1. Scope: This appendix specifies the test methods required for 
determining the electrical and photometric performance 
characteristics of general service fluorescent lamps (GSFLs), 
incandescent reflector lamps (IRLs), and general service 
incandescent lamps (GSILs).
    2. Definitions
    2.1 To the extent that definitions in the referenced IES and CIE 
standards do not conflict with the DOE definitions, the definitions 
specified in section 3.0 of IES LM-9-20 (incorporated by reference; 
see Sec.  430.3), section 3.0 of IES LM-20-20 (incorporated by 
reference; see Sec.  430.3), section 3.0 of IES LM-45-20 
(incorporated by reference; see Sec.  430.3), section 3.0 of IES LM-
58-20 (incorporated by reference; see Sec.  430.3), Appendix 1 of 
CIE 13.3, and CIE 15:2018 (incorporated by reference; see Sec.  
430.3) apply in this Appendix.
    2.2 Initial input power means the input power to the lamp, 
measured at the end of the lamp seasoning and stabilization.
    2.3 Initial lamp efficacy means the lamp efficacy (as defined in 
Sec.  430.2), measured at the end of the lamp seasoning and 
stabilization.
    2.4 Initial lumen output means the lumen output of the lamp, 
measured at the end of the lamp seasoning and stabilization.
    2.5 Time to failure means the time elapsed between first use and 
the point at which the lamp ceases to produce measurable lumen 
output.
    3. General Instructions
    1 When there is a conflict, the language of the test procedure 
in this appendix takes precedence over any materials incorporated by 
reference.
    3.2 Maintain lamp operating orientation throughout seasoning and 
testing, including storage and handling between tests.
    3.3 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, replace the lamp 
with a new unit. However, if a lamp exhibits one of the conditions 
listed in the previous sentence only after the seasoning period 
ends, include the lamp's measurements in the sample.3.4 Operate 
GSILs and IRLs at the rated voltage for incandescent lamps as 
defined in 10 CFR 430.2.
    4. Test Method for Determining Initial Input Power, Initial 
Lumen Output, Initial Lamp Efficacy, CRI, and CCT
    4.1 Test Conditions and Setup
    4.1.1 General Service Fluorescent Lamps
    4.1.1.1 Establish ambient, physical, and electrical conditions 
in accordance with sections (and corresponding subsections) 4.0, 
5.0, 6.1, 6.5, and 6.6 of IES LM-9-20. 4.1.1.2 Operate each lamp at 
the appropriate voltage and current conditions as described in ANSI 
C78.375A (incorporated by reference; see Sec.  430.3) and in either 
ANSI C78.81 (incorporated by reference; see Sec.  430.3) or ANSI 
C78.901 (incorporated by reference; see Sec.  430.3). Operate each 
lamp using the appropriate reference ballast at input voltage 
specified by the reference circuit as described in ANSI C82.3 
(incorporated by reference; see Sec.  430.3). If, for a lamp, both 
low-frequency and high-frequency reference ballast settings are 
included in ANSI C78.81 or ANSI C78.901, operate the lamp using the 
low-frequency reference ballast. When testing with low-frequency 
reference ballast settings, include cathode power only if the 
circuit application of the lamp is specified as rapid start in ANSI 
C78.81 or ANSI C78.901. When testing with high-frequency reference 
ballast settings, do not include cathode power in the measurement. 
For any lamp not listed in ANSI C78.81 or ANSI C78.901, operate the 
lamp using the following reference ballast settings:
    4.1.1.2.1 For 4-Foot medium bi-pin lamps, use the following 
reference ballast settings:
    (a) T10 or T12 lamps: 236 volts, 0.43 amps, and 439 ohms, at low 
frequency (60 Hz) and with cathode power. Approximate cathode 
wattage (with 3.6 V on each cathode): 2.0 W. Cathode characteristics 
for low resistance (at 3.6V): 9.6 ohms (objective), 7.0 ohms 
(minimum). Cathode heat for rapid start: 3.6 V (nominal); 2.5 V min, 
4.0 V max (limits

[[Page 29919]]

during operation); 9.6 ohms +/- 0.1 ohm (dummy load resistor); 3.4 V 
min, 4.5 V max (voltage across dummy load).
    (b) T8 lamps: 300 volts, 0.265 amps, and 910 ohms, at low 
frequency (60 Hz) and with cathode power. Approximate cathode 
wattage (with 3.6 V on each cathode): 1.7 W. Cathode characteristics 
for low resistance (at 3.6 V): 12.0 +/- 2.0 ohms; 4.75 +/- 0.50 (Rh/
Rc ratio). Cathode heat for rapid start: 3.6 V (nominal); 2.5 V min; 
4.4 V max (limits during operation); 11.0 ohms +/- 0.1 ohms (dummy 
load resistor); 3.4 V min, 4.5 V max (voltage across dummy load).
    4.1.1.2.2 For 2-Foot U-shaped lamps, use the following reference 
ballast settings:
    (a) T12 lamps: 236 volts, 0.430 amps, and 439 ohms, at low 
frequency (60 Hz) and with cathode power. Approximate cathode 
wattage (with 3.6 V on each cathode): 2.0 W. Cathode characteristics 
for low resistance (at 3.6V): 9.6 ohms (objective), 7.0 ohms 
(minimum). Cathode heat for rapid start: 3.6 V (nominal); 2.5 V min, 
4.0 V max (limits during operation); 9.6 ohms +/- 0.1 ohm (dummy 
load resistor); 3.4 V min, 4.5 V max (voltage across dummy load).
    (b) T8 lamps: 300 volts, 0.265 amps, and 910 ohms, at low 
frequency (60 Hz) and with cathode power. Approximate cathode 
wattage (with 3.6 V on each cathode): 1.7 W. Cathode characteristics 
for low resistance (at 3.6 V): 11.0 ohms (objective); 8.0 ohms 
(minimum). Cathode heat for rapid start: 3.6 V (nominal); 2.5 V min; 
4.4 V max (limits during operation); 11.0 ohms +/- 0.1 ohms (dummy 
load resistor); 3.4 V min, 4.5 V max (voltage across dummy load).
    4.1.1.2.3 For 8-foot slimline lamps, use the following reference 
ballast settings:
    (a) T12 lamps: 625 volts, 0.425 amps, and 1280 ohms, at low 
frequency (60 Hz) and without cathode power.
    (b) T8 lamps: 625 volts, 0.260 amps, and 1960 ohms, at low 
frequency (60 Hz) and without cathode power.
    4.1.1.2.4 For 8-foot high output lamps, use the following 
reference ballast settings:
    (a) T12 lamps: 400 volts, 0.800 amps, and 415 ohms, at low 
frequency (60 Hz) and with cathode power. Approximate cathode 
wattage (with 3.6 V on each cathode): 7.0 W. Cathode characteristics 
for low resistance (at 3.6 V): 3.2 ohms (objective); 2.5 ohms 
(minimum). Cathode heat requirements for rapid start: 3.6 V 
(nominal); 3.0 V min, 4.0 V max (limits during operation); 3.2 ohms 
+/- 0.05 ohm (dummy load resistor); 3.4 V min, 4.5 V max (voltage 
across dummy load).
    (b) T8 lamps: 450 volts, 0.395 amps, and 595 ohms, at high 
frequency (25 kHz) and without cathode power.
    4.1.1.2.5 For 4-foot miniature bipin standard output or high 
output lamps, use the following reference ballast settings:
    (a) Standard Output: 329 volts, 0.170 amps, and 950 ohms, at 
high frequency (25 kHz) and without cathode power.
    (b) High Output: 235 volts, 0.460 amps, and 255 ohms, at high 
frequency (25 kHz) and without cathode power in measurement.
    4.1.2 General Service Incandescent Lamps: Establish ambient, 
physical, and electrical conditions in accordance with sections (and 
corresponding subsections) 4.0, 5.0, 6.1, 6.3 and 6.4 in IES LM-45-
20.
    4.1.3 Incandescent Reflector Lamps: Establish ambient, physical, 
and electrical conditions in accordance with sections (and 
corresponding subsections) 4.0 and 5.0 in IES LM-20-20.
    4.2. Test Methods, Measurements, and Calculations
    Multiply all lumen measurements made with instruments calibrated 
to the devalued NIST lumen after January 1, 1996, by 1.011.
    4.2.1 General Service Fluorescent Lamps
    4.2.1.1 Season and stabilize lamps according to sections (and 
corresponding subsections) 6.1, 6.2, 6.3, and 6.4 of IES LM-9-20, 
including reference to IES LM-54-20.
    4.2.1.2 Measure the initial input power (in watts).
    4.2.1.3 Measure initial lumen output in accordance with section 
7.0 (and corresponding subsections) of IES LM-9-20, including 
reference to IES LM-78-20.
    4.2.1.4 Calculate initial lamp efficacy by dividing the measured 
initial lumen output by the measured initial input power.
    4.2.1.5 Calculate CRI as specified in section 7.6 of IES LM-9-20 
and CIE 13.3. Conduct the required spectroradiometric measurement 
and characterization in accordance with the methods set forth in IES 
LM-58-20.
    4.2.1.6 Calculate CCT as specified in section 7.6 of IES LM-9-20 
and CIE 15:2018 (incorporated by reference; see Sec.  430.3). 
Conduct the required spectroradiometric measurement and 
characterization in accordance with the methods set forth in IES LM-
58-20.
    4.2.2 General Service Incandescent Lamps
    4.2.2.1 Season and stabilize lamps according to section (and 
corresponding subsections) 6.2 of IES LM-45-20, including reference 
to IES LM-54-20.
    4.2.2.2 Measure the initial input power (in watts).
    4.2.2.3 Measure initial lumen output in accordance with section 
(and corresponding subsections) 7.0 of IES LM-45-20, including 
reference to IES LM-78-20.
    4.2.2.4 Calculate initial lamp efficacy by dividing the measured 
initial lumen output by the measured initial input power.
    4.2.2.5 Calculate CRI as specified in section 7.4 of IES LM-45-
20 and CIE 13.3. Conduct the required spectroradiometric measurement 
and characterization in accordance with the methods set forth in IES 
LM-58-20.
    4.2.2.6 Calculate CCT as specified in section 7.4 of IES LM-45-
20 and CIE 15:2018. The required spectroradiometric measurement and 
characterization shall be conducted in accordance with the methods 
set forth in IES LM-58-20.
    4.2.3 Incandescent Reflector Lamps
    4.2.3.1 Season and stabilize lamps in accordance with section 
(and corresponding subsections) 6.0 of IES LM-20-20 (incorporated by 
reference; see Sec.  430.3), including reference to IES LM-54-20.
    4.2.3.2 Measure the initial input power (in watts).
    4.2.3.3 Measure initial lumen output in accordance with sections 
(and corresponding subsections) 7.0 or 8.0 of IES LM-20-20, 
including reference to IES LM-78-20. When measuring in accordance 
with section 8.0, exclude undirected light using the method 
specified in section 8.2.
    4.2.3.4 Calculate initial lamp efficacy by dividing the measured 
initial lumen output by the measured initial input power.
    4.2.3.5 Calculate CRI as specified in CIE 13.3. Conduct the 
required spectroradiometric measurement and characterization in 
accordance with the methods set forth in IES LM-58-20.
    4.2.3.6 Calculate CCT as specified in CIE 15:2018. Conduct the 
required spectroradiometric measurement and characterization in 
accordance with the methods set forth in IES LM-58-20.
    5. Test Method for Voluntary Representations for General Service 
Fluorescent Lamps
    Follow sections 1.0 through 4.0 of this appendix to make 
voluntary representations only for GSFLs that have high frequency 
reference ballast settings in ANSI C78.81-2016 and ANSI C78.901-2016 
(incorporated by reference; see Sec.  430.3). Where ANSI C78.81 and 
ANSI C78.901 are referenced in the preceding sections, use ANSI 
C78.81-2016 and ANSI C78.901-2016 instead. Operate lamps using high 
frequency reference ballast settings and without cathode power. 
Voluntary representations must be in addition to, and not in place 
of, a representation in accordance with sections 1.0 to 4.0 for 
GSFLs. As a best practice, an indication of high frequency operation 
should be provided with the voluntary representations.
    6. Test Method for Determining Time to Failure for General 
Service Incandescent Lamps and Incandescent Reflector Lamps
    6.1 Test Conditions and Setup. Establish ambient, physical, and 
electrical conditions as described in sections 4.0 and 5.0 of IES 
LM-49-20 (incorporated by reference; see Sec.  430.3).
    6.2 Test Methods, Measurements, and Calculations
    6.2.1 Season and stabilize lamps according to section 6.2 of IES 
LM-45-20 for GSILs and in accordance with section (and corresponding 
subsections) 6.0 of IES LM-20-20 for IRLs.
    6.2.2 Measure the time to failure as specified in section 6.4 of 
IES LM-49-20 and based on the lamp's operating time, expressed in 
hours, not including any off time.
    6.3 Accelerated lifetime testing is not allowed; disregard the 
second paragraph of section 6.4 of IES LM-49-20.

0
14. Amend Sec.  430.32 by revising paragraphs (n) and (x) to read as 
follows:


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

* * * * *
    (n) General service fluorescent lamps and incandescent reflector 
lamps. (1) Each of the following general service fluorescent lamps 
manufactured after the effective dates specified in the table must meet 
or exceed the following CRI standards:

[[Page 29920]]



----------------------------------------------------------------------------------------------------------------
                                              Nominal lamp
                 Lamp type                       watts *       Minimum CRI              Effective date
----------------------------------------------------------------------------------------------------------------
4-foot medium bipin........................           >35 W              69  Nov. 1, 1995.
                                                     <=35 W              45  Nov. 1, 1995.
2-foot U-shaped............................           >35 W              69  Nov. 1, 1995.
                                                    <= 35 W              45  Nov. 1, 1995.
8-foot slimline............................           >65 W              69  May 1, 1994.
                                                     <=65 W              45  May 1, 1994.
8-foot high output.........................          >100 W              69  May 1, 1994.
                                                    <=100 W              45  May 1, 1994.
----------------------------------------------------------------------------------------------------------------
* Nominal lamp watts means the wattage at which a fluorescent lamp is designed to operate. 42 U.S.C.
  6291(29)(H).

    (2) The standards described in paragraph (n)(1) of this section do 
not apply to:
    (i) Any 4-foot medium bipin lamp or 2-foot U-shaped lamp with a 
rated wattage less than 28 watts;
    (ii) Any 8-foot high output lamp not defined in ANSI C78.81 
(incorporated by reference; see Sec.  430.3) or related supplements, or 
not 0.800 nominal amperes; or
    (iii) Any 8-foot slimline lamp not defined in ANSI C78.3 
(incorporated by reference; see Sec.  430.3).
    (3) Each of the following general service fluorescent lamps 
manufactured on or after January 26, 2018, shall meet or exceed the 
following lamp efficacy standards shown in the table:

----------------------------------------------------------------------------------------------------------------
                                                                                                      Minimum
                  Lamp type                               Correlated color temperature             average lamp
                                                                                                   efficacy lm/W
----------------------------------------------------------------------------------------------------------------
4-foot medium bipin lamps (straight-shaped     <=4,500K.........................................            92.4
 lamp with medium bipin base, nominal overall
 length of 48 inches, and rated wattage of 25
 or more).
                                               >4,500K and <=7,000K.............................            88.7
2-foot U-shaped lamps (U-shaped lamp with      <=4,500K.........................................            85.0
 medium bipin base, nominal overall length
 between 22 and 25 inches, and rated wattage
 of 25 or more).
                                               >4,500K and <=7,000K.............................            83.3
8-foot slimline lamps (instant start lamp      <=4,500K.........................................            97.0
 with single pin base, nominal overall length
 of 96 inches, and rated wattage of 49 or
 more).
                                               >4,500K and <=7,000K.............................            93.0
8-foot high output lamps (rapid start lamp     <=4,500K.........................................            92.0
 with recessed double contact base, nominal
 overall length of 96 inches).
                                               >4,500K and <=7,000K.............................            88.0
4-foot miniature bipin standard output lamps   <=4,500K.........................................            95.0
 (straight-shaped lamp with miniature bipin
 base, nominal overall length between 45 and
 48 inches, and rated wattage of 25 or more).
                                               >4,500K and <=7,000K.............................            89.3
4-foot miniature bipin high output lamps       <=4,500K.........................................            82.7
 (straight-shaped lamp with miniature bipin
 base, nominal overall length between 45 and
 48 inches, and rated wattage of 44 or more).
                                               >4,500K and <=7,000K.............................            76.9
----------------------------------------------------------------------------------------------------------------
Rated wattage is defined with respect to fluorescent lamps and general service fluorescent lamps in Sec.
  430.2.

    (4) Each of the following incandescent reflector lamps manufactured 
after July 14, 2012, must meet or exceed the lamp efficacy standards 
shown in the table:

 
----------------------------------------------------------------------------------------------------------------
                                                                                                Minimum average
         Rated wattage              Lamp spectrum        Lamp diameter      Rated voltage of   lamp efficacy lm/
                                                             inches               lamp                 W
----------------------------------------------------------------------------------------------------------------
40-205                           Standard Spectrum    >2.5                 >=125 V             6.8*P0.27
                                                                           <125 V              5.9*P0.27
                                                     -----------------------------------------------------------
                                 ...................  <=2.5                >=125 V             5.7*P0.2
                                                                           <125 V              5.0*P0.27
----------------------------------------------------------------------------------------------------------------
40-205                           Modified Spectrum    >2.5                 >=125 V             5.8*P0.27
                                                                           <125 V              5.0*P0.27
                                                     -----------------------------------------------------------
                                                      <=2.5                >=125 V             4.9*P0.27
                                                                           <125 V              4.2*P0.27
----------------------------------------------------------------------------------------------------------------
Note 1: P is equal to the rated wattage, in watts.
Note 2: Standard Spectrum means any incandescent reflector lamp that does not meet the definition of modified
  spectrum in Sec.   430.2.


[[Page 29921]]

    (5) The standards specified in this section do not apply to the 
following types of incandescent reflector lamps:
    (i) Lamps rated at 50 watts or less that are ER30, BR30, BR40, or 
ER40 lamps;
    (ii) Lamps rated at 65 watts that are BR30, BR40, or ER40 lamps; or
    (iii) R20 incandescent reflector lamps rated 45 watts or less.
* * * * *
    (x) General service incandescent lamps, intermediate base 
incandescent lamps and candelabra base incandescent lamps.
    (1) The energy conservation standards in this paragraph apply to 
general service incandescent lamps:
    (i) Intended for a general service or general illumination 
application (whether incandescent or not);
    (ii) Has a medium screw base or any other screw base not defined in 
ANSI C81.61 (incorporated by reference; see Sec.  430.3); and
    (iii) Is capable of being operated at a voltage at least partially 
within the range of 110 to 130 volts.
    (2) General service incandescent lamps manufactured after the 
effective dates specified in the tables below, except as described in 
paragraph (x)(3) of this section, shall have a color rendering index 
greater than or equal to 80 and shall have rated wattage no greater 
than and lifetime no less than the values shown in the table below:

                                       General Service Incandescent Lamps
----------------------------------------------------------------------------------------------------------------
                                                                                      Minimum
                         Lumen ranges *                            Maximum rated    lifetime **   Effective date
                                                                      wattage          (hrs)
----------------------------------------------------------------------------------------------------------------
1490-2600.......................................................              72           1,000        1/1/2012
1050-1489.......................................................              53           1,000        1/1/2013
750-1049........................................................              43           1,000        1/1/2014
310-749.........................................................              29           1,000        1/1/2014
----------------------------------------------------------------------------------------------------------------
* Use measured initial lumen output to determine the applicable lumen range.
** Use lifetime determined in accordance with 10 CFR 429.27 to determine compliance with this standard.

    (3) Modified spectrum general service incandescent lamps 
manufactured after the effective dates specified shall have a color 
rendering index greater than or equal to 75 and shall have a rated 
wattage no greater than and lifetime no less than the values shown in 
the table below:

                              Modified Spectrum General Service Incandescent Lamps
----------------------------------------------------------------------------------------------------------------
                                                                                      Minimum
                         Lumen ranges *                            Maximum rated    lifetime **   Effective date
                                                                      wattage          (hrs)
----------------------------------------------------------------------------------------------------------------
1118-1950.......................................................              72           1,000        1/1/2012
788-1117........................................................              53           1,000        1/1/2013
563-787.........................................................              43           1,000        1/1/2014
232-562.........................................................              29           1,000        1/1/2014
----------------------------------------------------------------------------------------------------------------
* Use measured initial lumen output to determine the applicable lumen range.
** Use lifetime determined in accordance with 10 CFR 429.27 to determine compliance with this standard.

    (4) Each candelabra base incandescent lamp shall not exceed 60 
rated watts.
    (5) Each intermediate base incandescent lamp shall not exceed 40 
rated watts.
* * * * *

[FR Doc. 2021-10067 Filed 6-2-21; 8:45 am]
BILLING CODE 6450-01-P