[Federal Register Volume 77, Number 18 (Friday, January 27, 2012)]
[Rules and Regulations]
[Pages 4203-4217]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-1681]
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DEPARTMENT OF ENERGY
10 CFR Parts 429 and 430
[Docket No. EERE-2011-BT-TP-0012]
RIN 1904-AC45
Energy Conservation Program: Test Procedures for General Service
Fluorescent Lamps, General Service Incandescent Lamps, and Incandescent
Reflector Lamps
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Final rule.
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SUMMARY: On September 14, 2011, the U.S. Department of Energy (DOE)
issued a notice of proposed rulemaking (NOPR) to amend the test
procedures for general service fluorescent lamps (GSFLs), general
service incandescent lamps (GSILs), and incandescent reflector lamps
(IRLs). That proposed rulemaking serves as the basis for today's
action. DOE is amending its test procedures for GSFLs and GSILs
established under the Energy Policy and Conservation Act (EPCA). DOE is
not amending in this final rule the existing test procedure for IRLs
established under EPCA. For GSFLs and GSILs, DOE is updating several
references to the industry standards referenced in DOE's test
procedures. DOE is also establishing a lamp lifetime test procedure for
GSILs. These test procedures also provide the protocols upon which the
Federal Trade Commission bases its energy guide label for these
products. DOE's review of the GSFL, GSIL, and IRL test procedures
fulfills the EPCA requirement that DOE review test procedures for all
covered products at least once every seven years.
DATES: The effective date of this rule is February 27, 2012. The final
rule changes will be mandatory for product testing starting July 25,
2012.
The incorporation by reference of certain publications listed in
this rule is approved by the Director of the Federal Register on
February 27, 2012.
ADDRESSES: The docket is available for review at regulations.gov,
including Federal Register notices, framework documents, public meeting
attendee lists and transcripts, comments, and other supporting
documents/materials. All documents in the docket are listed in the
regulations.gov index. However, not all documents listed in the index
[[Page 4204]]
may be publicly available, such as information that is exempt from
public disclosure.
A link to the docket web page can be found at: www.regulations.gov.
This web page will contain a link to the docket for this notice on the
regulations.gov site. The regulations.gov web page will contain simple
instructions on how to access all documents, including public comments,
in the docket.
For further information on how to review the docket, contact Ms.
Brenda Edwards at (202) 586-2945 or by email:
Brenda.Edwards@ee.doe.gov.
FOR FURTHER INFORMATION CONTACT: Dr. Tina Kaarsberg, U.S. Department of
Energy, Office of Energy Efficiency and Renewable Energy, Building
Technologies Program, EE-2J, 1000 Independence Avenue SW., Washington,
DC, 20585-0121. Telephone: (202) 287-1393. Email:
Tina.Kaarsberg@ee.doe.gov.
Mr. Ari Altman, U.S. Department of Energy, Office of the General
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC, 20585-
0121. Telephone: (202) 287-6307. Email: mailto: Ari.Altman@hq.doe.gov.
SUPPLEMENTARY INFORMATION:
This final rule incorporates by reference into Part 430 the
following industry standard:
IESNA LM-49-01 (``IESNA LM-49''), IESNA Approved Method for Life
Testing of Incandescent Filament Lamps, approved December 1, 2001.
Copies of IES standards can be purchased from the Illuminating
Engineering Society (IES), 120 Wall Street, Floor 17, New York, NY
10005-4001, (212) 248-5000, or http://www.ies.org/store/.
You can also view copies of this standard at the U.S. Department of
Energy, Building Technologies Program, 950 L'Enfant Plaza SW., 6th
Floor, Washington, DC, 20024, (202) 586-2945, between 9 a.m. and 4
p.m., Monday through Friday, except Federal holidays. Please call Ms.
Brenda Edwards at the above telephone number for additional
information.
Table of Contents
I. Authority and Background
II. Summary of the Final Rule
III. Discussion
A. Updates to Industry Standards Incorporated by Reference
1. ANSI C78.81-2010 for General Service Fluorescent Lamps
2. IES LM-9-2009 for General Service Fluorescent Lamps
3. IES LM-45-2009 for General Service Incandescent Lamps
4. Test Procedures for Incandescent Reflector Lamps
5. Summary of Changes Based on Updated Industry Standards
B. General Service Incandescent Lamp Lifetime Testing
1. Authority To Establish Lifetime Test Procedure
2. Adoption of IESNA LM-49-2001
3. Accelerated Lifetime Testing
4. Measuring Minimum Rated Lifetime
5. ``Rated Lifetime'' Definition and Sample Size
6. Certification Requirements
7. Laboratory Accreditation
8. GSIL Lifetime Testing Costs
9. Summary of GSIL Lifetime Testing
C. Effective Date for the Amended Test Procedures
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act of 1995
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General Government Appropriations
Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
M. Congressional Notification
N. Approval of the Office of the Secretary
I. Authority and Background
Title III of the Energy Policy and Conservation Act (42 U.S.C.
6291, et seq.; ``EPCA'' or, ``the Act'') sets forth a variety of
provisions designed to improve energy efficiency. (All references to
EPCA refer to the statute as amended through the Energy Independence
and Security Act of 2007 (EISA 2007), Public Law 110-140 (Dec. 19,
2007)). Part B of title III, which for editorial reasons was
redesignated as Part A upon incorporation into the U.S. Code (42 U.S.C.
6291-6309), establishes the ``Energy Conservation Program for Consumer
Products Other Than Automobiles.'' These include general service
fluorescent lamps (GSFLs), general service incandescent lamps (GSILs),
and incandescent reflector lamps (IRLs), the subject of today's notice.
(42 U.S.C. 6292(a)(14) and 6295(i))
Under EPCA, this program consists essentially of four parts: (1)
Testing, (2) labeling, (3) Federal energy conservation standards, and
(4) certification and enforcement procedures. The testing requirements
consist of test procedures that manufacturers of covered products must
use (1) as the basis for certifying to DOE that their products comply
with the applicable energy conservation standards adopted under EPCA,
and (2) for making representations about the efficiency of those
products, including on the Federal Trade Commission's EnergyGuide
label. Similarly, DOE must use these test requirements to determine
whether the products comply with any relevant standards promulgated
under EPCA. However, to ensure that DOE is in full compliance with
Section 315 of Public Law 112-74, DOE will not finalize in this
document provisions related to certifying lamps subject to that
provision of law. DOE may finalize those procedures at an appropriate
time in the future.
Relevant to this rulemaking, EPCA, as codified, directs DOE to
prescribe test procedures for GSFLs and IRLs, taking into consideration
the applicable standards of the Illuminating Engineering Society of
North America \1\ (IESNA) or the American National Standards Institute
\2\ (ANSI). (42 U.S.C. 6293(b)(6))
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\1\ Illuminating Engineering Society of North America (IESNA)
standards can be purchased on the IESNA Web site at: http://www.ies.org/store/.
\2\ American National Standards Institute (ANSI) standards can
be purchased on the ANSI Web site at: http://www.webstore.ansi.org/.
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In addition, on December 19, 2007, the Energy Independence and
Security Act of 2007 (EISA 2007), Public Law 110-140, was enacted.
Section 321 of EISA 2007 amended EPCA, in relevant part, to prescribe
energy conservation standards for GSILs that included maximum rated
wattage and minimum rated lifetime requirements for several different
lumen ranges; these standards will be phased in between 2012 and 2014.
(42 U.S.C. 6295(i)) Section 302 of EISA 2007 also amended EPCA to
require DOE to review test procedures for all covered products at least
once every seven years. DOE must either amend the test procedures or
publish notice in the Federal Register of any determination not to
amend a test procedure. (42 U.S.C. 6293(b)(1)(A))
In order to (1) fulfill the statutory requirements for periodic
review of test procedures and (2) create for the first time a lifetime
test procedure for GSILs, consistent with the minimum rated lifetime
requirements set forth in EPCA, DOE published a notice of proposed
rulemaking (NOPR) in the Federal Register on September 14, 2011. DOE
also invited comment on all aspects of the existing test procedures for
GSFLs, GSILs, and IRLs that appear at Title 10 of the Code of Federal
Regulations (CFR): 10 CFR 429.27 (``General service fluorescent lamps,
general service incandescent lamps, and incandescent reflector
lamps''), 10 CFR 430.2 (``Definitions''), 10 CFR 430.3
[[Page 4205]]
(``Materials incorporated by reference''), 10 CFR 430.23 (``Test
procedures for the measurement of energy and water consumption''), 10
CFR 430.25 (``Laboratory Accreditation Program''), and 10 CFR part 430
subpart B, Appendix R (``Uniform Test Method for Measuring Average Lamp
Efficacy (LE), Color Rendering Index (CRI), and Correlated Color
Temperature (CCT) of Electric Lamps''). 76 FR 56661, 56662 (September
14, 2011). DOE subsequently held a public meeting on October 4, 2011 to
discuss the proposals in the NOPR and invited written comments through
November 28, 2011.
To address prior EPCA requirements for GSFLs, GSILs, and IRLs, DOE
has previously undertaken a number of rulemaking actions pertaining to
the test procedures for these products. For further details refer to
the NOPR. 76 FR 56661, 56662-63. Test procedures for GSFLs, GSILs, and
IRLs are specified in various sections of the CFR and are based on the
1997 and 2009 final rules addressing test procedures for fluorescent
and incandescent lamps. 62 FR 29221 (May 29, 1997); 74 FR 31829 (July
6, 2009); 74 FR 34080 (July 14, 2009). Prior to this final rule, DOE
had no test procedure for measuring GSIL lifetime. Calculations for
lamp efficacy of GSFLs, GSILs, and IRLs and for color rendering index
of GSFLs are discussed in 10 CFR 430.23, which references 10 CFR part
430, subpart B, Appendix R. Appendix R specifies several IESNA and ANSI
standards to use for test conditions and procedures. For GSFLs, it
references measurement procedures set forth in IESNA LM-9-1999.\3\
Additionally, GSFLs are to be operated according to general procedures
for taking electrical measurements described in ANSI C78.375-1997,\4\
and at the voltage and current conditions described in ANSI C78.81-2005
(double-based lamps) \5\ or ANSI C78.901-2005 (single-based lamps),\6\
and using the reference ballast at input voltage specified by the
reference circuit in ANSI C82.3-2002.\7\ Appendix R also notes that the
prior measurement procedures for GSILs and IRLs are set forth in IESNA
LM-45-2000 \8\ and IESNA LM-20-1994,\9\ respectively.
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\3\ ``IESNA Approved Method for the Electrical and Photometric
Measurements of Fluorescent Lamps'' (approved Dec. 4, 1999).
\4\ ``American National Standard for Electric Lamps: Fluorescent
Lamps-Guide for Electrical Measurements'' (approved Sept. 25, 1997).
\5\ ``American National Standard for Electric Lamps Double-
Capped Fluorescent Lamps--Dimensional and Electrical
Characteristics'' (approved August 11, 2005).
\6\ ``American National Standard for Electric Lamps Double-
Capped Fluorescent Lamps--Dimensional and Electrical
Characteristics'' (approved March 23, 2005).
\7\ ``American National Standard for Lamp Ballasts--Reference
Ballasts for Fluorescent Lamps'' (approved Sept. 4, 2002).
\8\ ``IESNA Approved Method for Electrical and Photometric
Measurements of General Service Incandescent Filament Lamps''
(approved May 8, 2000).
\9\ ``IESNA Approved Method for Photometric Testing Of
Reflector-Type Lamps'' (approved Dec. 3, 1994).
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General Test Procedure Rulemaking Process
Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures
DOE must follow when prescribing or amending test procedures for
covered products. EPCA provides that any test procedures prescribed or
amended under this section shall be reasonably designed to produce test
results which measure energy efficiency, energy use or estimated annual
operating cost of a covered product during a representative average use
cycle or period of use and shall not be unduly burdensome to conduct.
(42 U.S.C. 6293(b)(3))
In addition, if DOE determines that a test procedure amendment is
warranted, it must publish proposed test procedures and offer the
public an opportunity to present oral and written comments on them. (42
U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test
procedure, DOE must determine to what extent, if any, the proposed test
procedure would alter the measured energy efficiency of any covered
product as determined under the existing test procedure. (42 U.S.C.
6293(e)(1)). If DOE determines that the amended test procedure would
alter the measured efficiency of a covered product, DOE must amend the
applicable energy conservation standard accordingly. (42 U.S.C.
6293(e)(2))
With respect to today's rulemaking, DOE has determined that none of
the amendments it is adopting will change the measured efficacy of the
GSFLs, GSILs, or IRLs when compared to the previously existing test
procedures.
II. Summary of the Final Rule
Today's rule amends DOE's test procedures for GSFLs and GSILs. The
amendments achieve two objectives: (1) Update test procedures by
incorporating certain lighting industry standards by reference in order
to adopt current best practices and technological developments and (2)
establish a new test procedure for determining GSIL rated lifetime,
consistent with the minimum rated lifetime requirements in set forth in
EPCA.
Regarding the first objective, this final rule updates industry
standards previously incorporated by reference to the latest versions
of those documents. For GSFLs, DOE is updating dimensional and
electrical characteristic-related references to ANSI C78.81-2003 as
well as ANSI C78.81-2005 to ANSI C78.81-2010,\10\ and references to
IESNA LM-9-1999 \11\ to IES LM-9-2009 \12\ for measuring electrical and
photometric attributes. For GSILs, DOE is updating references of IESNA
LM-45-2000 to IES LM-45-2009 \13\ for measuring electrical and
photometric attributes. These changes will not, in DOE's view,
significantly alter reported lamp efficacy values.\14\
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\10\ ``American National Standard for Electric Lamps--Double-
Capped Fluorescent Lamps--Dimensional and Electrical
Characteristics'' (approved Jan. 14, 2010).
\11\ ``IESNA Approved Method for the Electrical and Photometric
Measurements of Fluorescent Lamps'' (approved Dec. 4, 1999).
\12\ ``IES Approved Method for the Electrical and Photometric
Measurement of Fluorescent Lamps'' (approved Jan. 31, 2009).
\13\ ``IES Approved Method for the Electrical and Photometric
Measurement of General Service Incandescent Filament Lamps''
(approved Dec. 14, 2009).
\14\ In this document, changes in efficacy that are described as
``not significant'' are considered to be within measurement error or
variation. DOE has concluded that these amendments do not affect
reported efficacy values to the extent that would warrant
modifications to energy conservation standards.
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Regarding the second objective, today's final rule establishes a
GSIL test procedure for lifetime testing. As noted above, EISA 2007
amended EPCA, in part, by establishing energy conservation standards
for GSILs which include for the first time minimum rated lifetime
requirements that are to be phased in between January 2012 and January
2014. In order to meet these requirements, this final rule establishes
a test procedure for GSIL lifetime that includes incorporation by
reference of the industry standard ``IESNA Approved Method for Life
Testing of Incandescent Filament Lamps,'' IESNA LM-49-2001; \15\ a
definition for rated lifetime of GSILs; a sample size of 21 lamps for
GSIL lifetime testing; and requirements for laboratory accreditation.
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\15\ ``IESNA Approved Method for Life Testing of Incandescent
Filament Lamps'' (approved Dec. 1, 2001).
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As indicated in greater detail below, these amendments and
additions apply to the procedures in 10 CFR part 430, subpart B,
Appendix R, and also to sections 10 CFR 429.27, 10 CFR 430.2, 10 CFR
430.23, 10 CFR 430.25. The changes do not affect measured efficacy of
GSFLs, GSILs, and IRLs. The amendments to DOE's test procedures in this
final rule will take effect 30 days after publication of this final
rule.
[[Page 4206]]
III. Discussion
A. Updates to Industry Standards Incorporated by Reference
After reviewing the current industry best practices and
technological developments, DOE identified and proposed appropriate
updates for the GSFL and GSIL test procedures, but no updates for the
IRL test procedure. DOE proposed the following changes to the existing
test procedures for GSFLs: (1) Updating references of ANSI C78.81-2003
and ANSI C78.81-2005 to ANSI C78.81-2010, which provides dimensional
and electrical characteristics of fluorescent lamps; and, (2) updating
references of IESNA LM-9-1999 to IES LM-9-2009 for measuring the
electrical and photometric attributes of fluorescent lamps. In
addition, DOE proposed modifying the existing test procedures for GSILs
by updating references of IESNA LM-45-2000 to IES LM-45-2009 for
measuring their electrical and photometric attributes of incandescent
filament lamps.
As DOE's GSFL, GSIL, and IRL test procedures are based mainly on
references to industry standards, when possible, DOE test procedures
should reference the latest versions of these standards in order to be
aligned with industry standards and practices. Periodic updates to
these industry standards generally account for changes in product lines
and/or developments in test methodology and equipment. Therefore, in
the NOPR analysis, DOE reviewed relevant industry standards and
compared versions. DOE found that the latest versions of these
standards will increase the precision of measurements and provide
clarifications of existing test setup and methodology. DOE determined
that these revisions to DOE's regulations would not alter measured
energy efficiency nor result in a test procedure that is unduly
burdensome to conduct. (42 U.S.C. 6293(e)(1), 42 U.S.C. 6293(b)(3))
DOE received various comments on its proposed updates to those
industry standards already incorporated by reference in DOE's test
procedures. The sections below provide a brief summary of the key
changes in the updated industry standards and DOE's responses to
comments on these changes.
1. ANSI C78.81-2010 for General Service Fluorescent Lamps
In the NOPR, DOE proposed updating all references to ANSI C78.81 in
DOE's test procedures and definitions relating to GSFLs and fluorescent
lamp ballasts from the 2003 and 2005 editions to the 2010 edition. ANSI
C78.81 provides the dimensional and electrical specifications for
fluorescent lamps. Adoption of the latest version of ANSI C78.81 will
ensure that DOE test procedures reference updated lamp specifications.
DOE concluded in the NOPR analysis that updating to the 2010
version would not change the lamp specifications currently prescribed
in DOE's test procedures. The main modification in the 2010 version is
the addition of high-frequency and low-frequency lamp specifications
for 25W, 28W, and 30W reduced-wattage 4-foot T8 medium bipin lamps. DOE
requires testing GSFLs using low-frequency lamp specifications unless
only high-frequency lamp specifications are available. The low-
frequency ballast specifications for reduced-wattage lamps specified in
the 2010 version are identical to those prescribed in the DOE test
procedures for 4-foot T8 medium pin lamps.\16\ DOE's test procedures
also prescribe low-frequency lamp specifications in ANSI C78.81-2003
for certain lamps, which are also identical to those specified in the
2010 version. Therefore, in this final rule, DOE concludes that neither
measured efficacy nor testing burden would be affected by updating the
references to ANSI C78.81-2010 in DOE test procedures.
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\16\ See section 4.1.2.1 of Appendix R for F40T12, F96T12,
F96T12HO, F34T12, F96T12ES, F96T12HO/ES lamps.
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The National Electrical Manufacturers Association (NEMA) commented
that the low frequency reference ballast specifications included in
ANSI C78.81 and C78.901 will be replaced with high frequency reference
ballast specifications in the next revisions of these standards which
are planned for publication in 2012. They added that as a result
manufacturers will have to perform testing using low frequency
reference ballasts for DOE certification and compliance reporting and
high frequency reference ballasts for normative compliance using the
updated standards. NEMA suggested coordinating the adoption of DOE's
next test procedure with the updated ANSI standards in order to reduce
dual testing burden. (NEMA, No. 8 at p. 2) \17\
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\17\ A notation in the form ``NEMA, No. 29 at p. 2'' identifies
a written comment that DOE has received and has included in the
docket of this rulemaking. This particular notation refers to a
comment: (1) Submitted by NEMA; (2) in document number 29 of the
docket, and (3) on page 2 of that document.
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Since the planned versions of ANSI C78.81-2010 and C78.901-2005 to
which NEMA is referring were not available for DOE to assess and
solicit comment on, DOE cannot reference these scheduled updated
versions in this final rule. Therefore, because high-frequency testing
specifications are still not yet available for all of DOE's covered
fluorescent lamp types, DOE will maintain the requirement to test GSFLs
using low-frequency reference lamp specifications unless only high-
frequency lamp specifications are available as stated above. Regarding
the possibility that manufacturers may have to conduct dual testing
(low-frequency testing for DOE compliance and high-frequency testing
for normative compliance), DOE is continually monitoring the
development of testing standards of GSFLs and will consider amendments
to future test procedures including testing on high-frequency reference
ballasts as necessary.
2. IES LM-9-2009 for General Service Fluorescent Lamps
In the NOPR, DOE proposed updating references to IESNA LM-9-1999
which specifies procedures for measuring the efficacy of GSFLs to the
2009 version. DOE's review indicated that incorporating the 2009
edition of IES LM-9 \18\ would align DOE's requirements with current
industry standards; provide further clarification of the test
procedure; and improve the test methodology and test instrumentation
setup and specifications.
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\18\ The 2009 version of the standard is labeled as IES instead
of IESNA.
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DOE identified the following four key updates to the 2009 edition
of IES LM-9: (1) Additional information on conducting tests under high-
frequency conditions; (2) modification of the lamp stabilization
method; (3) added specification of temperature and orientation for
stabilization of T5 lamps; and (4) added specification of impedance
\19\ thresholds for the multipurpose volt, amperes, and watts (VAW)
meter and power source. (More detail on these updates can be found in
the NOPR. 76 FR 56661, 56665-66.) In the NOPR, DOE concluded that these
updates would not significantly affect lamp efficacy or pose a
significant testing burden. DOE did not receive any comments regarding
the impacts of specific updates in the 2009 version of IES LM-9. DOE
did however receive comments from interested parties
[[Page 4207]]
regarding potential issues with accreditation to the 2009 version of
IES LM-9 as well as a request for clarification on the added
specifications for T5 lamps and the existing CCT reporting requirement.
DOE is also providing further guidance on the lamp stabilization method
in this final rule.
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\19\ A measure of the total opposition to current flow in an
alternating current (AC) circuit made up of resistance and
reactance. ``Reactance'' is the opposition of a circuit element to a
change of electric current or voltage, due to the element's
capacitance or inductance. For a direct current (DC) circuit, the
impedance is just the resistance.
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NEMA, Osram Sylvania Inc. (OSI), and Philips Lighting (Philips)
commented that many laboratories are not yet accredited to IES LM-9-
2009 and would not be able to use the test procedure for compliance
testing by the effective date of June 2012. They further noted that it
was unclear whether the National Volunteer Laboratory Accreditation
Program (NVLAP) \20\ had begun accrediting to the updated IES version.
(NEMA, No. 8 at p. 2; OSI, Public Meeting Transcript, No. 7 at p. 34;
Philips, Public Meeting Transcript, No. 7 at pp. 34-35) ICF Consulting
on behalf of Energy Star (ICF) noted that there are several accrediting
bodies that are already accrediting to IES LM-9-2009. (ICF, Public
Meeting Transcript, No. 7 at p. 35)
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\20\ NVLAP is a program administered by the National Institute
of Standards and Technology (NIST).
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Testing for GSFLs, IRLs, and GSILs must be conducted by a
laboratory accredited by NVLAP or by an accrediting organization
recognized by NVLAP. (10 CFR 430.25) At the time this final rule was
written, there were ten laboratories accredited to IES LM-9 by NVLAP of
which five were accredited to the most recent 2009 version.\21\ DOE has
therefore concluded that because several laboratories are already
accredited to IES LM-9-2009, compliance with updated test procedures
established in this final rule is achievable by June 2012.
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\21\ Directory of Accredited Laboratories: Energy Efficient
Lighting Products, http://ts.nist.gov/standards/scopes/eelit.htm.
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The People's Republic of China (P.R. China) \22\ requested
clarification on the orientation of T5 lamps during the seasoning
process at 35 [deg]C. (P.R. China, No. 9 at p. 3) As stated in IES LM-
9-2009, T5 lamps are to be seasoned in the vertical direction in 25
[deg]C ambient air so as to obtain stable photometric results. IES LM-
9-2009 also specifies that T5 lamps are to be measured horizontally,
despite seasoning occurring in the vertical orientation.
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\22\ Comment submitted by China WTO/TBT National Notification &
Enquiry Center, Standard and Regulation Researching Center, AQSIQ,
P.R. China.
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NEMA also commented on an existing DOE GSFL test procedure
requirement for reporting CCT. NEMA noted that ANSI C78.376 \23\
guidance recognizes that CCT varies within the allowed chromaticity
tolerance ellipse \24\ for fluorescent lamps and therefore assigns such
lamps six separate nominal color temperature ellipses \25\ and
designations. NEMA commented that since fluorescent lamps' chromaticity
varies with lifetime, manufacturers design lamps to remain within a
designated ellipse. Given these considerations, NEMA requested further
clarification on why DOE proposed a requirement to report CCT to the
nearest 10 degrees. (NEMA, No. 8 at p. 5)
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\23\ ``American National Standard for electric lamps:
Specifications for Chromaticity of Fluorescent Lamps'' (approved
Feb. 1, 2001).
\24\ ANSI C78.376-2001 defines chromaticity tolerance by a 4
step MacAdam ellipse which is shown in section 5 of the standard.
\25\ The six separate nominal color temperature ellipses are
defined in section 5 of ANSI C78.376-2001.
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In the NOPR stage of the 2009 test procedure rule for GSFLs, IRLs,
and GSILs, DOE proposed test procedures that required CCT to be rounded
to the nearest unit (measured in kelvin (K)). In response to DOE's
proposal, NEMA recommended rounding CCT to the nearest 10 degrees
because rounding to the nearest degree demonstrates a false level of
accuracy. DOE consulted with the National Institute of Standards and
Technology (NIST) and agreed with NEMA's conclusion that distinguishing
between single digits in CCT is not meaningful. Therefore, because all
laboratories were able to measure CCT to three significant figures, DOE
required that manufacturers round CCT to the nearest 10 degrees in the
July 2009 Test Procedure final rule. 74 FR 31829 (July 6, 2009). DOE
finds no reason to modify this requirement.
Based on comments DOE received questioning whether or not the lamp
stabilization method prescribed in IES LM-45-2009 was required, DOE is
providing further clarification on the matter in this final rule (see
section III.A.3). DOE is also providing this same clarification for the
lamp stabilization method prescribed in IES LM-9-2009. The standard
states that its prescribed stabilization method is strongly recommended
but if not followed, the alternative methodology should be noted in the
test report. Therefore, manufacturers should include in certification
reports details of any variations from the lamp stabilization method
prescribed in IES LM-9-2009.
3. IES LM-45-2009 for General Service Incandescent Lamps
In the NOPR, DOE proposed updating the 2000 version of IESNA LM-45
to the 2009 version. This new version specifies updated procedures for
measuring GSIL efficacy. DOE's review indicated that incorporating the
2009 edition of IES LM-45 \26\ would provide further clarification of
the test procedure; and improve the test methodology and test
instrumentation setup and specifications.
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\26\ The 2009 version of the standard is labeled as IES instead
of IESNA.
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DOE identified the following five key updates in the 2009 edition
of IES LM-45: (1) Modification of the lamp stabilization method; (2)
modification of voltage and current regulation tolerances of the
alternating current (AC) power source; (3) modification of instrument
tolerance for AC voltage, current, and wattage; (4) establishment of
impedance tolerances for instruments; and (5) establishment of a
tolerance for the spectral response of the photo-detector. (More detail
on these updates can be found in the NOPR. 76 FR 56661, 56666-67.) In
the NOPR, DOE concluded that these updates will not significantly
affect lamp efficacy or pose a significant testing burden. NEMA
commented that it agreed with the incorporation of IES LM-45-2009.
(NEMA, No. 8 at p. 2) DOE did, however, receive comments from
interested parties regarding clarification on spectral match
specifications and the lamp stabilization method.
At the October 2011 public meeting, Northwest Energy Efficiency
Alliance (NEEA) asked for further clarification on the requirement in
IES LM-45-2009 that the spectral match between the photo-detector and
the V([lambda]) function be within five percent. (NEEA, Public Meeting
Transcript, No. 7 at p. 30) The V([lambda]) function or the photopic
luminous efficiency function\27\ is the response curve of a standard
human observer. It is the visual sensitivity of the human eye to light
at different wavelengths. Photodetectors can only approximate the
standard V([lambda]) response due to limitations in the manufacturing
process. The parameter f1' describes the closeness of the spectral of
the photodetector measurements and the V([lambda]) function. The
parameter f1' should be within a certain tolerance, but a spectral
mismatch correction factor will be applied to the measured result
regardless. Therefore in this final rule, DOE concludes that the
inclusion of a specific tolerance for spectral match in IES LM-45-2009
would result in more consistent and precise measurements
[[Page 4208]]
but would not significantly affect lamp efficacy measurements.
---------------------------------------------------------------------------
\27\ The Commission International de l'Eclairage (CIE)
established the photopic luminous efficiency function as the
response curve of a standard observer. IESNA Lighting Handbook,
Ninth Edition (2000) p. 1-6.
---------------------------------------------------------------------------
In the NOPR, DOE had indicated that industry commonly considers a
value for f1' of less than five percent good commercial quality and a
value of less than three percent good laboratory/research quality.
Earthjustice asked why the laboratory research quality tolerance of
three percent for the f1' parameter was not proposed as the required
tolerance. (Earthjustice, Public Meeting Transcript, No. 7 at p. 37)
ICF commented that NVLAP certified laboratories must have two percent
tolerance and therefore, three and five percent tolerances would be
outside the acceptable range to remain accredited. (ICF, Public Meeting
Transcript, No. 7 at p. 38) Based on this information Earthjustice
suggested the requirement should be a tolerance of two percent.
(Earthjustice, Public Meeting Transcript, No. 7 at p. 38)
DOE has found no reason to lower the spectral match tolerance of
five percent established in IES LM-45-2009, a standard based on
industry consensus. First, DOE's research indicates that NVLAP does not
require a spectral match tolerance different from that prescribed in
IES LM-45-2009.\28\ DOE research shows that manufacturers already
employ at least commercial-grade instruments and, therefore, this five
percent specification would not pose an additional test burden.
Additionally, in certain cases achieving a three percent spectral match
is not possible. For example when using the integrating sphere
measurement method \29\ to take photometric measurements, the spectral
response of the whole sphere system involves factoring in the sphere
paint and the cosine diffuser, rather than just the spectral response
of the photodetector. Therefore, achieving a spectral match better than
three percent may be too difficult under such circumstances. DOE has
concluded that its test procedures do not need to establish a spectral
match tolerance different from that prescribed in IES LM-45-2009.
---------------------------------------------------------------------------
\28\ Assessment based on interviews with NVLAP and a test lab;
and a review of National Institute of Standards and Technology
(NIST) Handbook 150:2006 (NVLAP Procedures and General Requirements)
or NIST Handbook 150-1:2010-12 ed. (NVLAP Energy Efficient Lighting
Products).
\29\ An integrating sphere is a hollow sphere coated internally
with a matte finish, diffusing type material. Light enters the
sphere either through a port or by placing the light source inside
the sphere. The light is scattered uniformly around the interior of
the sphere and can be measured with a detector device connected to
the sphere through a port.
---------------------------------------------------------------------------
With regards to lamp stabilization,\30\ NEMA commented that test
lamps unable to meet the stabilization criteria as defined in IESNA LM-
45-2009 after five measurement cycles should not be disqualified from
the test group. Instead, NEMA suggested an analysis of the added
uncertainty of the measured performance parameters be taken into
account. (NEMA, No. 8 at p. 5) The lamp stabilization method specified
in IES LM-45-2009 prescribes continuing sets of five measurements until
the stabilization criterion is met. While the IES LM-45-2009 strongly
recommends this stabilization method, it also states that a different
method is permissible, but that its use should be noted in the test
report. DOE is adopting these instructions in IES LM-45-2009.
Therefore, as NEMA recommends in its comment, manufacturers can use a
variation of the prescribed stabilization method as long any details of
the variations from the prescribed methods are retained in the test
reports required under 10 CFR 429.71.
---------------------------------------------------------------------------
\30\ Lamp stabilization consists of seasoning a lamp and then
operating it until it reaches stabilization and temperature
equilibrium.
---------------------------------------------------------------------------
4. Test Procedures for Incandescent Reflector Lamps
As noted previously, in the NOPR, DOE did not propose updates to
DOE's test procedure for IRLs, which incorporates by reference IESNA
LM-20-1994.\31\ At the time of publication of the NOPR, a revised
edition of this industry standard had not been published. DOE also had
concluded in the NOPR analysis that there were no current best
practices or technical developments that necessitate modifications to
the existing test procedure. DOE did not receive any adverse comments
regarding this conclusion. Therefore, no amendments to IRL test
procedures have been adopted in this final rule.
---------------------------------------------------------------------------
\31\ ``IESNA Approved Method for Photometric Testing of
Reflector-Type Lamp,'' (approved Dec. 3, 1994).
---------------------------------------------------------------------------
Several interested parties noted that DOE will be evaluating the
use of an application efficacy metric for IRLs as part of a rulemaking
that is revising GSFL and IRL energy conservation standards. (76 FR
56678, September 14, 2011, see Framework Document available at http://www1.eere.energy.gov/buildings/appliance_standards/pdfs/gsfl_irl_ecs_framework.pdf) NEMA commented that efficiency and economic
comparisons across directional lamp technologies require the use of an
application efficacy metric. NEMA added that replacing the lumens per
watt metric with a new application efficacy metric for IRLs would
affect lamp efficacy values. (NEMA, No. 8 at p. 3) Interested parties
questioned whether the adoption of a new IRL metric would initiate
amendments to the existing IRL test procedures. (CA Utilities, Public
Meeting Transcript, No. 7 at p. 21, EEI, No. 7 at p. 36) If DOE decides
to adopt such a metric, it also will update the IRL test procedure
accordingly.
5. Summary of Changes Based on Updated Industry Standards
In the previous sections, DOE has addressed concerns raised
regarding the impacts of updates to industry standards incorporated by
reference relevant to this rulemaking. Based on its comparison of the
updated and older versions of these industry standards, DOE has
determined that the more recent versions do not make substantive
changes to test setup and methodology, but are clearer and can
potentially increase precision and consistency in measurements.
Further, DOE has concluded that adopting the latest industry standards
would not alter measured energy efficiency nor result in a test
procedure that is unduly burdensome to conduct.
Therefore, in this final rule, for GSFLs, DOE is inserting updated
references for ANSI C78.81-2003 and ANSI C78.81-2005 to ANSI C78.81-
2010 and IESNA LM-9-1999 to IES LM-9-2009. For GSILs, DOE is inserting
updated references for IESNA LM-45-2000 to IES LM-45-2009.
B. General Service Incandescent Lamp Lifetime Testing
Section 321 of EISA 2007 amended EPCA by prescribing minimum rated
lifetime \32\ requirements for GSILs, to be phased in between January
2012 and January 2014 (codified at 42 U.S.C. 6295(i)). Therefore, in
the NOPR, DOE proposed a test procedure for GSIL lifetime testing, so
that manufacturers can certify to DOE that their lamps meet these
minimum rated lifetime requirements. DOE received comments on the
following aspects of the proposed test procedure: (1) DOE's authority
to establish a test procedure; (2) adoption of IESNA LM-49-2001 as an
industry reference standard for DOE's GSIL lifetime test procedures;
(3) disapproval of accelerated lifetime testing; (4) addressing
lifetime measurement of
[[Page 4209]]
long-life lamps in a 12-month sampling period; (5) determination of
rated lifetime definition and appropriateness of the proposed sample
size; (6) certification requirements; (7) laboratory accreditation; and
(8) cost of GSIL lifetime testing.
---------------------------------------------------------------------------
\32\ DOE has decided to use the term ``rated lifetime'' rather
than ``rate lifetime,'' which is the term used in the statutory
standards for GSILs prescribed by EISA 2007. (42 U.S.C. 6295(i)) DOE
notes that ``rated'' is more commonly used in industry.
---------------------------------------------------------------------------
1. Authority To Establish Lifetime Test Procedure
NEMA questioned the authority of DOE to require a test procedure
for GSIL lifetime testing and opposed the expansion of GSIL test
requirements. (NEMA, No. 8 at p. 4; NEMA, Public Meeting Transcript,
No. 7 at pp. 60, 63-64) EPCA directs DOE to make a determination that a
test procedure should be prescribed that measures energy efficiency,
energy use, water use, or estimated annual operating cost of a covered
product. (42 U.S.C. 6293(3)) In this case, however, the test is needed
to calculate the minimum rated lifetime requirements set forth in ECPA.
(42 U.S.C. 6295 (i))
DOE must establish those test procedures necessary to address all
aspects of an energy conservation standard. Therefore, DOE has
concluded that it has the authority to establish a test procedure for
measuring lamp lifetime of GSILs.
NEMA objected to DOE regulating lamp lifetime which it considers a
product reliability metric that has no bearing on efficiency or energy
use and affects industry warranties. (NEMA, No. 8 at p. 3) DOE
acknowledges NEMA's objection to the lifetime standard, however, as
stated in section I, the minimum rated lifetime requirements for GSILs
were established by Congress when it passed EISA 2007.
2. Adoption of IESNA LM-49-2001
After conducting literature research and interviews with several
GSIL lifetime testing facilities in the NOPR analysis, DOE concluded
that IESNA LM-49-2001 is the appropriate industry standard for GSIL
lifetime testing. IESNA LM-49-2001 is commonly used in industry and
generally aligns with guidance in the IESNA Lighting Handbook.
Additionally, IESNA LM-49-2001 is also the standard referenced by the
Federal Trade Commission (FTC) in its regulations for product labeling
of GSILs, which could minimize testing burden for manufacturers in
terms of complying with both Federal energy conservation standards and
labeling requirements. 16 CFR 305.5(b) (For further details regarding
IESNA LM-49-2001 refer to the NOPR. 76 FR 56661, 56667-68.)
NEMA concurred with using IESNA LM-49-2001 as a reference. (NEMA,
No. 7 at p. 3) DOE did not receive any adverse comments regarding
adoption of IESNA LM-49-2001 as the industry reference standard for
measuring GSIL lifetime.
3. Accelerated Lifetime Testing
In the NOPR, DOE proposed to disallow the use of accelerated
lifetime testing in its test procedures. This method is permitted in
IESNA LM-49-2001 only for non-halogen GSILs. Accelerated lifetime
testing involves operating lamps at higher than rated voltage, thereby
forcing the lamp to fail faster than it would under normal operating
conditions. A scaling factor is then used to correlate the measured
accelerated lifetime to the lifetime at the rated voltage. (For more
details on DOE's analysis of accelerated lifetime testing refer to the
NOPR. 76 FR 56661, 56668.) NEMA agreed with DOE's proposal to disallow
accelerated lifetime testing. (NEMA, No. 8 at p. 3) Some interested
parties, noted below, questioned DOE's reasoning for not allowing this
method.
DOE proposed to disallow accelerated lifetime testing for several
reasons including that IESNA LM-49-2001 prescribes this methodology
only for non-halogen lamps, most of which will not meet January 2012
energy conservation standards. DOE did investigate the appropriateness
of using accelerated lifetime testing for halogen lamps that would pass
the January 2012 standards. DOE found the tungsten-halogen regenerative
cycle to be incompatible with accelerated lifetime testing because it
cannot achieve its purpose outside of a narrow range of temperatures.
The regenerative cycle, intended to increase lamp lifetime by
redepositing evaporated tungsten back onto the filament, must operate
only at certain operating temperatures. Deviations from the rated
voltage in accelerated testing would increase the operating temperature
outside this operating range and potentially alter performance or
introduce new modes of lamp failure. Therefore, DOE concluded that
lifetimes determined by operating halogen lamps at higher than rated
voltage would not reliably measure the actual lifetime.
In the October 2011 public meeting, however, Lutron and OSI
commented that the halogen regenerative cycle is critical only at low
voltages and temperatures, and is therefore not adversely affected by
the high temperature and overvoltage requirements of accelerated
lifetime testing. (Lutron, Public Meeting Transcript, No. 7 at p. 47;
OSI, Public Meeting Transcript, No. 7 at p. 47) DOE acknowledges that
the successful operation of the tungsten halogen regenerative cycle is
dependent on low temperatures but has found that high temperatures
attained when operating at higher than rated voltage as required in
accelerated testing are also an important factor. Operating halogen
lamps at higher than rated voltage increases filament temperature and
the rate of tungsten evaporation, which results in blackening of the
inside lamp wall. Subsequently, the glass temperature rises due to
increased infrared absorption and eventually causes the lamp to bulge
and leak. Therefore, DOE has concluded that operating halogen lamps at
higher than rated voltages and subsequently higher temperatures could
introduce modes of lamp failure and may invalidate any comparisons with
lamps operating at rated voltage. Hence, in this final rule, DOE
maintains the disallowance of accelerated lifetime testing for GSILs as
part of DOE test procedures.
P.R. China commented that DOE should adopt the transformation
accelerated lifetime testing requirements in IEC 60064-2007. P.R. China
cited the stipulation in Article 2.4 of the Technical Barriers to Trade
(TBT) agreement that the members should use international standards as
the basis of technical rules and regulations. P.R. China also suggested
that DOE employ a method similar to that of the International CFL
Harmonization Initiative to make the accelerated lifetime testing
standards for GSFLs, GSILs, and IRLs consistent across all countries.
(P.R. China, No. 9 at pp. 3-4) Since DOE is disallowing the use of
accelerated lifetime testing for GSILs, it will not be adopting any
test procedures for this methodology. DOE also notes that there is no
U.S. requirement for lifetime testing of GSFLs and IRLs.
4. Measuring Minimum Rated Lifetime
For GSIL lifetime testing, DOE is requiring testing a minimum of
three lamps per month each month of production for a minimum of seven
months out of a 12-month period. In the October 2011 public meeting,
Edison Electric Institute (EEI) expressed concerns that it would be
difficult to complete non-accelerated lifetime testing in one year for
halogen lamps that have rated lifetimes in the range of 4,000 and 6,000
hours. (EEI, Public Meeting Transcript, No. 7 at pp. 42-43) Measuring
the full lifetime of a 6,000-hour lamp would require about 250 days.
In today's final rule, DOE is requiring measurement up to the
minimum rated lifetime as prescribed by standards
[[Page 4210]]
specified in 42 U.S.C. 6295(i). The standards currently require all
GSILs to meet a minimum rated lifetime of 1,000 hours. For a model to
be in compliance with the prescribed minimum rated lifetime standard,
greater than 50 percent of the sample size must meet the minimum rated
lifetime required. Manufacturers should follow the procedures set forth
in IESNA LM-49-2001 (except for use of the accelerated lifetime testing
method) to execute the minimum rated lifetime measurements described
above.
5. ``Rated Lifetime'' Definition and Sample Size
In the NOPR, DOE proposed the following definition for rated
lifetime of general service incandescent lamps: The length of operating
time of a sample of lamps between first use and failure of 50 percent
of the sample size in accordance with test procedures described in
IESNA LM-49-2001. Interested parties voiced concern regarding the
method of measuring lamp lifetime set forth in the proposed definition.
NEMA stated that the failure rate is a measure of how many lamps
are failing per unit time at any given moment and that the 50 percent
failure rate is not the definition of median lamp lifetime. NEMA also
noted it was common industry practice to use distributional parametric
fits such as Weibull or lognormal functions for determining the best
estimate of median lifetime and recommended DOE allow the use of this
methodology. (NEMA, No. 8 at p. 3)
DOE is using the 50 percent failure rate methodology as it is
aligned with the general statutory definition of ``life'' or
``lifetime'' as the length of operating time of a statistically large
group of lamps between first use and failure of 50 percent of the group
(42 U.S.C. 6291(30)(P)). It also coincides with the definition in IESNA
LM-49-2001 which states in Section 1.2g that for life rating, the
applicable definition of median is the total operating time at which 50
percent of a large group of lamps is still expected to be operating.
Therefore, DOE is only revising the definition of rated lifetime for
GSILs to provide additional guidance. DOE is maintaining that the rated
lifetime is the length of operating time of a sample of lamps between
first use and failure of 50 percent of the sample size in accordance
with test procedures described in IESNA LM-49-2001. It is also
specifying that the operating time be based on the middle lamp
operating time for an odd-numbered sample size and the average
operating time of the two middle lamps for an even-numbered sample
size.
While NEMA agreed with DOE's proposed minimum sample size of 20
lamps, it stated if DOE adopted the 50 percent failure rate
determination for lifetime, the middle lamp of an odd number of samples
should be used. (NEMA, No. 8 at p.3-4) In the NOPR, DOE had proposed
the minimum sample size of 20 lamps in order to be consistent with the
already existing 21-lamp minimum sample size requirement for GSIL
performance testing. 10 CFR 429.27. DOE had chosen 20 samples (an even
number) instead of 21 samples in order to facilitate the calculation of
the 50 percent failure rate. DOE agrees, however, with NEMA that in
terms of determining the 50 percent failure at the median lamp
lifetime, an odd-numbered sample size is more appropriate. Therefore,
DOE is revising the minimum required sample size of 20 lamps proposed
in the NOPR to 21 lamps in this final rule.
As with the 21-sampling plan for GSIL performance testing, DOE will
require a minimum of three lamps per month each month of production for
a minimum of seven months out of a 12-month period. If lamp production
occurs in fewer than seven months out of the year, three or more lamps
will be selected for each month that production exists as evenly as
possible to meet the minimum 21 sample requirement. These seven months
do not need to be consecutive and can be any combination of seven
months out of the 12.
With regards to the sampling plan, NEMA stated that the existing
seven out of 12-month sampling requirement for performance testing
should not be the basis for the lifetime sampling requirement. (NEMA,
No. 8 at p. 4; Philips, No. 7 at p. 60) DOE notes that the seven out of
12-month sampling plan was developed with the input of interested
parties in a previous test procedure rulemaking on incandescent and
fluorescent performance testing. 62 FR 29221, 29229. This seven-month
sampling minimum ensures manufacturers are consistently producing lamps
that meet standards. DOE finds no reason to differentiate between the
performance and lifetime testing sampling plans. Further, using the
same sampling plan allows manufacturers the opportunity to test the
same sample set for measurements of lumen output, wattage, and
lifetime, thereby potentially reducing testing burden.
NEMA also recommended DOE require sampling from the initial
production run and thereby prevent fractionated lifetime testing of 12-
18 months' time. (NEMA, No. 8 at p. 4) Allowing testing up to the
minimum rated lifetime should shorten the time required for lifetime
testing. Hence, the continuation of lifetime tests for samples from the
last month of production into the following production year should be
limited. Therefore, DOE will not be requiring sampling from the initial
production run.
6. Certification Requirements
As mentioned previously, to ensure that DOE is in full compliance
with Section 315 of Public Law 112-74, DOE will not finalize in this
document provisions related to certifying lamps subject to that
provision of law. DOE may finalize those procedures at an appropriate
time in the future. Described below are issues raised in public comment
regarding certification. DOE would respond to these comments if it
finalizes these provisions in the future.
In the NOPR, DOE proposed establishing new model filing
requirements for GSIL testing similar to those in place for GSFLs and
IRLs. These requirements take into account the 12-month sampling
requirement for performance and lifetime testing of GSILs by allowing
manufacturers to submit an initial certification report prior to or
concurrent with distribution of the new model. This initial
certification report filing, describing how the manufacturer has
determined that the new model meets or exceeds energy conservation
standards, will allow manufacturers to distribute new models while
completing the 12-month sampling requirement for certification. This
initial report is followed by a final certification report, based on
the full sampling provisions, which is to be submitted one year after
the first date of manufacture of the new model.
Interested parties commented on the proposed certification
requirements for GSIL lifetime testing. NEMA requested that DOE accept
product compliance at 40 percent of required lifetime. NEMA also stated
that the testing should continue until completed and that any non-
compliant products should be removed from the market. (NEMA, No. 8 at
p. 3; NEMA, Public Meeting Transcript, No. 7 at p. 44-46) DOE finds
that the certification process for GSIL lifetime should not cause
delays in distribution since manufacturers can submit initial
certification reports and are not required to measure the full lifetime
of the lamp for compliance. DOE sees no reason to base certification on
40 percent compliance with the lifetime rating.
Instead of on an annual basis, which Phillips believed would pose a
[[Page 4211]]
significant burden, Philips stated that testing should be required only
once for the product unless the product goes through major changes.
(Philips, No. 7 at p. 51) NEMA also strongly recommended testing be
required only once and not annually. (NEMA, No. 8 at p. 3)
Regarding certification reports, Lutron requested clarification on
how DOE addresses discrepancies between the engineering analysis
submitted for the initial certification report and testing conducted
for the final certification reports. (Lutron, Public Meeting
Transcript, No. 7 at p. 58)
7. Laboratory Accreditation
In the NOPR, DOE proposed that facilities that conduct testing for
GSIL lifetime be accredited to NVLAP or an organization recognized by
NVLAP. DOE received several stakeholder comments regarding the burden
such accreditation would pose on manufacturers. First, NEMA stated the
NVLAP-accredited GSIL lifetime testing is a new requirement and
manufacturers' accredited laboratories have limited resources for GSIL
lifetime testing. Second, NEMA stated that most manufacturers test for
lifetime at factory lifetime test facilities that are not NVLAP
accredited. Further, these facilities would require significant
investment in order to become NVLAP accredited. (NEMA, No. 8 at p. 4)
NEMA noted that since NVLAP accredits to efficacy and lifetime
standards separately, lifetime testing can be performed at laboratories
at plant sites accredited only to the lifetime test standard.
Photometry and colorimetry testing would then occur at accredited
laboratories on sample sets taken from the same lots. NEMA, however,
emphasized costs would still be significant as each plant would need to
be accredited for lifetime testing. (NEMA, No. 8 at p. 5)
After further review, DOE has decided not to require NVLAP
accreditation for laboratories conducting GSIL lifetime testing. NVLAP
accreditation involves ensuring the laboratory is executing testing
according to industry reference standards and practices that include an
assessment of laboratory equipment and competency of personnel. DOE has
not found evidence that NVLAP accreditation for incandescent lifetime
testing, which does not require precise measurements, would provide
significant value. Further, as noted in the NOPR, NVLAP imposes fees of
$9,000 and $8,000 on years one and two of accreditation and
subsequently, fees alternate between $5,000 and $8,000, with the $8,000
fee corresponding to the on-site evaluation required every other year.
Based on the above comments, manufacturers plan to conduct performance
testing and lifetime testing at different laboratories, with lifetime
testing conducted at plant-level laboratories. These manufacturer-site
laboratories have no previous NVLAP accreditations. Hence,
manufacturers would have to obtain accreditation at each plant for
lifetime testing. DOE has concluded, therefore, that NVLAP
accreditation for GSIL lifetime testing would provide few benefits
compared to the added costs. Therefore, in this final rule, DOE is not
requiring manufacturers to conduct GSIL lifetime testing in a
laboratory accredited to NVLAP or an organization recognized by NVLAP.
DOE may, however, reevaluate the accreditation requirement for GSIL
lifetime testing at a later time.
DOE does require NVLAP accreditation for facilities conducting GSIL
energy performance measurements (e.g. lumen output, wattage, CRI) and
will continue to do so. The accuracy of such performance measurements
are highly dependent on precisely calibrated equipment and test
execution that appropriately follows industry reference standards and
practices. Further, manufacturers indicated they would be conducting
GSIL performance testing at laboratories that either already have NVLAP
accreditation for GSIL performance testing or NVLAP accreditation for
other test procedures. In cases where a laboratory has a NVLAP
accreditation, the cost of adding accreditation to another test
procedure is incremental.
DOE also received several comments regarding the procedural aspects
of NVLAP accreditation. ICF commented that IES withdraws test
procedures after ten years and therefore, IESNA LM-49-2001 may be out
of circulation at the end of 2011 posing a potential problem for
laboratories that are not already accredited to the test procedure.
(ICF, Public Meeting Transcript, No. 7 at p. 48) As indicated
previously, DOE will no longer be requiring NVLAP accreditation to the
GSIL lifetime test procedure. DOE notes that ten laboratories are
currently accredited by NVLAP to IESNA LM-49-2001 in the United States
and these laboratories will continue to be accredited to the test
procedure even after it is withdrawn. DOE also verified with NVLAP that
additional laboratories may become accredited to IESNA LM-49-2001 even
after it is withdrawn.
P.R. China noted that NVLAP and the China National Accreditation
Service (CNAS) signed the International Laboratory Accreditation
Cooperation (ILAC) Mutual Recognition Arrangement to accredit testing
laboratories based on ISO/IEC 17025. P.R. China requested that DOE
allow CNAS accredited laboratories for lifetime and efficiency testing
in order to reduce the testing burden. (P.R. China, No. 9 at p. 3) As
discussed above, DOE is removing the requirement that GSIL lifetime
testing must be conducted at an NVLAP or NVLAP-recognized organization
and therefore P.R. China's concerns are unwarranted. DOE does, however,
continue to require GSIL performance testing be completed at a
laboratory accredited by NVLAP or a NVLAP-recognized organization,
which includes foreign laboratories accredited by foreign accrediting
bodies that have mutual recognition agreements through ILAC with NVLAP.
62 FR 29221, 29235
P.R. China also stated that DOE's requirement for NVLAP
certification on energy performance tests does not conform to relevant
international agreements including Article 2.2 of the TBT which states
that members should ensure that adopted technical rules and regulations
do not cause unnecessary barriers to international trade. P.R. China
suggested that DOE reconsider this certification requirement or provide
the scientific basis for it. (P.R. China, No. 9 at p. 4) P.R. China
also stated this final rule should become effective after DOE performs
a review of the mutual laboratory qualification recognition procedures
of World Trade Organization (WTO) member states. P.R. China suggested
this approach as a way for DOE to comply with Article 6.3 of the TBT
which encourages member states to come to an agreement on recognizing
each other's qualification evaluation procedures. (P.R. China, No. 9 at
pp. 3-4)
As stated previously, DOE's existing requirements necessitate test
facilities that conduct performance testing be NVLAP-accredited or
accredited by an organization recognized by NVLAP. This allows for
other accreditation organizations that entered into mutual recognition
agreements through ILAC with NVLAP to also perform testing. DOE has
therefore concluded that the accreditation requirement is not causing
trade barriers. Further, DOE finds any additional review of mutual
qualification recognition procedures to be unnecessary due to the
mutual recognition agreements with NVLAP.
8. GSIL Lifetime Testing Costs
DOE received several comments regarding the burden posed by the
cost of GSIL lifetime testing on manufacturers. Philips commented that
this cost would pose significant burden
[[Page 4212]]
on both small and large manufacturers. OSI added that for larger
manufacturers the cost would be applicable at each manufacturing
location. (Philips, Public Meeting Transcript, No. 7 at p. 62; OSI,
Public Meeting Transcript, No. 7 at p. 62) NEMA contended DOE had
underestimated GSIL lifetime testing costs in the NOPR. NEMA's own
estimates suggest it would require a total initial investment of
$133,000 and labor costs per year of $60,000 to test 100 basic models
at an accredited lifetime test facility with a minimum of 2,000
lifetime test spaces. NEMA noted that most major manufacturers have a
portfolio comprising more than 100 products. Additionally, NEMA
emphasized preparation for lifetime testing was a significant
investment that would have to be incurred in the near future for a
mature technology that is being phased out in many areas. (NEMA, No. 8
at pp. 4-5). NEMA also stated that since these costs were not small for
large manufacturers that they would pose a significant burden for
smaller manufacturers. (NEMA, No. 8 at p. 4)
For this final rule, DOE conducted an independent calculation of
GSIL lifetime testing costs. As in the NOPR, DOE based this estimate on
the use of a still camera with a programmable snapshot system to record
lamp operation. This is less labor intensive and costly than in person
inspection. DOE's estimate of initial investment costs included
installation labor and equipment for the lamp test racks, voltage
regulator, and camera-based monitoring system. DOE also estimated labor
costs for conducting the lifetime testing based on an hourly rate of
$100. DOE then developed three separate cost estimates each for a
manufacturer producing four, 50, and 100 models and adhering to the
sampling requirement of 21 lamps per model. As mentioned in the NOPR,
DOE had determined that small manufacturers of GSILs produce anywhere
from four to 50 models. Further, DOE found that 100 models was a valid
representation for large manufacturer production of general service
incandescent lamps.
While NEMA's estimate assumed testing would be conducted for all
models at once, DOE's calculations were based on a staggered test
approach. DOE determined that over the course of a year, 1,000-hour
lifetime tests for four models could be completed with one rack; 50
models with two racks; and 100 models with three racks. For comparison
purposes, DOE scaled NEMA's estimates which were based on 20 racks (or
testing 100 models at once) down to using one, two and three racks. For
four models (one rack), NEMA's scaled-down estimate was about $10,000
while DOE's estimate was $13,000. NEMA's scaled-down estimate for 50
models (two racks) was about $20,000 and DOE's estimate was $63,000.
NEMA's scaled-down estimate for 100 models (three racks) was $29,000
and DOE's estimate was $118,000.
Based on DOE's higher estimates, a small manufacturer producing 50
models would have to make an initial investment cost of about $20,000
and incur labor costs of about $40,000. In subsequent years, testing
costs would be much smaller because only new products or substantially
redesigned products would need to be tested. Assuming a conservative
estimate of $1 million in revenue for a small business, initial testing
costs would represent about six percent of revenue, but when amortized
over subsequent years with little or no testing, testing costs would
account for a smaller percentage of revenue. In addition, some
businesses may already have lifetime data that could be used for
representation purposes from previously completed FTC labeling testing.
Based on these estimates, DOE has concluded that GSIL lifetime testing
costs would not pose a substantial burden on small manufacturers. See
section IV.B for further analysis of the impacts of this final rule on
small manufacturers.
For a large manufacturer producing 100 models, DOE estimates an
initial investment cost of $32,000 and about $86,000 for labor costs.
This total cost is a negligible percentage of a large manufacturer's
revenue. Therefore, based on these estimates, DOE has concluded that
GSIL lifetime testing would not pose a substantial burden on large
manufacturers.
With regards to testing burden, Philips also commented that when
considering the products and testing requirements covered in the NOPR,
DOE needed to either reduce the number of products that need to be
tested or the testing requirements. (Philips, Public Meeting
Transcript, No. 7 at p. 63-64) All products covered by standards must
be tested for the purpose of compliance. (42 U.S.C. 6295(s)) DOE's test
requirements ensure that compliance with these standards can be
verified.
9. Summary of GSIL Lifetime Testing
As specified in the sections above, DOE is incorporating IESNA LM-
49-2001 as the industry reference standard in this lifetime test
procedure, defining rated lifetime, prescribing a minimum sample size
of 21, and establishing laboratory accreditation requirements.
C. Effective Date for the Amended Test Procedures
The effective date for these test procedure amendments would be 30
days after publication of the test procedure final rule in the Federal
Register. At that time, manufacturers and importers of covered GSFLs,
IRLs, and GSILs may use the amended test procedure for making
representations of the energy efficiency or energy consumption of each
basic model. Additionally, for GSFLs and IRLs, manufacturers may use
the amended test procedure or the existing test procedures to certify
compliance with DOE's test procedure.
The compliance date for making any representations of the energy
efficiency or energy consumption derived from the revised version of
the test procedure for GSFLs, IRLs, and GSILs is 180 days from the date
of publication of the test procedure final rule in the Federal
Register. On or after that date, any manufacturer representations,
including those made on marketing materials and product labels, must be
based upon results generated under these new and amended test
procedures and the applicable sampling plans.
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
The Office of Management and Budget has determined that test
procedure rulemakings do not constitute ``significant regulatory
actions'' under section 3(f) of Executive Order 12866, Regulatory
Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this
action was not subject to review under the Executive Order by the
Office of Information and Regulatory Affairs (OIRA) in the Office of
Management and Budget (OMB).
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis (IFRA) for
any rule that by law must be proposed for public comment, unless the
agency certifies that the rule, if promulgated, will not have a
significant economic impact on a substantial number of small entities.
As required by Executive Order 13272, ``Proper Consideration of Small
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE
published procedures and policies on February 19, 2003, to ensure that
the potential impacts of its rules on small entities are properly
considered during the DOE rulemaking process. 68 FR 7990. DOE
[[Page 4213]]
has made its procedures and policies available on the Office of the
General Counsel's Web site: www.gc.doe.gov.
Today's final rule will adopt test procedure provisions for GSFLs
and GSILs, primarily through updates to industry testing standards, as
well as specification of a procedure for testing GSIL lifetime. DOE has
reviewed the final rule under the provisions of the Regulatory
Flexibility Act and the policies and procedures published on February
19, 2003. For the reasons explained below, DOE certifies that the test
procedure adopted in today's final rule would not have a significant
economic impact on a substantial number of small entities.
The Small Business Administration (SBA) has set a size threshold
for manufacturers of GSFLs, GSILs, and IRLs that defines those entities
classified as ``small businesses'' for the purposes of the Regulatory
Flexibility Analysis. DOE used the SBA's small business size standards
to determine whether any small manufacturers of GSFLs, GSILs, and IRLs
would be subject to the requirements of the rule. 65 FR 30836, 30849
(May 15, 2000), as amended at 65 FR 53533, 53545 (Sept. 5, 2000) and
codified at 13 CFR part 121. The size standards are listed by North
American Industry Classification System (NAICS) code and industry
description and are available at www.sba.gov/sites/default/files/Size_Standards_Table.pdf. GSFL, GSIL, and IRL manufacturing is classified
under NAICS 335110, ``Electric Lamp Bulb and Part Manufacturing.'' The
SBA sets a threshold of 1,000 employees or less for an entity to be
considered as a small business for this category.
For this rulemaking, DOE determined the number of small business
U.S. manufacturers of covered GSFLs, GSILs, and IRLs. First, DOE
compiled a preliminary list of potential small business manufacturers
of GSFLs, GSILs, and IRLs by searching the Hoover's and the SBA
databases and also conducting general searches of the covered products.
DOE then sought to determine if the companies identified actually
manufactured the covered lamp types. From among the potential GSFL
small business manufacturers initially identified, DOE was able to
determine by reviewing the company Web sites that only one company
qualified as a small business U.S. manufacturer of covered GSFLs.
Similarly, DOE was also able to determine by reviewing company Web
sites that there were no small business U.S. manufacturers of covered
IRLs. These results for the number of GSFL and IRL small business U.S.
manufacturers is the same as determined in the 2009 GSFL and IRL
standards rulemaking. 74 FR 34080, 34174 (July 14, 2009). For GSILs,
DOE reviewed company Web sites and contacted companies as necessary and
identified six small business U.S. manufacturers of covered GSILs.
DOE has determined that the updated versions of the industry test
methods for GSFLs and GSILs performance testing adopted in this final
rule would not result in significant changes in test setup and
methodology. The changes in these updated versions modify certain
specifications such as impedance thresholds, voltage and current
regulations and provide additional guidance on methods such as lamp
stabilization. However, the updates are not making fundamental changes
as to how GSFL or GSIL performance testing is conducted. Therefore, DOE
has concluded that these changes will not add a significant amount of
testing time or require additional test equipment. Further, DOE is not
making any revisions to the IRL performance test procedure as there are
no relevant updates to industry test methods, current best practices,
or technical developments that necessitate modifications. Therefore,
DOE has concluded that there will not be a significant economic impact
on small business manufacturers of GSFLs, GSILs, and IRLs with regards
to performance testing.
For the GSIL lifetime test procedure, DOE determined that GSIL
small manufacturers are producing anywhere from four to 50 models of
GSILs and provided cost estimates including labor for conducting the
testing. DOE received several comments regarding these cost estimates
and for this final rule reassessed these estimates for small business
manufacturers.
Based on DOE's estimates for this final rule, a small manufacturer
producing 50 models would have to make an initial investment cost of
about $20,000 and incur labor costs of about $40,000. The details of
this cost estimate are provided in section III.B.8. In subsequent
years, testing costs would be much smaller because only new products or
redesigned products would need to be tested. Assuming a conservative
estimate of $1 million in revenue for a small business, initial testing
costs would represent about six percent of revenue, but when amortized
over subsequent years with little or no testing, testing costs would
account for a lesser percentage of revenue. In addition, some
businesses may already have lifetime data from previously completed FTC
labeling testing. Based on these reassessed costs, DOE has concluded
that the GSIL lifetime test procedure prescribed in this final rule
will not result in a significant economic impact on small
manufacturers.
Accordingly, DOE has not prepared a regulatory flexibility analysis
for this rulemaking. DOE's certification and supporting statement of
factual basis has been provided to the Chief Counsel for Advocacy of
the SBA for review under 5 U.S.C. 605(b). DOE certifies that this rule
would have no significant impact on a substantial number of small
entities.
C. Review Under the Paperwork Reduction Act of 1995
The collection-of-information requirement applicable to this
rulemaking has been approved by OMB under OMB control number 1910-1400.
Public reporting burden for the certification is estimated to average
20 hours per response, including the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.
D. Review Under the National Environmental Policy Act of 1969
In this final rule, DOE amends its test procedure for GSFLs, GSILs,
and IRLs. DOE has determined that this rule falls into a class of
actions that are categorically excluded from review under the National
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE's
implementing regulations at 10 CFR part 1021. Specifically, this rule
amends an existing rule without affecting the amount, quality or
distribution of energy usage, and, therefore, will not result in any
environmental impacts. Thus, this rulemaking is covered by Categorical
Exclusion A5 under 10 CFR part 1021, subpart D, which applies to any
rulemaking that interprets or amends an existing rule without changing
the environmental effect of that rule. Accordingly, neither an
environmental assessment nor an environmental impact statement is
required.
E. Review Under Executive Order 13132
Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999)
imposes certain requirements on agencies
[[Page 4214]]
formulating and implementing policies or regulations that preempt State
law or that have Federalism implications. The Executive Order requires
agencies to examine the constitutional and statutory authority
supporting any action that would limit the policymaking discretion of
the States and to carefully assess the necessity for such actions. The
Executive Order also requires agencies to have an accountable process
to ensure meaningful and timely input by State and local officials in
the development of regulatory policies that have Federalism
implications. On March 14, 2000, DOE published a statement of policy
describing the intergovernmental consultation process it will follow in
the development of such regulations. 65 FR 13735. DOE examined this
final rule and determined that it will not have a substantial direct
effect on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government. EPCA governs
and prescribes Federal preemption of State regulations as to energy
conservation for the products that are the subject of today's final
rule. States can petition DOE for exemption from such preemption to the
extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297(d))
No further action is required by Executive Order 13132.
F. Review Under Executive Order 12988
Regarding the review of existing regulations and the promulgation
of new regulations, section 3(a) of Executive Order 12988, ``Civil
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal
agencies the general duty to adhere to the following requirements: (1)
Eliminate drafting errors and ambiguity; (2) write regulations to
minimize litigation; (3) provide a clear legal standard for affected
conduct rather than a general standard; and (4) promote simplification
and burden reduction. Section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation: (1) Clearly specifies the
preemptive effect, if any; (2) clearly specifies any effect on existing
Federal law or regulation; (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction;
(4) specifies the retroactive effect, if any; (5) adequately defines
key terms; and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
sections 3(a) and 3(b) to determine whether they are met or it is
unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
this final rule meets the relevant standards of Executive Order 12988.
G. Review Under the Unfunded Mandates Reform Act of 1995
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA)
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments and the
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a regulatory action resulting in a rule that may cause the
expenditure by State, local, and Tribal governments, in the aggregate,
or by the private sector of $100 million or more in any one year
(adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under UMRA. 62 FR 12820; also available
at http://www.gc.doe.gov. DOE examined today's final rule according to
UMRA and its statement of policy and determined that the rule contains
neither an intergovernmental mandate, nor a mandate that may result in
the expenditure of $100 million or more in any year, so these
requirements do not apply.
H. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any rule that may affect family well-being.
Today's final rule will not have any impact on the autonomy or
integrity of the family as an institution. Accordingly, DOE has
concluded that it is not necessary to prepare a Family Policymaking
Assessment.
I. Review Under Executive Order 12630
DOE has determined, under Executive Order 12630, ``Governmental
Actions and Interference with Constitutionally Protected Property
Rights'' 53 FR 8859 (March 18, 1988), that this regulation will not
result in any takings that might require compensation under the Fifth
Amendment to the U.S. Constitution.
J. Review Under Treasury and General Government Appropriations Act,
2001
Section 515 of the Treasury and General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most
disseminations of information to the public under guidelines
established by each agency pursuant to general guidelines issued by
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has
reviewed today's final rule under the OMB and DOE guidelines and has
concluded that it is consistent with applicable policies in those
guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OMB,
a Statement of Energy Effects for any significant energy action. A
``significant energy action'' is defined as any action by an agency
that promulgated or is expected to lead to promulgation of a final
rule, and that: (1) Is a significant regulatory action under Executive
Order 12866, or any successor order; and (2) is likely to have a
significant adverse effect on the supply, distribution, or use of
energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any significant energy action, the
agency must give a detailed statement of any adverse effects on energy
supply, distribution, or use if the regulation is implemented, and of
reasonable alternatives to the action and their expected benefits on
energy supply, distribution, and use.
Today's regulatory action is not a significant regulatory action
under Executive Order 12866. Moreover, it would not have a significant
adverse effect on the supply, distribution, or use of energy, nor has
it been designated as a significant energy action by the Administrator
of OIRA. Therefore, it is not a significant energy action, and,
[[Page 4215]]
accordingly, DOE has not prepared a Statement of Energy Effects.
L. Review Under Section 32 of the Federal Energy Administration Act of
1974
Under section 301 of the Department of Energy Organization Act
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the
Federal Energy Administration Act of 1974, as amended by the Federal
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA)
Section 32 essentially provides in relevant part that, where a proposed
rule authorizes or requires use of commercial standards, the notice of
proposed rulemaking must inform the public of the use and background of
such standards. In addition, section 32(c) requires DOE to consult with
the Attorney General and the Chairman of the Federal Trade Commission
(FTC) concerning the impact of the commercial or industry standards on
competition.
The final rule incorporates testing methods contained in the
following commercial standards: IES LM-9-2009, ``IES Approved Method
for Electrical and Photometric Measurements of Fluorescent Lamps;'' IES
LM-45-2009, ``IES Approved Method for Electrical and Photometric
Measurement of General Service Incandescent Filament Lamps;'' IESNA LM-
49-2001, ``IESNA Approved Method for Life Testing of Incandescent
Filament Lamps;'' and ANSI C78.81-2010, ``American National Standard
for Electric Lamps--Double-Capped Fluorescent Lamps--Dimensional and
Electrical Characteristics.'' DOE has consulted with both the Attorney
General and the Chairman of the FTC about the impact on competition of
using the methods contained in these standards and has received no
comments objecting to their use.
M. Congressional Notification
As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of today's rule before its effective date. The report will
state that it has been determined that the rule is not a ``major rule''
as defined by 5 U.S.C. 804(2).
N. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this final
rule.
List of Subjects
10 CFR Part 429
Administrative practice and procedure, Buildings and facilities,
Business and industry, Energy conservation, Grants programs--energy,
Housing, Reporting and recordkeeping requirements, Technical
assistance.
10 CFR Part 430
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Incorporation by reference, Intergovernmental relations, Small
businesses.
Issued in Washington, DC, on December 21, 2011.
Kathleen B. Hogan,
Deputy Assistant Secretary, Energy Efficiency and Renewable Energy.
For the reasons stated in the preamble, DOE amends parts 429 and
430 of Chapter II of title 10 of the Code of Federal Regulations to
read as set forth below:
PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT
0
1. The authority citation for part 429 continues to read as follows:
Authority: 42 U.S.C. 6291-6317.
0
2. Section 429.27 is amended by
0
a. Removing in paragraph (a)(2)(i) first sentence, ``, general service
incandescent lamp,'';
0
b. Adding in paragraph (a)(2)(ii) introductory text ``and general
service incandescent lamp'' after ``general service fluorescent lamp'';
and removing the words, ``paragraph (a)(2)(i)'' and adding in their
place, the words, ``paragraphs (a)(2)(i) and (a)(2)(iii)''; and
0
c. Adding new paragraphs (a)(2)(iii) and (a)(2)(iv).
The additions read as follows:
Sec. 429.27 General service fluorescent lamps, general service
incandescent lamps, and incandescent reflector lamps.
(a) * * *
(2) * * *
(iii) For each basic model of general service incandescent lamp,
for measurements of rated wattage and rated lumen output, samples of
production lamps shall be obtained from a 12-month period, tested, and
the results averaged. A minimum sample of 21 lamps shall be tested. The
manufacturer shall randomly select a minimum of three lamps from each
month of production for a minimum of 7 out of the 12-month period. In
the instance where production occurs during fewer than 7 of such 12
months, the manufacturer shall randomly select 3 or more lamps from
each month of production, where the number of lamps selected for each
month shall be distributed as evenly as practicable among the months of
production to attain a minimum sample of 21 lamps. Any represented
value of rated wattage of a basic model shall be based on the sample
and shall be greater than or equal to the higher of:
(A) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TR27JA12.003
and, x is the sample mean; n is the number of samples; and
xi is the ith sample; Or,
(B) The upper 95 percent confidence limit (UCL) of the true mean
divided by 1.03, where:
[GRAPHIC] [TIFF OMITTED] TR27JA12.004
and x is the sample mean; s is the sample standard deviation; n is the
number of samples; and t0.95 is the t statistic for a 95%
two-tailed confidence interval with n-1 degrees of freedom (from
Appendix A to this subpart).
(iv) For each basic model of general service incandescent lamp, for
measurements of rated lifetime, a minimum sample of 21 lamps shall be
tested. The manufacturer shall randomly select a minimum of three lamps
from each month of production for a minimum of 7 out of the 12-month
period. In the instance where production occurs during fewer than 7 of
such 12 months, the manufacturer shall randomly select three or more
lamps from each month of production, where the number of lamps selected
for each month shall be distributed as evenly as practicable among the
months of production to attain a minimum sample of 21 lamps. The
lifetime shall be represented as the length of operating time between
first use and failure of 50 percent of the sample size, in accordance
with test procedures described in section 4.2 of Appendix R to subpart
B of part 430 of this chapter. Compliance will be determined by the
percentage of sample size that meets the minimum rated lifetime.
* * * * *
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
0
3. The authority citation for part 430 continues to read as follows:
Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.
4. Section 430.2 is amended by:
0
a. Removing in paragraph (2) of the definition of ``Colored fluorescent
[[Page 4216]]
lamp'' the words ``IESNA LM-9'' and adding in its place ``IES LM-9'';
and
0
b. Adding in alphabetical order the definition of ``Rated lifetime for
general service incandescent lamps'' to read as follows:
Sec. 430.2 Definitions.
* * * * *
Rated lifetime for general service incandescent lamps means the
length of operating time of a sample of lamps (as defined in Sec.
429.27(a)(2)(iv) of this chapter) between first use and failure of 50
percent of the sample size in accordance with test procedures described
in IESNA LM-49 (incorporated by reference; see Sec. 430.3), as
determined in section 4.2 of Appendix R of this subpart. The operating
time is based on the middle lamp operating time for an odd number of
samples and the average operating time of the two middle lamps for an
even number of samples.
* * * * *
0
5. Section 430.3 is amended by:
0
a. Removing paragraph (c)(5) and redesignating paragraphs (c)(6)
through (c)(19) as paragraphs (c)(5) through (c)(18);
0
b. Revising the newly redesignated paragraph (c)(5);
0
c. Revising paragraphs (k)(2) and (k)(5); and
0
d. Redesignating paragraph (k)(6) as (k)(7) and adding new paragraph
(k)(6).
The revisions and additions read as follows:
Sec. 430.3 Materials incorporated by reference.
* * * * *
(c) ANSI. * * *
(5) ANSI--ANSLG C78.81-2010, (``ANSI C78.81''), American National
Standard for Electric Lamps--Double-Capped Fluorescent Lamps--
Dimensional and Electrical Characteristics, approved January 14, 2010,
IBR approved for Sec. 430.2, Sec. 430.32, appendix Q, appendix Q1,
and appendix R to subpart B.
* * * * *
(k) IESNA. * * *
(2) IES LM-9-09, (``IES LM-9''), IES Approved Method for the
Electrical and Photometric Measurement of Fluorescent Lamps, approved
January 31, 2009; IBR approved for Sec. 430.2 and appendix R to
subpart B.
* * * * *
(5) IES LM-45-09, (``IES LM-45''), IES Approved Method for the
Electrical and Photometric Measurement of General Service Incandescent
Filament Lamps, approved December 14, 2009; IBR approved for appendix R
to subpart B.
(6) IESNA LM-49-01 (``IESNA LM-49''), IESNA Approved Method for
Life Testing of Incandescent Filament Lamps, approved December 1, 2001,
IBR approved for Sec. 430.2 and appendix R to subpart B.
* * * * *
0
6. Section 430.23 is amended by adding paragraph (r)(6) to read as
follows:
Sec. 430.23 Test procedures for the measurement of energy and water
consumption.
* * * * *
(r) * * *
(6) The rated lifetime for general service incandescent lamps shall
be measured in accordance with test procedures described in section 4.2
of Appendix R of this chapter. A lamp shall be compliant with standards
if greater than 50 percent of the sample size specified in Sec. 429.27
meets the minimum rated lifetime as specified by energy conservations
standards for general service incandescent lamps.
* * * * *
0
7. Section 430.25 is revised to read as follows:
Sec. 430.25 Laboratory Accreditation Program.
Testing for fluorescent lamp ballasts performed in accordance with
appendix Q1 to this subpart shall comply with this Sec. 430.25. The
testing for general service fluorescent lamps, general service
incandescent lamps, and incandescent reflector lamps shall be performed
in accordance with Appendix R to this subpart. The testing for medium
base compact fluorescent lamps shall be performed in accordance with
Appendix W of this subpart. This testing, with the exception of
lifetime testing of general service incandescent lamps, shall be
conducted by test laboratories accredited by the National Voluntary
Laboratory Accreditation Program (NVLAP) or by an accrediting
organization recognized by NVLAP. NVLAP is a program of the National
Institute of Standards and Technology, U.S. Department of Commerce.
NVLAP standards for accreditation of laboratories that test for
compliance with standards for fluorescent lamp ballast luminous
efficiency (BLE), lamp efficacy, lamp lifetime, and fluorescent lamp
CRI are set forth in 15 CFR part 285. A manufacturer's or importer's
own laboratory, if accredited, may conduct the applicable testing.
Testing for BLE may also be conducted by laboratories accredited by
Underwriters Laboratories or Council of Canada. Testing for fluorescent
lamp ballasts performed in accordance with Appendix Q to this subpart
is not required to be conducted by test laboratories accredited by
NVLAP or an accrediting organization recognized by NVLAP.
0
8. Appendix Q to subpart B of part 430 is amended by revising sections
1.5 through 1.10 and 2.1 to read as follows:
Appendix Q to Subpart B of Part 430--Uniform Test Method for Measuring
the Energy Consumption of Fluorescent Lamp Ballasts
1. Definitions
* * * * *
1.5 F40T12 lamp means a nominal 40 watt tubular fluorescent lamp
which is 48 inches in length and one and a half inches in diameter,
and conforms to ANSI C78.81 (Data Sheet 7881-ANSI-1010-1)
(incorporated by reference; see Sec. 430.3).
1.6 F96T12 lamp means a nominal 75 watt tubular fluorescent lamp
which is 96 inches in length and one and a half inches in diameter,
and conforms to ANSI C78.81 (Data Sheet 7881-ANSI-3007-1)
(incorporated by reference; see Sec. 430.3).
1.7 F96T12HO lamp means a nominal 110 watt tubular fluorescent
lamp that is 96 inches in length and one and a half inches in
diameter, and conforms to ANSI C78.81 (Data Sheet 7881-ANSI-1019-1)
(incorporated by reference; see Sec. 430.3).
1.8 F34T12 lamp (also known as a ``F40T12/ES lamp'') means a
nominal 34 watt tubular fluorescent lamp that is 48 inches in length
and one and a half inches in diameter, and conforms to ANSI C78.81
(Data Sheet 7881-ANSI-1006-1) (incorporated by reference; see Sec.
430.3).
1.9 F96T12/ES lamp means a nominal 60 watt tubular fluorescent
lamp that is 96 inches in length and one and a half inches in
diameter, and conforms to ANSI C78.81 (Data Sheet 7881-ANSI-3006-1)
(incorporated by reference; see Sec. 430.3).
1.10 F96T12HO/ES lamp means a nominal 95 watt tubular
fluorescent lamp that is 96 inches in length and one and a half
inches in diameter, and conforms to ANSI C78.81 (Data Sheet 7881-
ANSI-1017-1) (incorporated by reference; see Sec. 430.3).
* * * * *
2. Test Conditions.
2.1 Measurement of Active Mode Energy Consumption, BEF. The test
conditions for testing fluorescent lamp ballasts shall be done in
accordance with ANSI C82.2 (incorporated by reference; see Sec.
430.3). Any subsequent amendment to this standard by the standard
setting organization will not affect the DOE test procedures unless
and until amended by DOE. The test conditions for measuring active
mode energy consumption are described in sections 4, 5, and 6 of
ANSI C82.2. The test conditions described in this section (2.1) are
applicable to section 3.1 of section 3, Test Method and
Measurements. For section 2.1 and 3, ANSI C78.81 (incorporated by
reference; see Sec. 430.3), ANSI C82.1 (incorporated by reference;
see Sec. 430.3), ANSI C82.11 (incorporated by reference; see Sec.
430.3), and ANSI C82.13 (incorporated by reference; see Sec. 430.3)
shall be used when applying ANSI
[[Page 4217]]
C82.2 instead of the versions listed as normative references in ANSI
C82.2.
* * * * *
0
9. Appendix Q1 to subpart B of part 430 is amended by revising sections
2.1, 2.3.1, and 2.4.1 to read as follows:
Appendix Q1 to Subpart B of Part 430--Uniform Test Method for Measuring
the Energy Consumption of Fluorescent Lamp Ballasts
* * * * *
2. Active Mode Procedure
2.1. Where ANSI C82.2 (incorporated by reference; see Sec.
430.3) references ANSI C82.1-1997, the operator shall use ANSI C82.1
(incorporated by reference; see Sec. 430.3) for testing low-
frequency ballasts and shall use ANSI C82.11 (incorporated by
reference; see Sec. 430.3) for testing high-frequency ballasts. In
addition when applying ANSI C82.2, ANSI C78.81 (incorporated by
reference; see Sec. 430.3), ANSI C82.1, ANSI C82.11, and ANSI
C82.13 (incorporated by reference; see Sec. 430.3) shall be used
instead of the versions listed as normative references in ANSI
C82.2.
* * * * *
2.3. Test Setup
2.3.1. The ballast shall be connected to a main power source and
to the fluorescent lamp load according to the manufacturer's wiring
instructions and ANSI C82.1 (incorporated by reference; see Sec.
430.3) and ANSI C78.81 (incorporated by reference; see Sec. 430.3).
* * * * *
2.4. Test Conditions
2.4.1. The test conditions for testing fluorescent lamp ballasts
shall be done in accordance with ANSI C82.2 (incorporated by
reference; see Sec. 430.3). DOE further specifies that the
following revisions of the normative references indicated in ANSI
C82.2 should be used in place of the references directly specified
in ANSI C82.2: ANSI C78.81 (incorporated by reference; see Sec.
430.3), ANSI C82.1 (incorporated by reference; see Sec. 430.3),
ANSI C82.3 (incorporated by reference; see Sec. 430.3), ANSI C82.11
(incorporated by reference; see Sec. 430.3), and ANSI C82.13
(incorporated by reference; see Sec. 430.3). All other normative
references shall be as specified in ANSI C82.2.
* * * * *
0
10. Appendix R to subpart B of part 430 is amended by:
0
a. Revising sections 2.1, 2.9, 3.1, 3.2, 4.1.1, 4.2.1, 4.2.2, and,
4.4.1;
0
b. Adding new sections 4.2.3 and 4.2.3.1; and
0
c. Removing section 4.5.
The revisions and additions read as follows:
Appendix R to Subpart B of Part 430--Uniform Test Method for Measuring
Average Lamp Efficacy (LE), Color Rendering Index (CRI), Correlated
Color Temperature (CCT), and Lamp Lifetime of Electric Lamps
* * * * *
2. Definitions
2.1 To the extent that definitions in the referenced IESNA and
CIE standards do not conflict with the DOE definitions, the
definitions specified in section 3.0 of IES LM-9 (incorporated by
reference; see Sec. 430.3), section 3.0 of IESNA LM-20
(incorporated by reference; see Sec. 430.3), section 3.0 and the
Glossary of IES LM-45 (incorporated by reference; see Sec. 430.3),
section 2 of IESNA LM-58 (incorporated by reference; see Sec.
430.3), and Appendix 1 of CIE 13.3 (incorporated by reference; see
Sec. 430.3) shall be included.
* * * * *
2.9 Reference condition means the test condition specified in
IES LM-9 for general service fluorescent lamps, in IESNA LM-20 for
incandescent reflector lamps, and in IES LM-45 for general service
incandescent lamps.
3. Test Conditions
3.1 General Service Fluorescent Lamps: For general service
fluorescent lamps, the ambient conditions of the test and the
electrical circuits, reference ballasts, stabilization requirements,
instruments, detectors, and photometric test procedure and test
report shall be as described in the relevant sections of IES LM-9
(incorporated by reference; see Sec. 430.3).
3.2 General Service Incandescent Lamps: For general service
incandescent lamps, the selection and seasoning (initial burn-in) of
the test lamps, the equipment and instrumentation, and the test
conditions shall be as described in IES LM-45 (incorporated by
reference; see Sec. 430.3).
* * * * *
4. Test Methods and Measurements * * *
4.1.1 The measurement procedure shall be as described in IES LM-
9 (incorporated by reference; see Sec. 430.3), except that lamps
shall be operated at the appropriate voltage and current conditions
as described in ANSI C78.375 (incorporated by reference; see Sec.
430.3) and in ANSI C78.81 (incorporated by reference; see Sec.
430.3) or ANSI C78.901 (incorporated by reference; see Sec. 430.3),
and lamps shall be operated using the appropriate reference ballast
at input voltage specified by the reference circuit as described in
ANSI C82.3 (incorporated by reference; see Sec. 430.3). If, for a
lamp, both low-frequency and high-frequency reference ballast
settings are included in ANSI C78.81 or ANSI C78.901, the lamp shall
be operated using the low-frequency reference ballast.
* * * * *
4.2 General Service Incandescent Lamps
4.2.1 The measurement procedure shall be as described in IES LM-
45 (incorporated by reference; see Sec. 430.3). Lamps shall be
operated at the rated voltage as defined in Sec. 430.2.
4.2.2 The test procedure shall conform to sections 6 and 7 of
IES LM-45, and the lumen output of the lamp shall be determined in
accordance with section 7 of IES LM-45. Lamp electrical power input
in watts shall be measured and recorded. Lamp efficacy shall be
determined by computing the ratio of the measured lamp lumen output
and lamp electrical power input at equilibrium for the reference
condition. The test report shall conform to section 8 of IES LM-45.
4.2.3 The measurement procedure for testing the lifetime of
general service incandescent lamps shall be as described in IESNA
LM-49 (incorporated by reference; see Sec. 430.3). The lifetime
measurement shall be taken by measuring the operating time of a
lamp, expressed in hours, not including any off time. The percentage
of the sample size that meets the minimum rated lifetime shall be
recorded. The lamp shall be deemed to meet minimum rated lifetime
standards if greater than 50 percent of the sample size specified in
Sec. 429.27 meets the minimum rated lifetime.
4.2.3.1 Accelerated lifetime testing is not allowed. The second
paragraph of section 6.1 of IESNA LM-49 is to be disregarded.
* * * * *
4.4 Determination of Color Rendering Index and Correlated Color
Temperature
4.4.1 The CRI shall be determined in accordance with the method
specified in CIE 13.3 (incorporated by reference; see Sec. 430.3)
for general service fluorescent lamps. The CCT shall be determined
in accordance with the method specified in IES LM-9 (incorporated by
reference; see Sec. 430.3) and rounded to the nearest 10 kelvin for
general service fluorescent lamps. The CCT shall be determined in
accordance with the CIE 15 (incorporated by reference; see Sec.
430.3) for incandescent lamps. The required spectroradiometric
measurement and characterization shall be conducted in accordance
with the methods set forth in IESNA LM-58 (incorporated by
reference; see Sec. 430.3).
* * * * *
[FR Doc. 2012-1681 Filed 1-26-12; 8:45 am]
BILLING CODE 6450-01-P