[6450-01-P] 

DEPARTMENT OF ENERGY 

Docket Number EERE–2011–BT–TP-0041 

RIN: 1904-AC50 

Energy Efficiency Program: Test Procedure for Lighting Systems (Luminaires) 

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

ACTION: Request for information 

SUMMARY: The U.S. Department of Energy (“DOE” or the “Department”) is currently 

evaluating energy efficiency test procedures for luminaires (also referred to herein as lighting 

systems) and collecting information for the labeling of such products. DOE recognizes that welldesigned test procedures are important to produce reliable, repeatable, and consistent test results 

and that labeling assists informed consumer choice. The existing luminaire test procedures DOE 

is evaluating include those already established by the National Electrical Manufacturers 

Association (NEMA) and ENERGY STAR, which include by reference numerous test 

procedures established by the American National Standards Institute (ANSI), the Illuminating 

Engineering Society of North America (IESNA), the International Commission on Illumination 

(Commission Internationale de l’Eclairage (CIE)), and the Illuminating Engineering Society of 

North America (IESNA). To inform interested parties, facilitate its consideration of appropriate 

test procedures, and collect information on labeling, DOE seeks comment and requests 

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information related to test procedures and labels for lighting systems based on industry-standard 

procedures and practices for luminaires. In particular, DOE is interested in if and how test 

procedures and labels may include controls for powering the luminaire on or off depending on 

time of day, daylight or occupancy sensor readings and other factors. 

DATES: Written comments and information are requested by [INSERT DATE 45 DAYS 

FOLLOWING PUBLICATION IN FEDERAL REGISTER]. 

ADDRESSES: Interested persons may submit comments in writing, identified by docket number 

EERE-2011-BT-TP-0041, by any of the following methods: 

1.	 Federal eRulemaking Portal: www.regulations.gov Follow the instructions for submitting 

comments. 

2.	 E-mail: LightingSys-2011-TP-0041@ee.doe.gov. Include EERE-2011-BT-TP-0041 

and/or RIN 1904-AC50 in the subject line of the message. 

3.	 Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Program, 

Mailstop EE-2J, Request for Information for Lighting Systems, EERE-2011-BT-TP0041 and/or RIN 1904-AC50, 1000 Independence Avenue SW., Washington, D.C. 

20585-0121. Phone: (202) 586-2945. Please submit one signed paper original. 

4.	 Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of Energy, Building 

Technologies Program, 6th Floor, 950 L’Enfant Plaza, SW., Washington, D.C. 20024. 

Phone: (202) 586-2945. Please submit one signed paper original. 

5.	 Instructions: All submissions received must include the agency name and docket 

number. 

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Docket: For access to the docket to read background documents or comments received, 

visit the U.S. Department of Energy, Building Technologies Program, 950 L’Enfant Plaza, SW., 

Suite 600, Washington, D.C., 20024, (202) 586-2945, between 9:00 a.m. and 4:00 p.m., Monday 

through Friday, except Federal holidays. Please call Ms. Brenda Edwards at the above telephone 

number for additional information. 

The docket also is available for review at regulations.gov, including Federal Register 

notices, 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 may be publicly available, 

such as information that is exempt from public disclosure. 

A link to the docket web page can be found at: 

http://www.eere.energy.gov/buildings/appliance_standards/commercial/lighting_systems.html. 

This web page contains a link to the docket for this notice on the regulations.gov site. The 

regulations.gov web page contains instructions on how to access all documents, including public 

comments, in the docket. 

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, D.C. 20585-0121. Telephone: (202) 287-1393. E-mail: 

Tina.Kaarsberg@ee.doe.gov. 

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In the Office of General Counsel, contact Ms. Elizabeth Kohl, U.S. Department of 

Energy, Office of the General Counsel, GC-71, 1000 Independence Avenue SW, Washington, 

D.C. 20585. Telephone: (202) 586-7796. E-mail: Elizabeth.Kohl@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: 

I. Statutory Authority 

The Energy Policy Act of 1992 (EPAct 1992, Pub. L. No. 102-486), Section 126, 

required DOE to support and monitor a national voluntary testing and information program for 

widely used luminaires that have significant energy savings potential, and to issue a 

determination as to whether the program developed was consistent with those objectives. The 

program was required to include specifications for test procedures and labels that will enable 

purchasers of such luminaires to make more informed decisions about the energy efficiency and 

costs of alternative products. If DOE determines that a program of voluntary national testing and 

information for luminaires consistent with those objectives has not been developed, EPAct 1992 

directs DOE to develop test procedures for luminaires. EPAct 1992 also provides for labels for 

these products. (42 U.S.C. 6292 note) The Energy Policy Act of 2005 (EPAct 2005, Pub. L. No. 

109-58) and the Energy Independence and Security Act of 2007 established Federal efficiency 

standards for certain classes of luminaires—torchieres, ceiling fan light kits, exit signs, traffic 

signals, and metal halide lamp fixtures—but currently there are no DOE-approved test 

procedures for most widely-used classes of luminaires. There are also no labeling requirements 

for these products. 

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II. Background 

In April 1992, the National Lighting Collaborative (NLC or Collaborative) initiated 

development of a testing and information program as described under EPAct 1992. The 

Collaborative, administered by NEMA, included representatives from environmental 

organizations, State governments, the lighting industry, research entities, and utilities.1 In 1995, 

the NLC issued a report on the program to DOE that served as the basis of DOE’s provisional 

determination on whether the program met the objectives set forth in EPAct 1992 (61 FR 10742, 

March 15, 1996). DOE found that the program would be consistent with the objectives set forth 

in EPAct 1992 when it had been demonstrated to DOE that the program had been “fully 

implemented so that energy efficiency information about luminaires is widely available to 

luminaire purchasers”. Although the NLC continued activities through 2001,2

 DOE has not yet 

issued a final determination re garding the program.3 

1

 In 1999, membership included the following organizations: Environmental groups were represented by the 

Alliance to Save Energy, the American Council for an Energy-Efficient Economy, and the Natural Resources 

Defense Council. State and Federal government representatives included the California Energy Commission, the 

National Institute of Standards and Technology (NIST), the New York State Energy Research and Development 

Authority, DOE, and the US Environmental Protection Agency. Lighting and related industry organizations were 

represented by the American Lighting Association, the American Society of Heating, Refrigerating and AirConditioning Engineers, the Association of Energy Engineers, the Building Owners and Managers Association, the 

Illuminating Engineering Society of North America, the International Association of Lighting Designers, the 

National Association of Lighting Management Companies, the National Association of Electrical Distributors, the 

National Association of State Energy Officials, the National Electrical Contractors Association, and the National 

Electrical Manufacturers Association. Testing and research entities included the Lawrence Berkeley National 

Laboratory, the Lighting Research Center, and the Lighting Research Institute. Utilities were represented by the 

Edison Electric Institute and the Electric Power Research Institute. 

2

 In 1999 the Collaborative issued a new Report on the Status of the Voluntary National Testing and Information 

Program for Luminaires, which described the program and urged DOE to approve it. The Program included 

luminaire test procedures for widely used fluorescent and HID luminaires, a complaint resolution process to resolve 

disputes about Luminaire Efficacy Rating (LER) values, and an information program. In addition, the Program 

recommended that testing be carried out by a laboratory accredited by NIST’s National Voluntary Laboratory 

Accreditation Program. 

3 NEMA’s current Lighting Industry Director was unaware of any program activity in recent years. LBNL staff 

who participated on the NLC stated that the last meeting was in 2001. While conceptually related, NEMA’s 

subsequent LE 6 activity was organizationally unrelated to the NLC. See www.nema.org/stds/le5.cfm (“When 

rating a fixture in accordance with EPAct 1992, use this standard. For other purposes, see NEMA LE 6, a newer 

standard for luminaire efficacy that supersedes the LE 5 series."). 

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a.	 Evolution of National Luminaire Testing and Definitions 

In response to the EPAct 1992 requirement that DOE provide financial and technical 

assistance to support a voluntary national testing and information program, NEMA developed, 

and the NLC incorporated into the program, three separate industry standards applicable to 

luminaires along with their associated test procedures: 

o	 LE 5—Procedure for Determining Luminaire Efficacy Ratings for Fluorescent 

Luminaires 

o	 LE 5A—Procedure for Determining Luminaire Efficacy Ratings for Commercial, NonResidential Downlight Luminaires 

o	 LE 5B—Procedure for Determining Luminaire Efficacy Ratings for High-Intensity 

Discharge Industrial Luminaires 

The Environmental Protection Agency (EPA) created a voluntary specification for 

luminaires under its ENERGY STAR program. The ENERGY STAR specification 

(www.energystar.gov/index.cfm?c=new_specs.luminaires) includes a voluntary standard but 

does not generally include controls. The ENERGY STAR test procedures reference industry test 

procedures for fluorescent, high-intensity discharge and solid-state luminaires, none of which 

currently include controls.4 

4 ENERGY STAR® Program Requirements Product Specification for Luminaires (Light Fixtures) Eligibility 

Criteria Version 1.0. 

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In 2008, NEMA introduced its Target Efficacy Rating (TER), documented in NEMA 

standard LE 6, and adds to the LE 5 series efficacy calculation a factor to address the fraction of 

light leaving the luminaire that is delivered to the intended target surface. LE 6 is intended to 

supersede the LE 5 series ratings for all purposes other than “rating a fixture in accordance with 

EPAct 1992”. The TER addresses major classes of commercial, residential, and industrial 

luminaires used for both indoor and outdoor lighting, but does not include controls. 

b. Lighting System/Luminaire Controls 

The EPAct 1992 requirements for luminaires discussed above pertained to the energy 

efficiency of entire lighting systems, as opposed to just lamps or lamp and ballast systems. The 

Illuminating Engineering Society of North America defines luminaire as a “complete lighting 

unit consisting of lamp(s) and ballast(s) (when applicable) together with the parts designed to 

distribute the light, position and protect the lamps, and to connect the lamp(s) to the power 

supply.”5 6 The Energy Policy and Conservation Act of 1975 (EPCA), as amended, adopts the 

same definition for luminaires with fluorescent light sources: “a complete lighting unit consisting 

of a fluorescent lamp or lamps, together with parts designed to distribute the light, to position 

and protect such lamps, and to connect such lamps to the power supply through the ballast. 

Controls are considered under these definitions as the part of the lighting system that connects 

the lamp(s) to the power supply. 

5 Rea, M.S. (Editor), Illuminating Engineering Society of North America, IESNA Lighting Handbook, 9th Edition, 

2000.
 6

 This ANSI/IESNA definition of luminaire has also been accepted by ENERGY STAR® and the California Energy 

Commission.
 

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Although it has not yet included them in its own industry procedures, NEMA has argued 

generally that lighting standards should incorporate controls, not just source efficacies, because 

of their great potential for much larger savings in major applications. On May 10, 2011, NEMA 

submitted public comments on the current fluorescent ballast rulemaking noting that a “ballast 

that is switched off or dimmed uses much less energy and can result in increased user 

satisfaction” (Document ID: EERE-2007-BT-STD-0016-0039.1).7 On May 27, 2010, NEMA 

submitted public comments for the high-intensity discharge (HID) lamps determination arguing 

that “industry believes that the DOE will find much more energy savings from HID systems with 

the proper application of electronic ballasts and/or intelligent controls [versus] standards that 

increase average HID lamp efficiencies” (Document ID: EERE-2006-DET-0112-0021.1).8

 In a 

May 15, 2008, public workshop for California’s metal halide luminaires rulemaking, NEMA 

proposed using integral controls as an alternative compliance option to high efficiency ballasts 

and later worked with the Pacific Gas and Electric Company, the American Council for an 

Energy Efficient Economy, and the California Energy Commission to develop that option for the 

final rule.9 

The American Council for an Energy Efficient Economy (ACEEE) also encouraged DOE 

to take a systems-based approach to lighting in its May 27, 2010 comments on the HID 

rulemaking: “In general, we would like to see DOE combine rulemakings—or at least analysis— 

whenever possible for individual lighting components that are operated together in a system. 

This would allow for greater efficiencies in the analytical effort, better consideration and 

7

 Available online: http://www.regulations.gov/#!documentDetail;D=EERE-2007-BT-STD-0016-0039 8

 Available online: http://www.regulations.gov/#!searchResults;rpp=10;po=0;s=DET-0112-0021 9

 California Energy Commission, 2008 Appliance Efficiency Rulemaking: Staff Report, Phase I, Part B, Docket #08-

AEER-1B, Report #CEE-400-2008-023, page 7. 

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coordination of the impacts of standards changes for one component on overall system 

performance, and potentially for more effective final standards from an energy savings, 

economic, and environmental perspective.” 

C. Evaluation of Luminaire/Lighting Systems Test Procedures 

DOE is evaluating whether test procedures for luminaires/lighting systems may be based 

on existing industry rating systems and test procedures such as NEMA’s LE 6 rating system, 

(which covers 22 classes of interior and exterior luminaires) and EPA’s ENERGY STAR 

luminaire specifications (which covers a range of residential and commercial direction and nondirectional products) and is based on IESNA test procedures (LM-46, LM-41, LM-10-11, and 

LM-31-11). DOE is considering whether to define certain lighting systems and controls 

terminology to enable development of an appropriate national test procedure. 

D. Collection of Information on Luminaire/Lighting Systems Labeling. 

DOE is also collecting information on whether labels for luminaires/lighting systems may 

be based on industry rating systems such as those described in the previous section. 

E. Conclusion

 The Department recognizes that voluntary luminaire test procedures and labels exist and 

that the industry is increasingly using controls technologies to reduce lighting energy use. DOE 

therefore requests information on recent developments in luminaire testing and labeling 

programs and how energy savings from controls are addressed therein. 

III. Public Participation 

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A. Submission of Information 

DOE will accept information and data in response to this Request for Information as 

provided in the DATES section above. Information submitted to the Department by e-mail 

should be provided in WordPerfect, Microsoft Word, PDF, or text file format. Those responding 

should avoid the use of special characters or any form of encryption, and wherever possible, 

comments should include the electronic signature of the author. Comments submitted to the 

Department by mail or hand delivery/courier should include one signed original paper copy. No 

telefacsimiles will be accepted. Comments submitted in response to this notice will become a 

matter of public record and will be made publicly available. 

B. Issues on Which DOE Seeks Information 

Although comments are welcome on all issues discussed in this notice, DOE is 

particularly interested in the following information and substantiating data on existing test 

procedures and labels for luminaires. 

1.	 Definitions. DOE invites comments on the definition of lighting systems, luminaires and 

other relevant terms. 

2.	 Lighting systems/luminaire test procedures and labeling. DOE is particularly interested 

in details on industry, state, and international test procedures and labels including, where 

feasible: luminaire classes covered, fraction of current luminaire sales covered, 

percentage of products covered by the program currently being tested and reported on; 

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the method used to inform purchasers of covered luminaires about the results of the 

testing and other energy and performance related information. 

3.	 Inclusion of controls in lighting systems test procedures and labeling. DOE requests 

comments on means to include controls in test procedures and whether the inclusion of 

controls in labels would provide consumers with useful information. 

4.	 The current status of labeling programs. DOE is particularly interested in what products 

are currently sold with luminaire efficiency labels, what fraction of the market represents, 

what the leading labels are and what information the labels contain. 

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