Vol. 80 Thursday, 

No. 131 July 9, 2015 

Part V 

Department of Energy 

10 CFR Parts 429 and 430 

Energy Conservation Program: Test Procedures for Integrated LightEmitting Diode Lamps; Proposed Rule 


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39644 Federal Register / Vol. 80, No. 131 / Thursday, July 9, 2015 / Proposed Rules 

1American National Standards Institute 

2 Illuminating Engineering Society. 

DEPARTMENT OF ENERGY 

10 CFR Parts 429 and 430 

[Docket No. EERE–2011–BT–TP–0071] 

RIN 1904–AC67 

Energy Conservation Program: Test 

Procedures for Integrated LightEmitting Diode Lamps 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Supplemental notice of 

proposed rulemaking. 

SUMMARY: This supplemental notice of 

proposed rulemaking (SNOPR) proposes 

a test procedure for light-emitting diode 

(LED) lamps (hereafter referred to as 

LED lamps) to support the 

implementation of labeling provisions 

by the Federal Trade Commission (FTC), 

as well as the ongoing general service 

lamps rulemaking, which includes LED 

lamps. The SNOPR proposes test 

procedures for determining the lumen 

output, input power, lamp efficacy, 

correlated color temperature (CCT), 

color rendering index (CRI), power 

factor, lifetime, and standby mode 

power for LED lamps. The SNOPR also 

proposes a definition for time to failure 

to support the definition of lifetime. 

This SNOPR revises the previous 

proposed test procedures for LED lamps 

by referencing two recently published 

industry standards that describe a 

process for taking lumen maintenance 

measurements and projecting those 

measurements for use in the lifetime test 

method. 

DATES: DOE will accept comments, data, 

and information regarding this SNOPR, 

but no later than August 10, 2015. See 

section V, ‘‘Public Participation,’’ for 

details. 

ADDRESSES: Any comments submitted 

must identify the SNOPR for Test 

Procedures for LED lamps, and provide 

docket number EE–2011–BT–TP–0071 

and/or regulatory information number 

(RIN) 1904–AC67. Comments may be 

submitted using any of the following 

methods: 

1. Federal eRulemaking Portal: 

www.regulations.gov. Follow the 

instructions for submitting comments. 

2. Email: LEDLamps-2011-TP-0071@

ee.doe.gov . Include the docket number 

and/or RIN in the subject line of the 

message. 

3. Mail: Ms. Brenda Edwards, U.S. 

Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue SW., 

Washington, DC, 20585–0121. If 

possible, please submit all items on a 

CD. It is not necessary to include 

printed copies. 

4. Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 950 

L’Enfant Plaza SW., Suite 600, 

Washington, DC, 20024. Telephone: 

(202) 586–2945. If possible, please 

submit all items on a CD. It is not 

necessary to include printed copies. 

For detailed instructions on 

submitting comments and additional 

information on the rulemaking process, 

see section V of this document. 

Docket: The docket is available for 

review at regulations.gov, including 

Federal Register notices, 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 may be 

publicly available, such as information 

that is exempt from public disclosure. 

A link to the docket Web page can be 

found at: www1.eere.energy.gov/

buildings/appliance_standards/

rulemaking.aspx/ruleid/18. This Web 

page will contain a link to the docket for 

this notice on the regulations.gov site. 

The regulations.gov Web page contains 

simple instructions on how to access all 

documents, including public comments, 

in the docket. See section V for 

information on how to submit 

comments through regulations.gov. 

For further information on how to 

submit a comment, review other public 

comments and the docket, or participate 

in the public meeting, contact Ms. 

Brenda Edwards at (202) 586–2945 or by 

email: Brenda.Edwards@ee.doe.gov. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Lucy deButts, 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) 287–1604. Email: 

light_emitting_diodes@ee.doe.gov. 

Ms. Celia Sher, U.S. Department of 

Energy, Office of the General Counsel, 

GC–33, 1000 Independence Avenue 

SW., Washington, DC, 20585–0121. 

Telephone: (202) 287–6122. Email: 

Celia.Sher@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: 

DOE proposes to incorporate by 

reference the following industry 

standards into 10 CFR part 430. 

1. ANSI 1/IES 2 RP–16–2010, 

‘‘Nomenclature and Definitions for 

Illuminating Engineering.’’ 

2. IES LM–79–08, ‘‘Approved Method: 

Electrical and Photometric Measurements of 

Solid-State Lighting Products.’’ 

3. IES LM–84–14, ‘‘Approved Method: 

Measuring Luminous Flux and Color 

Maintenance of LED Lamps, Light Engines, 

and Luminaires.’’ 

4. IES TM–28–14, ‘‘Projecting Long-Term 

Luminous Flux Maintenance of LED Lamps 

and Luminaires.’’ 

Copies of the industry standards can 

be obtained from http://www.ies.org/, or 

can be reviewed in person at U.S. 

Department of Energy, Building 

Technologies Program, 950 L’Enfant 

Plaza SW., Suite 600, Washington, DC 

20024. For further information on 

accessing IBR standards, contact Ms. 

Brenda Edwards at (202) 586–2945 or by 

email: Brenda.Edwards@ee.doe.gov. See 

section III.M for a further discussion of 

these standards. 

Table of Contents 

I. Authority and Background 

II. Synopsis of the Supplemental Notice of 

Proposed Rulemaking 

III. Discussion 

A. Scope of Applicability 

B. Proposed Approach for Determining 

Lumen Output, Input Power, Lamp 

Efficacy, Correlated Color Temperature, 

and Color Rendering Index 

1. Test Conditions 

2. Test Setup 

3. Test Method 

C. June 2014 and Lifetime SNOPR 

Proposals 

1. Definition of Lifetime and Time to 

Failure of Integrated Light-Emitting 

Diode Lamps 

2. Test Duration 

3. Test Duration Operating Conditions 

4. Stress Testing 

5. Color Maintenance 

D. Proposed Approach for Lifetime 

Measurements 

1. Test Conditions 

2. Test Setup 

3. Test Method 

4. Projection Method 

E. Proposed Approach for Standby Mode 

Power 

F. Proposed Approach for Power Factor 

G. Basic Model, Minimum Sample Size, 

and Determination of Represented 

Values 

1. Basic Model 

2. Minimum Sample Size 

3. Determination of Represented Values 

H. Rounding Requirements 

1. Lumen Output 

2. Correlated Color Temperature 

3. Lifetime 

4. Power Factor 

I. Interaction with ENERGY STAR 

J. Laboratory Accreditation 

K. Certification 

L. Effective and Compliance Date 

M. Description of Standards Incorporated 

by Reference 

N. Ceiling Fan Light Kits using LED Lamps 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 


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3 ‘‘Approved Method: Measuring Luminous Flux 

and Color Maintenance of LED Lamps, Light 

Engines, and Luminaires.’’ Approved by IES on 

March 31, 2014. 

4 ‘‘Projecting Long-Term Luminous Flux 

Maintenance of LED Lamps and Luminaires.’’ 

Approved by IES on May 20, 2014. 

5P-n junction is the boundary between p-type 

and n-type material in a semiconductor device, 

such as LEDs. P-n junctions are diodes, active sites 

where current can flow readily in one direction but 

not in the other direction. 

6Exciting current is the current passing through 

an LED chip during steady-state operation. 

7 IES standards use the reference 2.0, 3.0, etc. for 

each primary section heading. Sub-sections under 

each of these sections are referenced as 2.1, 2.2, 3.1, 

Continued 

B. Review under the Regulatory Flexibility 

Act 

1. Estimated Small Business Burden 

2. Duplication, Overlap, and Conflict With 

Other Rules and Regulations 

3. Significant Alternatives to the Proposed 

Rule 

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 

V. Public Participation 

A. Submission of Comments 

B. Issues on Which DOE Seeks Comment 

VI. Approval of the Office of the Secretary 

I. Authority and Background 

Title III of the Energy Policy and 

Conservation Act of 1975 (42 U.S.C. 

6291, et seq.; ‘‘EPCA’’) sets forth a 

variety of provisions designed to 

improve energy efficiency. (All 

references to EPCA refer to the statute 

as amended through the American 

Energy Manufacturing Technical 

Corrections Act (AEMTCA), Public Law 

112–210 (Dec. 18, 2012)). Part B of title 

III, which for editorial reasons was 

redesignated as Part A upon 

incorporation into the U.S. Code (42 

U.S.C. 6291–6309, as codified), 

establishes the ‘‘Energy Conservation 

Program for Consumer Products Other 

Than Automobiles.’’ 

Under EPCA, this program consists of 

four parts: (1) Testing, (2) labeling, (3) 

Federal energy conservation standards, 

and (4) certification and enforcement 

procedures. This rulemaking proposes 

test procedures that manufacturers of 

integrated LED lamps (hereafter referred 

to as ‘‘LED lamps’’) would use to meet 

two requirements, namely, to: (1) Satisfy 

any future energy conservation 

standards for general service LED lamps, 

and (2) meet obligations under labeling 

requirements for LED lamps 

promulgated by the Federal Trade 

Commission (FTC). 

First, test procedures in this 

rulemaking would be used to assess the 

performance of LED lamps relative to 

any potential energy conservation 

standards in a future rulemaking that 

includes general service LED lamps. 

DOE is developing energy conservation 

standards for general service lamps 

(GSLs), a category of lamps that 

includes general service LED lamps. 79 

FR 73503 (Dec. 11, 2014). 

Second, this rulemaking supports 

obligations under labeling requirements 

promulgated by FTC under section 

324(a)(6) of EPCA (42 U.S.C. 6294(a)(6)). 

The Energy Independence and Security 

Act of 2007 (EISA 2007) section 321(b) 

amended EPCA (42 U.S.C. 6294(a)(2)(D)) 

to direct FTC to consider the 

effectiveness of lamp labeling for power 

levels or watts, light output or lumens, 

and lamp lifetime. This rulemaking 

supports FTC’s determination that LED 

lamps, which had previously not been 

labeled, require labels under EISA 

section 321(b) and 42 U.S.C. 6294(a)(6) 

in order to assist consumers in making 

purchasing decisions. 75 FR 41696, 

41698 (July 19, 2010). 

DOE previously published three 

Federal Register documents pertaining 

to the test procedure for LED lamps. On 

April 9, 2012, DOE published a test 

procedure NOPR (hereafter the April 

2012 NOPR). 77 FR 21038. Following 

the publication of the NOPR, DOE held 

a public meeting on May 3, 2012, to 

receive feedback from interested parties. 

On June 3, 2014, DOE published a test 

procedure SNOPR (hereafter the June 

2014 SNOPR) primarily revising its 

proposal for lifetime measurements. 79 

FR 32020. Then on June 26, 2014, DOE 

published a second SNOPR (hereafter 

the lifetime SNOPR) revising the 

definition of lifetime for LED lamps. 79 

FR 36242. 

II. Synopsis of the Supplemental Notice 

of Proposed Rulemaking 

This SNOPR builds upon both the 

June 2014 SNOPR and the lifetime 

SNOPR by proposing a method for 

determining power factor and revising 

the proposed method of measuring and 

projecting the time to failure of 

integrated LED lamps based on public 

comment and the 2014 publication of 

industry standards IES LM–84–14,3

‘‘Measuring Luminous Flux and Color 

Maintenance of LED Lamp, Light 

Engines, and Luminaires,’’ and IES TM– 

28–14,4 ‘‘Projecting Long-Term 

Luminous Flux Maintenance of LED 

Lamps and Luminaires.’’ DOE reviewed 

the procedures provided in these 

Illuminating Engineering Society (IES) 

standards and determined that IES LM– 

84–14 and IES TM–28–14 contain the 

most relevant test procedure and 

projection method based on written 

comments submitted by interested 

parties and discussions with industry 

experts. DOE also proposed minor 

changes in response to comments 

received to date. 

III. Discussion 

A. Scope of Applicability 

EPCA defines LED as a p-n junction 5

solid-state device, the radiated output of 

which, either in the infrared region, 

visible region, or ultraviolet region, is a 

function of the physical construction, 

material used, and exciting current 6 of 

the device. (42 U.S.C. 6291(30)(CC)) In 

the June 2014 SNOPR, DOE stated that 

this rulemaking applies to LED lamps 

that meet DOE’s proposed definition of 

an integrated LED lamp, which is based 

on the term as defined by ANSI/IES RP– 

16–2010. This standard defines 

integrated LED lamps as an integrated 

assembly that comprises LED packages 

(components) or LED arrays (modules) 

(collectively referred to as an LED 

source), LED driver, ANSI standard 

base, and other optical, thermal, 

mechanical and electrical components 

(such as phosphor layers, insulating 

materials, fasteners to hold components 

within the lamp together, and electrical 

wiring). The LED lamp is intended to 

connect directly to a branch circuit 

through a corresponding ANSI standard 

socket. 79 FR 32020, 32021 (June 3, 

2014). 

B. Proposed Approach for Determining 

Lumen Output, Input Power, Lamp 

Efficacy, Correlated Color Temperature, 

and Color Rendering Index 

The June 2014 SNOPR proposed to 

incorporate IES LM–79–2008 for 

determining lumen output, input power, 

CCT, and CRI with some modifications. 

79 FR 32022. IES LM–79–2008 specifies 

the test conditions and setup at which 

the measurements and calculations 

must be performed. IES LM–79–2008 

also specifies the methodology for 

measuring lumen output, input power, 

CCT, and CRI. Sections III.B.1 through 

III.B.3 discuss comments received on 

these requirements. 

1. Test Conditions 

In the June 2014 SNOPR, DOE 

proposed that the ambient conditions 

for testing LED lamps be as specified in 

section 2.0 7 of IES LM–79–2008. 79 FR 


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3.2, etc. This SNOPR refers to each IES section 

exactly as it is referenced in the IES standard. 8 Directional lamps must be tested in an EPAapproved fixture or directional lamps ≤ 20 watts 

must be tested at 45±5 degrees Celsius and 

directional lamps > 20 watts must be tested at 55±5 

degrees Celsius. 

9 ‘‘ENERGY STAR Program Requirements Product 

Specification for Lamps (Light Bulbs) Version 1.0.’’ 

U.S. Environmental Protection Agency, August 28, 

2013. 

32023. These conditions include setup 

and ambient temperature control, as 

well as air movement requirements. 

Both are discussed in further detail 

below. 

Section 2.2 of IES LM–79–2008 

specifies that photometric 

measurements shall be taken at an 

ambient temperature of 25 degrees 

Celsius (°C) ± 1 °C, and that the 

temperature shall be measured at a 

point not more than one meter from the 

LED lamp and at the same height as the 

lamp. The standard requires that the 

temperature sensor that is used for 

measurements be shielded from direct 

optical radiation from the lamp or any 

other source to reduce the impact of 

radiated heat on the ambient 

temperature measurement. The June 

2014 SNOPR stated that this setup for 

measuring and controlling ambient 

temperature is appropriate for testing 

because it requires that the lamp be 

tested at room temperature and in an 

environment that is commonly used for 

testing other lighting technologies. 79 

FR 32023. 

DOE received comment from ASAP, 

ACEEE, and NRDC (hereafter referred to 

as the Joint Comment) recommending 

that directional LED lamps and those 

lamps labeled ‘‘suitable for use in 

enclosed fixtures’’ be tested under the 

elevated temperature conditions 8

required by the ENERGY STAR®

Program Requirements Product 

Specification for Lamps (Light Bulbs) 

Version 1.0.9 (Joint Comment, No. 34 at 

p. 2) 

The operating temperature of LED 

lamps varies depending on the 

application for which they are installed. 

However, testing at an ambient 

temperature of 25 °C ± 1°C is consistent 

with other lighting products such as 

general service fluorescent lamps 

(GSFLs), compact fluorescent lamps 

(CFLs), and incandescent reflector 

lamps (IRLs). Therefore, DOE maintains 

its proposal from the June 2014 SNOPR 

that photometric measurements shall be 

taken at an ambient temperature of 25 

°C ± 1 °C, and that the temperature shall 

be measured at a point not more than 

one meter from the LED lamp and at the 

same height as the lamp. Measuring at 

an ambient temperature of 25 °C ± 1°C 

will enable DOE, industry, and 

consumers to compare general service 

lamp products across different 

technologies. 

In the June 2014 SNOPR, DOE also 

proposed that the requirement for air 

movement around the LED lamp be as 

specified in section 2.4 of IES LM–79– 

2008, which requires that the airflow 

around the LED lamp be such that it 

does not affect the lumen output 

measurements of the tested lamp. 79 FR 

32023. These requirements would apply 

to lamps measured in both active mode 

and standby mode. 

Cree, OSRAM Sylvania, Inc., 

(hereafter referred to as OSI), and the 

National Electrical Manufacturers 

Association (hereafter referred to as 

NEMA) submitted a comment 

supporting DOE’s proposal to reference 

IES LM–79–2008 for all photometric 

testing of integrated LED lamps. (Cree, 

No. 31 at p. 1; OSI, No. 32 at p. 2; 

NEMA, No. 30 at p. 3) However, other 

stakeholders suggested additional 

requirements for air movement. The 

Joint Comment indicated concern that 

section 2.4 of IES LM–79–2008 does not 

provide informative procedures for 

measuring air movement and could 

yield distorted test results that are not 

representative of typical field 

conditions. It recommended that DOE 

revert to the April 2012 NOPR proposal 

that included considerations for 

specifying a method for determination 

of a draft-free environment, such as in 

section 4.3 of IES LM–9–2009, which 

requires that a single-ply tissue paper be 

held in place of the lamp to allow for 

visual observation of any drafts. The 

Joint Comment indicated that the 

procedures described in section 4.3 of 

IES LM–9–2009 provide a simple, 

inexpensive method for determining a 

draft-free environment without adding 

significant additional burden on 

manufacturers. (Joint Comment, No. 34 

at p. 1) 

DOE believes that additional 

requirements for a visual inspection of 

a single-ply tissue would not improve 

measurement accuracy relative to 

current industry practice. Therefore, in 

this SNOPR, DOE maintains its proposal 

to use the requirements in IES LM–79– 

2008 to ensure that air movement is 

minimized to acceptable levels. 

2. Test Setup 

In the June 2014 SNOPR, DOE 

proposed that LED lamps be positioned 

such that an equal number of units are 

oriented in the base-up and base-down 

orientations during testing. 79 FR 

32025. As discussed in the June 2014 

SNOPR, DOE collected test data for 

several LED lamps tested in base-up, 

base-down, and horizontal orientations, 

and analyzed the data to determine the 

variation of input power, lumen output, 

CCT, and CRI in each of these three 

orientations. The analysis of the test 

data revealed that some lamp models 

exhibited variation between the three 

orientations. Of the three orientations, 

analysis indicated that the base-up and 

base-down orientations represent the 

best (highest lumen output) and worst 

(lowest lumen output) case scenarios, 

respectively. Therefore, there is no need 

to test horizontally. Testing LED lamps 

in the base-up and base-down 

orientations would apply to lamps 

measured in both active mode and 

standby mode. Id. 

While NEMA and OSI agreed with 

DOE’s proposal to test LED lamps in the 

base-up and base-down orientations, 

they both recommended that DOE add 

language to acknowledge that for LED 

lamps with restricted positions, the 

sample only be tested in the 

manufacturer-specified position. 

(NEMA, No. 30 at p. 2; OSI, No. 32 at 

p. 2) NEMA also stated that this is 

consistent with the existing practices of 

ENERGY STAR. (NEMA, No. 30 at p. 2) 

Alternatively, Soraa recommended that 

DOE only test LED lamps in the base-up 

configuration to reduce testing burden. 

(Soraa, No. 28 at p. 1) 

Because DOE’s analysis of lamp 

orientation indicated that the base-up 

and base-down orientations represent 

the best (highest lumen output) and 

worst (lowest lumen output) case 

scenarios, respectively, DOE maintains 

its proposal that LED lamps be 

positioned such that an equal number of 

units are oriented in the base-up and 

base-down orientations. See Id. 

However, DOE agrees with NEMA and 

OSI that LED lamps with restricted 

positions only be tested in the 

manufacturer-specified position. 

Therefore, for an LED lamp that is 

developed, designed, labeled, and 

advertised as restricted to a particular 

position, DOE proposes that the lamp 

only be tested in the manufacturerspecified position. DOE requests 

comment on this proposal. 

3. Test Method 

a. Lumen Output Metric 

DOE proposed in the June 2014 

SNOPR that goniophotometers may not 

be used for photometric measurements. 

As a result, DOE proposed in the June 

2014 SNOPR that the method for 

measuring lumen output be as specified 

in sections 9.1 and 9.2 of IES LM–79– 

2008, and proposed the same lumen 

output measurement method for all LED 


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10 Directional lamps are designed to provide more 

intense light to a particular region or solid angle. 

Light provided outside that region is less useful to 

the consumer, as directional lamps are typically 

used to provide contrasting illumination relative to 

the background or ambient light. 

11Please refer to the NOPR Test Procedures for 

Light-Emitting Diode Lamps (Docket No. EERE– 

2011–BT–TP–0071) for a detailed explanation of 

why DOE is not proposing to measure beam lumens 

for directional LED lamps (77 FR 21043; April 9, 

2012). 

lamps, including directional 10 LED 

lamps. 79 FR 32027. In addition, for 

directional LED lamps, DOE suggested 

measuring total lumen output from the 

lamp rather than beam lumens 11

because other directional lamp 

technologies currently measure and 

report total lumen output on the FTC 

Lighting Facts label. 

Regarding directional lamps, the Joint 

Comment argued that DOE should 

provide procedures for beam intensity 

measurement of LED directional lamps, 

as this would help determine if a lamp 

is distributing light effectively. It 

recommended that DOE reference the 

ENERGY STAR Program Requirements 

Product Specification for Lamps (Light 

Bulbs) Version 1.0 (see supra note 9) 

which specifies that the center-beam 

candle power and beam angle be tested 

for directional lamps. (Joint Comment, 

No. 34 at p. 2) In addition, Lighting 

Design Inc. provided comment that DOE 

should, at minimum, require reporting 

of center-beam candlepower and beam 

angle for directional lamps. More 

preferably, Lighting Design argued, 

complete photometric data such as 

lumen output through angles 0° to 180° 

and the number of planes consistent 

with the distribution (e.g., one plane for 

axially symmetric distribution), should 

be required for directional lamps as this 

helps consumers, designers, and 

engineers more accurately compare 

lighting products. 

Lighting Design also suggested that 

DOE define and provide naming 

conventions for the beam spread of 

directional lamps because manufacturer 

labeling is inconsistent. It argued that 

consumers, designers, and engineers 

need comprehensive definitions to 

compare the performance of directional 

lamps. (Lighting Design Inc., No. 24 at 

p. 1) 

Because only total lumen output is 

needed for the ongoing GSL standards 

rulemaking and for the FTC Lighting 

Facts label, DOE is not proposing to 

include additional measurements for 

center-beam candlepower, beam angle, 

or any other detailed photometric 

measurements in this test procedure. 

Therefore, DOE maintains its proposal 

from the June 2014 SNOPR to measure 

the total lumen output for LED lamps, 

whether they are directional or 

omnidirectional. Measuring the total 

lumen output for LED lamps will enable 

industry and consumers to compare 

general service lamp products across 

different technologies. DOE also 

recognizes concerns about the naming 

conventions for the beam spread of 

directional lamps. However, developing 

comprehensive definitions for 

directional lamps is outside the scope of 

this rulemaking. 

b. Lamp Efficacy Metric 

As discussed in section I, this 

proposed test procedure will support 

any potential future energy conservation 

standards for general service LED lamps, 

which may include efficacy as a metric 

for setting standards. Accordingly, in 

the June 2014 SNOPR, DOE proposed 

that the efficacy of an LED lamp be 

calculated by dividing measured initial 

lamp lumen output in lumens by the 

measured lamp input power in watts, in 

units of lumens per watt. Providing a 

calculation for efficacy of an LED lamp 

does not increase testing burden 

because the test procedure already 

includes metrics for input power and 

lumen output. Both OSI and NEMA 

agreed with the DOE proposal for the 

efficacy calculation. (OSI, No. 32 at p. 

3; NEMA, No. 30 at p. 3) However, the 

California Investor Owned Utilities 

(hereafter referred to as CA IOUs) 

recommended that DOE reference 

section 11.0 of IES LM–79–2008, which 

defines efficacy. (CA IOUs, No. 35 at 

p. 1) 

While section 11.0 of IES LM–79– 

2008 does provide an efficacy definition 

and calculation, DOE proposes to 

continue to reference its own definition 

and calculation. This approach 

increases clarity as it specifies the 

calculation using the naming 

conventions for measured parameters 

established by DOE. Therefore, in this 

SNOPR, DOE retains the proposal that 

efficacy of an LED lamp be calculated by 

dividing measured initial lamp lumen 

output in lumens by the measured lamp 

input power in watts, in units of lumens 

per watt. 

c. Measuring Correlated Color 

Temperature 

In the June 2014 SNOPR, DOE 

proposed that the CCT of an LED lamp 

be calculated as specified in section 

12.4 of IES LM–79–2008. Id. The CCT is 

determined by measuring the relative 

spectral distribution, calculating the 

chromaticity coordinates, and then 

matching the chromaticity coordinates 

to a particular CCT of the Planckian 

radiator. The setup for measuring the 

relative spectral distribution, which is 

required to calculate the CCT of the LED 

lamp, would be as specified in section 

12.0 of IES LM–79–2008. That section 

describes the test method to calculate 

CCT using a sphere-spectroradiometer 

system and a spectroradiometer or 

colorimeter system. Furthermore, DOE 

also proposed in the June 2014 SNOPR 

to require all photometric measurements 

(including CCT) be carried out in an 

integrating sphere, and that 

goniophotometer systems must not be 

used. Therefore, DOE proposed that the 

instrumentation used for CCT 

measurements be as described in section 

12.0 of IES LM–79–2008 with the 

exclusion of section 12.2 of IES LM–79– 

2008. Id. 

DOE received comments from OSI, 

the Republic of Korea, and NEMA 

recommending reporting nominal CCT 

based on the tolerance specified in 

Table 1 of ANSI C78.377. (OSI, No. 32 

at p. 4; Republic of Korea, No. 37 at p. 

2; NEMA, No. 30 at p. 4) More 

specifically, the Republic of Korea 

recommended that DOE be consistent 

with international industry standard 

IEC/PAS 62612, which references ANSI 

C78.377 and states that nominal CCT 

values shall be reported. (Republic of 

Korea, No. 37 at p. 2) Nominal CCT 

values are defined by a region of the 

chromaticity diagram and any lamp that 

falls in a certain region is assigned a 

single CCT value. However, nominal 

CCT values do not address all regions of 

the chromaticity diagram. Although 

manufacturers in the marketplace may 

choose to design lamps that fall within 

regions defined by nominal CCT, DOE’s 

goal is to establish one test method that 

applies to all LED lamps. Therefore, 

DOE is not proposing to follow a 

nominal CCT methodology, and is 

maintaining its proposal in the June 

2014 SNOPR regarding the method to 

calculate the CCT of an LED lamp. 

d. Measuring Color Rendering Index 

In the June 2014 SNOPR, DOE 

proposed to add a requirement that the 

CRI of an LED lamp be determined as 

specified in section 12.4 of IES LM–79– 

2008, and to require all photometric 

measurements (including CRI) be 

carried out in an integrating sphere. Id. 

Therefore, the setup for measuring the 

relative spectral distribution, which is 

required to calculate the CRI of the LED 

lamp, would be as specified in section 

12.0 of IES LM–79–2008 with the 

exclusion of section 12.2 of IES LM–79– 

2008, as goniophotometer systems 

would not be used. Section 12.4 of IES 

LM–79–2008 also specifies that CRI be 

calculated according to the method 

defined in the International Commission 


tkelley on DSK3SPTVN1PROD with PROPOSALS5
39648 Federal Register / Vol. 80, No. 131 / Thursday, July 9, 2015 / Proposed Rules 

12 ‘‘Method of Measuring and Specifying Colour 

Rendering Properties of Light Sources.’’ Approved 

by CIE in 1995. 

13R Value (R1 through R14) refers to the 14 test 

color samples used in comparing the color 

rendering of two light sources. R1 through R8 are 

the test color samples used to determine CRI, while 

R9 is one of six saturated test colors not used in 

calculating CRI. 

on Illumination (CIE) 13.3–1995.12 DOE 

proposed that the test procedure for LED 

lamps include measurement methods 

for CRI in order to support the 

upcoming general service lamps energy 

conservation standard rulemaking. Id. 

DOE received many comments 

regarding its proposal for measuring 

CRI. Lighting Designs supported the 

DOE proposal to include requirements 

for measuring the CRI of an LED lamp, 

and additionally commented that DOE 

should consider adding a metric for 

R9.13 Lighting Designs argued that 

combined, CRI and R9 data are 

sufficient metrics to enable consumers 

to assess and select a lamp product. 

(Lighting Design Inc., No. 23 at p. 1) 

Soraa provided similar comments, 

suggesting that R9 through R14 (see 

supra note 13) be included along with 

CRI in the test measurements for LED 

lamps. Pennsylvania State University 

and Jon Walker suggested that DOE not 

include CRI measurements in the LED 

lamps test procedure, and in addition to 

Soraa, advised that DOE adhere to the 

technical manual (TM) for the IES Color 

Metric Task Group once the industry 

standard comes available. (Soraa, No. 28 

at p. 2; Pennsylvania State University, 

No. 29 at p. 2; Jon Walker, No. 25 at p. 

1) 

NEMA and OSI also suggested that 

DOE not include CRI measurements in 

the LED lamps test procedure. (NEMA, 

No. 30 at p. 3; OSI, No. 32 at p. 3) Both 

NEMA and OSI argued that CRI is not 

a necessary metric for this test 

procedure. (NEMA, No. 30 at p. 3; OSI, 

No. 32 at p. 3) NEMA further indicated 

that CRI should not be included in the 

LED lamps test procedure because this 

metric is not required to support the 

FTC labeling provisions. (NEMA, No. 30 

at p. 3) In contrast, Pennsylvania State 

University argued that DOE should not 

include measurements for CRI because 

standards for this color rendition metric 

have not been updated since CIE 13.2– 

1974. Pennsylvania State University 

also commented that the limitations of 

CRI are well documented in academia 

and CIE 127–2007 provides evidence 

that CRI can fail to characterize visual 

impressions for LED lamps. 

(Pennsylvania State University, No. 29 

at p. 2) 

There are currently no industry 

standards that define or provide 

instructions for color quality metrics 

other than the CRI of LED lamps. After 

conducting thorough research of 

existing test procedures for all lighting 

products and industry literature 

regarding LED lamp color metrics, DOE 

has tentatively concluded that there is 

no industry consensus for how to 

characterize the color quality of LED 

lamps other than CRI. Therefore, DOE is 

not proposing to use metrics such as R9 

through R14 to describe the color 

quality of LED lamps. Although 

industry may be working to develop 

new and revised standards to better 

define color metrics and establish test 

procedures for measuring this quality, 

the timeframe for their development is 

unknown. DOE reviewed the efforts of 

other working groups, as suggested by 

interested parties, but was unable to 

find any U.S. or international standard 

that provides a test procedure for 

measuring color quality other than the 

CRI procedures provided in CIE 13.3– 

1995. As discussed in section I, this 

proposed test procedure will support 

any potential future standards for 

general service LED lamps. Accordingly, 

in this SNOPR, DOE will not propose 

color quality metrics of an LED lamp 

other than CRI be measured in this test 

procedure. DOE requests comment on 

any industry standards or test methods 

that are available for measuring other 

color quality metrics. 

C. June 2014 and Lifetime SNOPR 

Proposals 

The methodology proposed in the 

June 2014 SNOPR and lifetime SNOPR 

to calculate time to failure for integrated 

LED lamps consisted of four main steps: 

(1) Measuring the initial lumen output; 

(2) operating the lamp for a period of 

time (the test duration); (3) measuring 

the lumen output at the end of the test 

duration; and (4) projecting time to 

failure using an equation adapted from 

the underlying exponential decay 

function in ENERGY STAR’s most 

recent specification for integrated LED 

lamps, Program Requirements Product 

Specification for Lamps (Light Bulbs) 

Version 1.0. The June 2014 SNOPR 

equation projected time to failure using 

the test duration and the lumen 

maintenance at the end of the test 

duration as inputs, and limited time to 

failure claims to no more than four 

times the test duration. There was no 

minimum test duration requirement. 79 

FR 32035. 

DOE received many comments 

regarding its June 2014 SNOPR proposal 

for time to failure measurement and 

projection. DOE received comment from 

the Republic of Korea suggesting that 

DOE align its lifetime test procedure for 

LED lamps with that of ENERGY STAR 

Program Requirements Product 

Specification for Lamps (Light Bulbs) 

Version 1.0. (Republic of Korea, No. 37 

at p. 2) NEMA recommended that DOE 

be consistent with industry standards 

IES–LM–80–2008 and IES–TM–21– 

2011, which provide measurement and 

projection procedures of lumen 

maintenance for the LED source 

component. (NEMA, No. 30 at p. 3) 

However, other commenters, including 

Soraa, OSI, OSRAM Opto 

Semiconductors, and Rensselaer 

Polytechnic Institute (hereafter referred 

to as RPI) argued that DOE should better 

align its lifetime test procedure with 

new industry standards IES LM–84–14 

and IES TM–28–14 for lumen 

maintenance measurement and 

projection of time to failure of LED 

lamps. (Soraa, No. 28 at p. 2–3: OSI, No. 

32 at p. 2–3: OSRAM Opto 

Semiconductors, No. 33 at pp. 1, 3–4: 

RPI, No. 36 at p. 1) Alternatively, Cree 

argued that DOE procedures for lumen 

maintenance should be consistent with 

those outlined IES–LM–80–2008 and 

IES–TM–21–2011, or IES LM–84–14 and 

IES TM–28–14. (Cree, No. 31 at p. 1) 

DOE understands that industry 

standards represent the consensus 

position of industry experts, and 

appreciates both Cree and NEMA’s 

proposal to reference industry standards 

IES LM–80–2008 and IES TM–21–2011. 

However, these industry standards 

provide lifetime measurements and 

projection procedures for the LED 

source component and not the whole 

LED lamp. In the June 2014 SNOPR, 

DOE noted that other components may 

cause lamp failure before the LED 

source falls below 70 percent of its 

initial light output, and therefore, it is 

undesirable for the lifetime of LED 

lamps to be approximated by the lumen 

maintenance of the LED source. 79 FR 

32030. DOE reaffirms this position in 

this SNOPR. At the time of the June 

2014 SNOPR publication, no industry 

standards were available that addressed 

the measurement of lumen maintenance 

and projection of time to failure for the 

complete LED lamp. However, as 

indicated by several comments, since 

the June 2014 SNOPR publication, both 

IES LM–84–14, and IES TM–28–14, 

were completed and provide a 

recommended method for testing lumen 

maintenance and projecting the time to 

failure of LED lamps, light engines, and 

luminaires. 

DOE has reviewed IES LM–84–14 and 

IES TM–28–14 and proposes to modify 

its method for determining lifetime to 

align, where possible, with these 

industry standards. The revised lifetime 

test method proposal is described in 


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14The ENERGY STAR specification for Lamps 

will be revised to reference the DOE LED lamp test 

procedure after publication of the LED lamp test 

procedure final rule. 

section III.D.3. In particular, the lifetime 

projection method in IES TM–28–14 

will lead to more accurate lifetime 

projections than the June 2014 and 

lifetime SNOPR proposals and ENERGY 

STAR Program Requirements Product 

Specification for Lamps (Light Bulbs) 

Version 1.0 14 (see supra note 9). IES 

TM–28–14 specifies a method that 

projects time to failure using multiple 

lumen maintenance measurements 

collected over a period of time, rather 

than a single measurement at the end of 

the test duration. Although DOE now 

proposes this change, DOE did receive 

comments on specific aspects of the 

June 2014 and lifetime SNOPR 

proposals. These comments are 

discussed in further detail in the 

following sections. 

1. Definition of Lifetime and Time to 

Failure of Integrated Light-Emitting 

Diode Lamps 

In the lifetime SNOPR, DOE proposed 

that the definition of lifetime should be 

revised to better align with the EPCA 

definition of lifetime in 42 U.S.C. 

6291(30)(P). This statutory definition 

states that lifetime means the length of 

operating time of a statistically large 

group of lamps between first use and 

failure of 50 percent of the group in 

accordance with test procedures 

described in the IES Lighting HandbookReference Volume. In addition, DOE 

proposed revising the name of the 

metric from ‘‘lifetime,’’ to ‘‘lifetime of 

an integrated light-emitting diode 

lamp.’’ DOE proposed defining the 

lifetime of an integrated light-emitting 

diode lamp to be as follows: ‘‘the length 

of operating time between first use and 

failure of 50 percent of the sample 

units.’’ This revision also clarified that 

the metric ‘‘lifetime of an integrated 

light-emitting diode lamp’’ is a metric 

calculated for all sample units 

collectively. 79 FR 36243. 

To support the definition of lifetime 

as applied to LED lamps, in the lifetime 

SNOPR DOE also proposed to define 

time to failure for LED lamps. The 

revised definition of lifetime refers to 

the ‘‘failure’’ of a lamp. Because LED 

lamps typically exhibit gradual 

degradation of light output over a long 

period of time rather than a sudden loss 

of light output, lumen maintenance of 

70 percent is generally accepted as a 

criterion of reaching the end of useful 

LED lamp lifetime. 79 FR 36244. 

Therefore, DOE proposed to treat the 

point in time where an individual LED 

lamp reaches 70 percent lumen 

maintenance as the point of ‘‘failure.’’ In 

order to calculate the lifetime of an 

integrated LED lamp for a particular 

basic model, the manufacturer must 

determine the length of time between 

first use and failure for each unit in the 

sample. Therefore, DOE also proposed 

to define time to failure, in section 2.2 

of appendix BB to subpart B of 10 CFR 

part 430, as ‘‘the time elapsed between 

first use and the point at which the lamp 

reaches 70 percent lumen maintenance 

as measured in section 4.5 of appendix 

BB of this subpart.’’ These revisions also 

clarified that the metric ‘‘time to 

failure’’ would be measured for an 

individual lamp. DOE also proposed 

that the lifetime of an integrated LED 

lamp is calculated by determining the 

median time to failure of the sample. 

The median time to failure of the 

sample is calculated as the arithmetic 

mean of the time to failure of the two 

middle sample units when the numbers 

are sorted in value order. DOE requested 

comment on these proposed definitions 

and calculations of lifetime and time to 

failure of integrated LED lamps. 

OSRAM Opto Semiconductors and 

the Joint Comment agreed with DOE’s 

proposal to define time to failure as the 

point at which the lamp reaches 70 

percent lumen maintenance. (Joint 

Comment, No. 34 at p. 2; OSRAM Opto 

Semiconductors, No. 33 at p. 4) 

However, DOE received comments from 

the Joint Comment, CA IOUs, and 

NEMA requesting that DOE revise its 

definition and calculation for lifetime of 

LED lamps from mean time to failure of 

the middle two samples to the mean 

time to failure of all tested samples. 

(Joint Comment, No. 34 at p. 2; CA 

IOUs, No. 35 at p. 3; NEMA, No. 30 at 

p. 5) The CA IOUs further commented 

that this definition and calculation for 

lifetime would allow the first 40 percent 

of the LED lamp sample to fail during 

testing and still allow for a lumen 

maintenance projection based on the 

surviving 60 percent of the sample. For 

this reason, according to the CA IOUs, 

DOE should consider calculating the 

lifetime of an LED lamp as the mean 

time to failure of all tested samples, 

rather than the mean time to failure of 

the middle two samples. The CA IOUs 

also commented that they understand 

DOE’s efforts to propose a definition of 

lifetime that is consistent with the 

definition of other similar lighting 

products. However, they argued that 

other lighting products measure the 

sample set to the point of catastrophic 

failure rather than using projected 

lumen maintenance. For this reason, the 

CA IOUs suggested that it may not be 

appropriate to define rated life for LED 

lamps the same way it is defined for 

other technologies. (CA IOUs, No. 35 at 

p. 2) RPI also urged that DOE’s test 

procedure for LED lamps require the 

percentage of test samples that undergo 

catastrophic failure, and the time period 

within which these failures occur, be 

reported and included as factors when 

calculating the projected lumen 

maintenance of the product. (RPI, No. 

36 at p. 1) 

DOE understands the concerns 

regarding the proposed definition and 

calculation for lifetime of LED lamps. 

However, in order to be consistent with 

the statutory definition of lifetime in 42 

U.S.C. 6291(30)(P), DOE is maintaining 

its proposal from the lifetime SNOPR to 

define the lifetime of an integrated lightemitting diode lamp as ‘‘the length of 

operating time between first use and 

failure of 50 percent of the sample units 

(as defined in 10 CFR 429.56(a)(1)), in 

accordance with the test procedures 

described in section 4.5 of appendix BB 

to subpart B of part 430 of this chapter.’’ 

Further, DOE is only proposing 

measurements necessary for generating 

a lifetime value as defined by EPCA, 

and as a result is not proposing 

reporting the percentage of lamps that 

experience catastrophic failure or the 

time at which these failures occur. 

2. Test Duration 

In the June 2014 SNOPR, DOE 

proposed that initial lumen output is 

the measured amount of light that a 

lamp provides at the beginning of its 

life, after it is initially energized and 

stabilized using the stabilization 

procedures. 79 FR 32033. DOE also 

proposed that the period of time starting 

immediately after the initial lumen 

output measurement and ending when 

the final lumen output measurement is 

recorded is referred to as the ‘‘test 

duration’’ or time ‘‘t.’’ In the June 2014 

SNOPR, DOE discussed that the test 

duration does not include any time 

when the lamp is not energized. If 

lamps are turned off (possibly for 

transport to another testing area or 

during a power outage), DOE proposed 

that the time spent in the off-state not 

be included in the test duration. DOE 

did not specify a minimum test duration 

or measurement interval, so 

manufacturers could customize the test 

duration based on the expected lifetime 

of the LED lamp. 79 FR 32034. 

Both the CA IOUs and the Joint 

Comment argued that DOE should 

include a minimum test duration to 

help guard against early failure of LED 

lamps. (CA IOUs, No. 35 at p. 3; Joint 

Comment, No. 34 at p. 2) The Joint 

Comment also offered a suggestion that 


tkelley on DSK3SPTVN1PROD with PROPOSALS5
39650 Federal Register / Vol. 80, No. 131 / Thursday, July 9, 2015 / Proposed Rules 

15NEMA Comments on ENERGY STAR Program 

Requirements Product Specification for Lamps 

(Light Bulbs) Version 1.0, Draft 2 http://

energystar.gov/products/specs/sites/products/files/

NEMA.pdf. 

minimum test duration be set at 4,000 

hours. The CA IOUs expressed concern 

that historically test laboratories 

conducting lumen maintenance testing 

have disregarded lamps experiencing 

early failure. Therefore they suggested 

that DOE specify that the proposed 

lifetime test procedure is for a 

population of LED lamps, and not a 

lumen maintenance projection exercise 

based on the subset of lamps that have 

survived. (CA IOUs, No. 35 at p. 3) DOE 

agrees that early catastrophic failure of 

LED lamps is problematic. However, to 

render the test procedure applicable to 

LED lamps of all lifetimes (including 

lifetimes that could be less than the 

4,000 hour minimum test duration 

recommended in the Joint Comment), 

DOE does not propose minimum test 

duration requirements for LED lamps in 

this SNOPR. The proposed method for 

lifetime testing is discussed in more 

detail in section III.D.3. DOE has 

included a proposal in section III.D.3.g 

detailing the required procedures if an 

LED lamp fails prematurely during 

lumen maintenance testing. 

3. Test Duration Operating Conditions 

The June 2014 SNOPR discussed that, 

while operating an LED lamp, lumen 

output can vary with changes in 

ambient temperature, air flow, vibration, 

and shock. However, because lamps 

may need to be operated for an extended 

period of time for the purpose of 

lifetime testing, DOE proposed less 

stringent requirements when 

measurements are not being taken (e.g., 

ambient temperature and air flow) to 

reduce test burden. To determine 

ambient temperature requirements, DOE 

reviewed industry standard IES LM–65– 

10 ‘‘Approved Method Life Testing of 

Compact Fluorescent Lamps.’’ Section 

4.3 of IES LM–65–10 requires that 

ambient temperature be controlled 

between 15 and 40 °C. Although 

industry standard IES LM–65–10 is 

intended for compact fluorescent lamps, 

DOE proposed that this ambient 

temperature range is appropriate for the 

operation of LED lamps. Therefore, DOE 

proposed that ambient temperature be 

maintained between 15 and 40 °C. DOE 

also proposed that LED lamp testing 

racks be open and designed with 

adequate lamp spacing and minimal 

structural components to maintain 

ambient temperature conditions. 

Furthermore, similar to the 

requirements in section 4.2 of IES LM– 

65–10, DOE proposed minimizing 

airflow surrounding the LED lamp 

testing racks and that the lamps not be 

subjected to excessive vibration or 

shock. These requirements would 

minimize the impact of airflow and the 

physical environment while minimizing 

test burden. 79 FR 32034. 

Several stakeholders commented that 

DOE should tighten its proposal for 

ambient temperature requirements. Both 

the CA IOUs and the Joint Comment 

recommended tightening the ambient 

temperature requirements during lumen 

maintenance testing to 25 °C with a 

tolerance of ± 5 °C. (CA IOUs, No. 35 at 

p. 3; Joint Comment, No. 34 at p. 2) The 

CA IOUs argued that the lower end of 

DOE’s proposed range (15 °C) is 

significantly cooler than room 

temperature, and therefore, not an 

accurate representation of the operating 

conditions of most LED lamps. 

Additionally, it argued that the wide 

range between 15 and 40 °C could result 

in wildly different lamp performance 

measurements. (CA IOUs, No. 35 at p. 

3) Similarly, RPI also recommended that 

DOE consider testing LED lamps at the 

higher end of the proposed temperature 

range in more tightly controlled 

tolerances, specifically at 30 °C with a 

tolerance of ± 5 °C. (RPI, No. 36 at p. 1) 

NEMA commented that DOE should 

continue to reference IES LM–65–10, 

and not reference IES LM–84–14 

because industry has not yet had time 

to gain familiarity with the new IES 

LM–84–14 standard. NEMA further 

commented that DOE should simplify 

the temperature range in IES LM–65–10 

by setting the ambient temperature to 

‘‘15 °C or above.’’ (NEMA, No. 30 at p. 

2) 

DOE agrees that the ambient 

temperature tolerance of between 15 

and 40 °C is large, but notes that in the 

June 2014 SNOPR, DOE based this range 

on Section 4.3 of IES LM–65–10. As 

previously mentioned, for this SNOPR, 

DOE has developed a test procedure that 

references the industry standards IES 

LM–84–14 and IES TM–28–14. 

Therefore, DOE no longer proposes the 

ambient temperature conditions 

provided in Section 4.3 of IES LM–65– 

10. This SNOPR instead proposes to 

adopt section 4.4 of IES LM–84–14, 

which indicates that during lumen 

maintenance testing the ambient 

temperature shall be maintained at 25 

°C ± 5 °C. These requirements are 

discussed in more detail in section 

III.D.1. Regarding industry familiarity 

with IES LM–84–14, DOE expects that 

the compliance date of the test 

procedure final rule (see section III.L) 

will provide adequate time for gaining 

familiarity and conducting the adopted 

test procedure for LED lamps. 

4. Stress Testing 

The Joint Comment, CA IOUs, and 

RPI recommended that DOE should not 

only consider test procedures for lumen 

maintenance, but also for the possibility 

of catastrophic failure as measured 

through stress testing. (Joint Comment, 

No. 34 at p. 2; CA IOUs, No. 35 at p. 

4; RPI, No. 36 at p. 2) The CA IOUs 

argued that DOE should consider 

utilizing an additional elevated 

temperature test, and/or other stress 

tests, because heat buildup and other 

factors such as rapid cycling will likely 

have a significant impact on component 

failure of integrated LED lamps. 

Furthermore, the CA IOUs indicated 

that stress-test procedures are already 

included in the ENERGY STAR Program 

Requirements Product Specification for 

Lamps (Light Bulbs) Version 1.0 (see 

supra note 9), and therefore would not 

represent additional testing burden to 

manufacturers. (CA IOUs, No. 35 at p. 

4) RPI also recommended that DOE 

require on-off cycling at realistic 

operating intervals (e.g., a minimum of 

two-hours on and two-hours off), 

claiming that this could potentially 

damage subcomponents within the LED 

lamp. RPI argued that this cycling 

method would allow lamp components 

to experience maximum temperature 

differences and undergo stresses similar 

to what they would experience in reallife applications. (RPI, No. 36 at p. 2) 

Industry has stated that unlike other 

lighting technologies, the lifetime of 

LED lamps is minimally affected by 

power cycling.15 DOE research of 

existing literature and industry test 

procedures indicates none are available 

that use rapid-cycle stress testing to 

predict the failure of the complete LED 

lamp. In this SNOPR, DOE proposes to 

retain the testing conditions that LED 

lamps operate without rapid-cycle stress 

testing. DOE requests comment on 

whether standardized test methods exist 

that use rapid-cycle stress testing to 

predict the failure of integrated LED 

lamps. 

The Joint Comment also requested 

that if DOE does not include procedures 

for stress testing of LED lamps that DOE 

not preclude the U.S. Environmental 

Protection Agency (EPA) from requiring 

stress testing for the purposes of the 

ENERGY STAR program. (Joint 

Comment, No. 34 at p. 2) While DOE 

understands the issue raised in the Joint 

Comment, DOE is not addressing 

procedures for stress testing of LED 

lamps in the context of the present 

rulemaking. 


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16U.S. Department of Energy, ‘‘LED Luminaire 

Lifetime: Recommendation for Testing and 

Reporting,’’ June 2011. http://

apps1.eere.energy.gov/buildings/publications/pdfs/

ssl/led_luminaire-lifetime-guide_june2011.pdf 

5. Color Maintenance 

In addition to including lumen 

maintenance in DOE’s lifetime test 

procedure, Soraa also requested that 

DOE measure and report color 

maintenance of LED lamps using the 

procedures described in IES LM–84–14. 

(Soraa, No. 28 at p. 2) Color 

maintenance is the difference or ‘‘shift’’ 

in chromaticity as measured initially 

compared to that over an elapsed 

operating time, and color shift and other 

degradation mechanisms can affect the 

useful lifetime of LED lamps. While 

color maintenance measurement 

procedures are provided in IES LM–84– 

14, no method for projection is 

provided. Furthermore, color 

maintenance is not well understood or 

well-studied, and is not commonly used 

for traditional incandescent lamps and 

CFLs.16 After conducting thorough 

research of existing test procedures for 

all lighting products and industry 

literature regarding LED lamp lifetime, 

DOE has tentatively concluded that 

there is no industry consensus for how 

to characterize lifetime of LED lamps in 

terms of performance metrics other than 

lumen maintenance. Therefore, DOE is 

not proposing to use metrics such as 

color maintenance to determine the 

lifetime of LED lamps. 

D. Proposed Approach for Lifetime 

Measurements 

As discussed in section III.C.1, DOE 

previously had proposed to define the 

time to failure of an LED lamp as the 

time required to reach a lumen 

maintenance of 70 percent (L70). 79 FR 

36243. Lumen maintenance is the 

measure of lumen output after an 

elapsed operating time, expressed as a 

percentage of the initial lumen output. 

In this SNOPR, DOE proposes a new test 

procedure for measuring and projecting 

the lifetime of LED lamps that addresses 

many of the stakeholder concerns 

(discussed in the preceding sections) 

regarding the June 2014 and lifetime 

SNOPR proposals. This new proposal is 

largely based on the IES LM–84–14 and 

IES TM–28–14 industry standards, and 

provides a simple, straightforward, and 

flexible test procedure. 

IES LM–84–14 provides a method for 

lumen maintenance measurement of 

integrated LED lamps that specifies the 

operational and environmental 

conditions during testing such as 

operating cycle, ambient temperature, 

airflow, and orientation. IES TM–28–14 

provides methods for projecting the 

lumen maintenance of integrated LED 

lamps depending on the available data 

and test duration. These requirements, 

and any modifications proposed by 

DOE, are further discussed in the 

sections III.D.1 through III.D.4. DOE 

requests comment on the proposed 

incorporation of IES LM–84–14 and IES 

TM–28–14 for measuring and projecting 

the lumen maintenance of LED lamps. 

1. Test Conditions 

DOE proposes that the operating 

conditions for lamp operation between 

lumen output measurements be as 

specified in section 4.0 of IES LM–84– 

14, with some modifications. Lumen 

output of LED lamps can vary with 

changes in ambient temperature and air 

movement around the LED lamp. 

However, to reduce test burden, DOE 

proposes that the operating conditions 

(e.g., ambient temperature) required 

during the test duration while 

measurements are not being taken 

would be less stringent than those 

required when taking photometric 

measurements. The test conditions 

outlined in IES LM–84–14 ensure 

reliable, repeatable, and consistent test 

results without significant test burden. 

These conditions are discussed in 

further detail below. 

DOE proposes to include section 4.1 

of IES LM–84–14, which specifies that 

LED lamps should be checked and 

cleaned prior to lumen output 

measurement and maintenance testing, 

and further states that unusual 

environmental conditions, such as 

thermal interference from heating, 

ventilation and air conditioning systems 

or solar loading, are to be reduced to 

levels reasonably expected to minimize 

influence. DOE also proposes to include 

section 4.2 of IES LM–84–14, which 

states the lamp should be mounted in 

accordance with manufacturer 

specifications. In addition, DOE 

proposes to include section 4.4 of IES 

LM–84–14, which specifies that 

photometric measurements should be 

taken at an ambient temperature of 25 

± 5 °C. A tolerance of 5 °C for the 

ambient temperature during lumen 

maintenance testing is practical, limits 

the impact of ambient temperature, and 

is not burdensome. Section 4.4 of IES 

LM–84–14 also indicates that the 

temperature variation of the operating 

environment shall be monitored with a 

sufficient number of and appropriately 

located temperature measurement 

points, and that the sensors used for 

measurements must be shielded from 

direct optical radiation from the lamp or 

any other source to reduce the impact of 

radiated heat on the ambient 

temperature measurement. Section 4.4 

of IES LM–84–14 further states that if 

the ambient temperature falls outside 

the allowed range, the lumen 

maintenance test shall be terminated. 

This setup for measuring and 

controlling ambient temperature would 

result in appropriate testing conditions 

as the lamp would be tested at room 

temperature and in an environment that 

is used most commonly for testing lamp 

technologies. 

DOE proposes that the requirement 

for vibration and air movement around 

the LED lamp be as specified in sections 

4.3 and 4.6 of IES LM–84–14, which 

require that the LED lamps not be 

subjected to excessive vibration or 

shock during operation or handling, and 

that the air flow surrounding the LED 

lamp be minimized. This is a 

requirement in relevant industry 

standards for the test setup of other 

lamp types such as GSFLs, and would 

ensure consistent LED lamp 

measurements. DOE also proposes that 

humidity of the environment around the 

LED lamp shall be maintained to less 

than 65 percent relative humidity 

during the lumen maintenance test as 

specified in section 4.5 of IES LM–84– 

14. 

DOE requests comment on the 

proposal to reference section 4.0 of IES 

LM–84–14 for specifying the ambient 

conditions for lumen maintenance 

testing of LED lamps. 

2. Test Setup 

In this SNOPR, DOE proposes test 

setup requirements for determining 

lifetime. Power supply, test rack wiring, 

electrical settings, and operating 

orientation are discussed in sections 

III.D.2.a through III.D.2.d. 

a. Power Supply 

DOE proposes that line voltage 

waveshape and input voltage of AC 

power supplies be as specified in 

sections 5.2 and 5.4 of IES LM–84–14, 

respectively. Section 5.2 specifies that 

an AC power supply shall have a 

sinusoidal voltage waveshape at the 

input frequency required by the LED 

lamp such that the RMS summation of 

the harmonic components does not 

exceed 3.0 percent of the fundamental 

frequency while operating the LED 

lamp. Section 5.4 requires, in part, that 

the voltage of an AC power supply 

(RMS voltage) applied to the LED lamp 

shall be less than or equal to 2.0 percent 

of the rated RMS voltage. Lastly, DOE 

proposes to not reference section 5.3 of 

IES LM–84–14, which provides line 

impedance guidelines, because the 

procedures are listed as optional by IES 

and lack specific line impedance 


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restrictions. DOE invites comments on 

the proposal to reference section 5.2 of 

IES LM–84–14 requirements for AC 

power supplies, and on the requirement 

that input voltage be monitored and 

regulated to less than or equal to 2.0 

percent of the rated RMS voltage as 

specified in section 5.4 of IES LM–84– 

14. DOE also invites comments on the 

proposal to not reference the line 

impedance guidelines provided in 

section 5.3 of IES LM–84–14. 

b. Test Rack Wiring 

DOE proposes that section 5.5 of IES 

LM–84–14 be incorporated by reference 

to specify test rack wiring requirements 

during lumen maintenance testing of 

LED lamps. This section specifies that 

that wiring of test racks should be in 

accordance with national, state or 

provincial, and local electrical codes, 

and in accordance with any 

manufacturer operation and condition 

recommendations for the LED lamp. 

This section also requires that an 

inspection of electric contacts including 

the lamp socket contacts be performed 

each time the LED lamps are installed 

in the test rack. DOE invites comments 

on the proposal to adopt section 5.5 of 

IES LM–84–14, which provides test rack 

wiring requirements during lumen 

maintenance testing of LED lamps. 

c. Electrical Settings 

DOE proposes requiring lumen 

maintenance testing of LED lamps at the 

rated voltage as specified in section 5.1 

of IES LM–84–14. For lamps with 

multiple operating voltages, DOE 

proposes the electrical settings 

requirements provided in section 

III.C.3.d of the June 2014 SNOPR. 79 FR 

32025–6. For LED lamps with multiple 

modes of operation, DOE proposes 

incorporating section 7.0 of IES LM–79– 

2008, which specifies that dimmable 

LED lamps should be tested at 

maximum input power. When multiple 

modes (such as multiple CCTs and CRIs) 

occur at the maximum input power, 

DOE proposes that the manufacturer can 

select any of these modes for testing. For 

certification, DOE proposes that all 

measurements (lumen output, input 

power, efficacy, CCT, CRI, power factor, 

lifetime, and standby mode power) be 

conducted at the same mode of 

operation. 

d. Operating Orientation 

DOE proposes to include section 4.7 

of IES LM–84–14, which specifies that 

the operating orientation of the lamp be 

the same as during photometric 

measurement. Lamp operating 

orientation during photometric 

measurement is discussed in section 

III.B.2. 

3. Test Method 

DOE proposes that the lumen 

maintenance test procedure for LED 

lamps be as specified in section 7.0 of 

IES LM–84–14 and section 4.2 of IES 

TM–28–14. The test methods outlined 

in IES LM–84–14 and IES TM–28–14 

ensures reliable, repeatable, and 

consistent test results without 

significant test burden. The lumen 

maintenance test method is discussed in 

further detail in sections III.D.3.a 

through III.D.3.g. DOE requests 

comment on the lumen maintenance 

test procedure. 

a. Initial Lumen Output Measurements 

DOE proposes to reference section 7.6 

of IES LM–84–14, which states that an 

initial lumen output measurement is 

required prior to starting the 

maintenance test. Initial lumen output 

is the measured amount of light that an 

LED lamp provides at the beginning of 

its life after it is initially energized and 

stabilized using the stabilization 

procedures proposed in section III.C.4.b 

of the June 2014 SNOPR. 79 FR 32027. 

The methodology, test conditions, and 

setup requirements described in the 

June 2014 SNOPR (with the 

modifications described in section III.B 

above) would be used when measuring 

initial lumen output for the lifetime test 

procedure. Manufacturers testing an 

LED lamp for lifetime would be required 

to use the same value of initial lumen 

output as used in the lamp efficacy 

calculation. 

b. Interval Lumen Output Measurements 

DOE also proposes to reference 

section 7.6 of IES LM–84–14 to indicate 

that additional lumen output 

measurements (known as interval lumen 

output measurements) are made after 

the initial lumen output measurement 

and continue at regular intervals. 

Interval lumen output is measured after 

the lamp is energized and stabilized 

using the stabilization procedures in 

section III.C.4.b of the June 2014 

SNOPR. 79 FR 32027. The methodology, 

test conditions, and setup requirements 

described in the June 2014 SNOPR (with 

the modifications described in section 

III.B above) would be required when 

measuring interval lumen output for the 

lifetime test procedure. Further 

instructions specifying the timing of the 

collection of interval lumen output 

measurements are discussed in section 

III.D.4.a. 

c. Test Duration 

During lumen maintenance testing, 

the LED lamps must operate for an 

extended period of time, referred to as 

the ‘‘elapsed operating time.’’ The 

entirety of elapsed operating time 

starting immediately after the initial 

lumen output measurement and ending 

with the recording of the final interval 

lumen output measurement is then 

referred to as the ‘‘test duration.’’ The 

test duration does not include any time 

when the lamp is not energized. If 

lamps are turned off (possibly for 

transport to another testing area or 

during a power outage), DOE proposes 

that the time spent in the off state not 

be included in the test duration. Similar 

to the June 2014 SNOPR, DOE does not 

specify minimum test duration 

requirements, so manufacturers can 

customize the test duration based on the 

expected lifetime of the LED lamp. 

However, DOE understands that the test 

duration has a significant impact on the 

reliability of the lumen maintenance 

prediction and proposes maximum time 

to failure claims that increase as the test 

duration increases. These lumen 

maintenance calculation requirements 

are discussed further in section III.D.4. 

d. Lamp Handling and Tracking 

Section 7.2 of IES–LM–84–14 

specifies that when handling, 

transporting, or storing LED lamps, care 

should be taken to prevent any damage 

or contamination that may affect the test 

results. These handling requirements 

are practical, prevent lamp damage that 

could affect the measured results, and 

would not be burdensome to 

manufacturers. 

DOE also proposes that the 

requirements for LED lamp marking and 

tracking during lumen maintenance 

testing be as specified in section 7.3 of 

IES–LM–84–14. Section 7.3 of IES–LM– 

84–14 specifies that each LED lamp 

shall be tracked during the maintenance 

test and identified by marking applied 

directly to the LED lamps or by labels 

that can be attached during transport, 

operation and evaluation or to the test 

rack position occupied by the LED 

lamp. The chosen identification method 

should also consider the effect of 

exposure to light and heat, as this may 

alter or compromise the marking or 

label. Section 7.3 of IES–LM–84–14 also 

offers several possible marking methods 

and materials, including durable bar 

coding, ceramic ink marking, hightemperature markers, or any other 

method that endures or can be 

periodically renewed for the duration of 

the test. These requirements ensure that 

the LED lamp can be tracked and 


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identified correctly throughout lumen 

maintenance testing. DOE requests 

comment on the lamp handling and 

tracking proposal. 

e. Operating Cycle 

Lifetime test procedures for other 

lamp types sometimes require 

‘‘cycling,’’ which means turning the 

lamp on and off at specific intervals 

over the test period. However, industry 

has stated that unlike other lighting 

technologies, the lifetime of LED lamps 

is minimally affected by power cycling 

(see supra note 15). Thus, in this 

SNOPR, DOE proposes that cycling of 

the LED lamp not be required during 

lumen maintenance testing. 

f. Time Recording 

Accurately recording of the elapsed 

operating time is critical for the lumen 

maintenance test procedure. Therefore, 

DOE proposes to adopt section 7.5 of 

IES LM–84–14, which states that 

elapsed time recording devices shall be 

connected to the particular test 

positions and accumulate time only 

when the LED lamps are operating. The 

LED lamp is operating only when the 

lamp is energized. If lamps are turned 

off (possibly for transport to another 

testing area or during a power outage), 

DOE proposes that the time spent in the 

off state not be included in the recorded 

elapsed operating time. Section 7.5 of 

IES LM–84–14 also indicates that video 

monitoring, current monitoring, or other 

means can be used to determine elapsed 

operating time. All equipment used for 

measuring elapsed operating time 

would be calibrated and have a total 

minimum temporal resolution of ±0.5 

percent. These requirements are 

achievable with minimal testing burden 

and provide reasonable stringency that 

is achievable via commercially available 

time recording instrumentation. DOE 

requests comment on the time recording 

proposal. 

g. Lamp Failure 

Finally, DOE also proposes that LED 

lamps be checked regularly for failure as 

specified in section 7.8 of IES–LM–84– 

14, which requires that checking for 

LED lamp operation either by visual 

observation or automatic monitoring be 

done at a minimum at the start of lumen 

maintenance testing and during every 

interval measurement. Section 7.8 of IES 

LM–84–14 further specifies that each 

non-operational LED lamp shall be 

investigated to make certain that it is 

actually a failure, and that it is not 

caused by improper functioning of the 

test equipment or electrical connections. 

DOE proposes that if lumen 

maintenance of the LED lamps is 

measured at or below 0.7 or an LED 

lamp fails resulting in complete loss of 

light output, time to failure has been 

reached and therefore it must not be 

projected using the procedures 

described in the following section 

III.D.4. Instead, the time to failure is 

equal to the last elapsed time 

measurement for which the recorded 

lumen output measurement is greater 

than or equal to 70 percent of initial 

lumen output. DOE requests comment 

on this proposal. 

4. Projection Method 

In this SNOPR, DOE proposes a new 

lumen maintenance projection 

procedure that addresses many of the 

stakeholder concerns discussed in 

section III.C regarding the June 2014 and 

lifetime SNOPR proposals. This 

proposal is largely based on the IES 

TM–28–14 industry standard and 

provides a simple, straightforward, and 

flexible calculation based on the 

recorded trend in lumen maintenance of 

an LED lamp. However, DOE is 

proposing certain modifications, 

discussed below, so that the projection 

method better meets DOE’s needs. 

a. Interval Lumen Output Measurement 

Collection Instructions 

In this SNOPR, DOE proposes that all 

interval lumen output measurements 

meet the requirements specified in 

section 4.2, 4.2.1, and 4.2.2 of IES TM– 

28–14. For test durations greater than or 

equal to 6,000 hours, DOE proposes that 

section 4.2.1 of IES TM–28–14 be 

followed. Section 4.2.1 of IES TM–28– 

14 specifies that lumen maintenance 

data used for direct extrapolation must 

be collected initially and at least once 

every 1,000 hours thereafter. For test 

durations greater than or equal to 3,000 

hours and less than 6,000 hours, DOE 

proposes section 4.2.2 of IES TM–28–14 

be followed, except that lumen 

maintenance data of LED packages and 

modules would not be collected. 

Section 4.2.2 of IES TM–28–14 specifies 

that lumen maintenance data used for 

combined extrapolation must be 

collected initially after 1,000 hours, and 

at least once every 500 hours thereafter. 

Lumen maintenance data collected at 

intervals greater than those specified 

above must not be used as this may 

compromise the accuracy of the 

projection results. In addition, section 

4.2 of IES TM–28–14 indicates that 

lumen maintenance data shall be 

collected within a ±48 hour window of 

each measurement point, e.g., for 1000- 

hour intervals, between 952 hours and 

1048 hours, between 1952 and 2048 

hours, etc. This ±48 hour data collection 

window is also applicable to other 

intervals smaller than 1,000 hours. 

Furthermore, section 4.2 specifies that 

lumen maintenance data used for the 

projection calculation shall be equally 

dispersed in time (to within ±48 hours), 

and that no two consecutive data 

collection intervals after the initial 

1,000 hours shall differ by more than 96 

hours in length. Therefore, data may be 

used in the projection calculation if they 

are collected every 1,000 hours (±48 

hours), every 500 hours (±48 hours), 

etc., but not every 1,000 hours and 

occasionally at 500 hours, as this will 

give excessive statistical weight to 

certain data points. DOE requests 

comment on adopting the proposed 

lumen maintenance data collection 

requirements specified in section 4.2 of 

IES TM–28–14. 

b. Projection Calculation 

Section 5.0 of IES TM–28–14 provides 

guidance for how to determine time to 

failure for an integrated LED lamp. For 

short test durations (less than 3,000 

hours), IES TM–28–14 does not provide 

a projection method so time to failure is 

determined using actual test data. For 

test durations of 3,000 hours or greater, 

IES TM–28–14 provides two different 

methods for projecting time to failure, 

depending on test duration. The first is 

a direct extrapolation method for 

projecting time to failure based on 

lumen maintenance data of a whole LED 

lamp. The second is a combined 

extrapolation method based on both 

whole LED lamp and LED source lumen 

maintenance data. DOE discusses these 

provisions of IES TM–28–14 in more 

detail in this section. 

IES TM–28–14 does not provide a 

lumen maintenance projection method 

if IES LM–84–14 testing has been 

completed for a total elapsed operating 

time of less than 3,000 hours. IES TM– 

28–14 indicates that the prediction may 

be unreliable since the spread of 

prediction estimates increases 

significantly for data sets that do not 

meet the minimum test duration 

requirements for the either the direct or 

combined extrapolation methods. On 

the basis of the limited dataset 

potentially yielding unreliable 

projections, DOE proposes no projection 

of time to failure for test durations less 

than 3,000 hours. Instead, time to failure 

would equal the test duration. 

For test durations of at least 6,000 

hours, the IES TM–28–14 procedures 

recommend use of a direct extrapolation 

method. The direct extrapolation 

method uses an exponential least 

squares curve-fit to extrapolate lumen 

maintenance measurements of the 

complete integrated LED lamp to the 

time point where lumen maintenance 


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decreases to 70 percent of its initial 

lumen output. 

The direct extrapolation method 

described in section 5.1 of IES TM–28– 

14 for projecting time to failure based on 

lumen maintenance data of a whole LED 

lamp is similar to DOE’s June 2014 

SNOPR proposal. 79 FR 32035. 

However, where DOE’s June 2014 

SNOPR projected time to failure based 

on the underlying exponential decay 

function in ENERGY STAR’s Program 

Requirements Product Specification for 

Lamps (Light Bulbs) Version 1.0, IES 

TM–28–14 projects time to failure based 

on the data obtained for each individual 

LED lamp. Thus, DOE proposes to 

incorporate the direct extrapolation 

method provided in section 5.1 of IES 

TM–28–14, as this should result in more 

accurate projections. 

While DOE proposes referencing the 

direct extrapolation method specified in 

section 5.1 of IES TM–28–14 for 

projecting time to failure of LED lamp 

lumen maintenance data (tested as 

described in sections III.D.1 through 

III.D.3), this SNOPR also proposes the 

following modification for consistency 

with DOE’s reporting requirements. 

Measured lumen maintenance data of 

all the LED lamp samples must not be 

averaged, and the averaging procedures 

specified in section 5.1.2 of IES TM–28– 

14 shall not be used. DOE proposes that 

the projection calculation be completed 

for each individual LED lamp and the 

projected time to failure values be used 

to calculate the lifetime of the sample 

using the procedures proposed in 

section III.G.3. 

If at least 3,000 hours but less than 

6,000 hours of whole-lamp lumen 

maintenance data is available, IES TM– 

28–14 recommends a combined 

extrapolation method. This method uses 

IES TM–21–2011 to project the data 

collected from IES LM–80–2008, which 

measures lumen maintenance of the 

LED source component. This method 

then corrects for additional lumen 

maintenance losses in the complete 

integrated LED lamp, if they are 

observed during whole-lamp testing. 

DOE proposes not to reference the 

combined extrapolation method 

described in section 5.2 of IES TM–28– 

14 for when at least 3,000 hours, but 

less than 6,000 hours, of whole-lamp 

lumen maintenance test data are 

available. The requirement to use lumen 

maintenance data of the LED source 

component would require disassembly 

of the lamp, which could necessitate 

irreversible modifications to the lamp 

and introduce potential for error and 

variation in the measurements. 

Furthermore, failure of an integrated 

LED lamp is often determined by 

components other than the LED source, 

as many stakeholders described in 

comments to the NOPR test procedure. 

79 FR 32030. 

In place of the combined 

extrapolation method for test durations 

of at least 3,000 hours but less than 

6,000 hours, DOE proposes to use the 

direct extrapolation method specified in 

section 5.1 of IES TM–28–14 but to 

lower the maximum allowed time to 

failure claim. Section 5.1.5 of IES TM– 

28–14 provides instruction for how to 

limit time to failure claims depending 

on sample size. Because DOE requires a 

sample size of a least ten LED lamps, the 

projected time to failure, as specified in 

Table 1 in section 5.1.5 of IES TM–28– 

14, would be limited to no more than 

six times the test duration for test 

durations greater than or equal to 6,000 

hours. However, to account for the 

increased uncertainty in lowering the 

threshold for the direct extrapolation 

method to 3,000 hours, DOE proposes to 

reduce the maximum time to failure 

claims based on the test duration. For 

this test duration range, DOE proposes 

a maximum projection limit that scales 

linearly from one times the test duration 

(the effective limit for test durations less 

than 3,000 hours) to approximately six 

times the test duration (the limit for test 

durations greater than or equal to 6,000 

hours). 

In summary, DOE proposes to 

determine time to failure using the 

following procedures: 

(1) If the test duration is less than 

3,000 hours: 

No projection of lumen maintenance 

data is permitted, and the time to failure 

claim equals the test duration or the 

recorded time at which the lamp 

reaches 70 percent lumen maintenance, 

whichever is of lesser value. See section 

III.D.3.g for more details on how lamp 

failure is recorded during lumen 

maintenance testing. 

(2) If the test duration is greater than 

or equal to 3,000 and less than 6,000 

hours: 

The direct extrapolation method 

specified in section 5.1 of IES TM–28– 

14 may be utilized. The maximum time 

to failure claim is determined by 

multiplying the test duration by the 

limiting multiplier calculated in the 

following equation: 

Where: 

Test duration is expressed in hours 

This equation is a linear function that 

equals one when the test duration is 

equal to 3,000 hours and six at 6,000 

hours. As an example, if an LED lamp 

is tested for 4,500 hours, the maximum 

time to failure that could be reported 

based on this approach is only 15,750 

hours (3.5 times the test duration of 

4,500 hours). The limiting multiplier 

increases as the test duration increases 

until the test duration equals or exceeds 

6,000 hours where it is set and remains 

at a value of six. 

(3) If the test duration is greater than 

or equal to 6,000 hours: 

The direct extrapolation method 

specified in section 5.1 of IES TM–28– 

14 may be utilized. The projected time 

to failure is limited to no more than six 

times the test duration. 

DOE requests comment on referencing 

the direct extrapolation method 

specified in section 5.1 of IES TM–28– 

14 for projecting time to failure of LED 

lamps. DOE also seeks comment on the 

proposed modifications to project time 

to failure of each individual lamp (no 

averaging lumen maintenance values), 

lowering the test duration threshold to 

3,000 hours for the direct extrapolation 

method, and the procedures for limiting 

the maximum time to failure claim. 

E. Proposed Approach for Standby 

Mode Power 

As explained in the June 2014 

SNOPR, EPCA section 325(gg)(2)(A) 

directs DOE to establish test procedures 

to include standby mode, ‘‘taking into 

consideration the most current versions 

of Standards 62301 and 62087 of the 

International Electrotechnical 

Commission. . . .’’ (42 U.S.C. 

6295(gg)(2)(A)) IEC Standard 62087 

applies only to audio, video, and related 

equipment, but not to lighting 

equipment. As IEC Standard 62087 does 

not apply to this rulemaking, in the June 

2014 SNOPR, DOE proposed procedures 

consistent with those outlined in IEC 

Standard 62301, which applies 

generally to household electrical 


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appliances. 79 FR 32035. However, to 

develop a test method that would be 

familiar to LED lamp manufacturers and 

maintain consistent requirements to the 

active mode test procedure, DOE 

referenced language and methodologies 

presented in IES LM–79–2008 for test 

conditions and test setup requirements. 

In the June 2014 SNOPR, DOE noted 

that a standby mode power 

measurement is an input power 

measurement made while the LED lamp 

is connected to the main power source, 

but is not generating light (an active 

mode feature). DOE proposed in the 

June 2014 SNOPR that all test condition 

and test setup requirements used for 

active mode measurements (e.g., input 

power) (see sections III.B.1 and III.B.2) 

also would apply to standby mode 

power measurements. Once the test 

conditions and setup have been 

implemented, the LED lamp would be 

stabilized in accordance with the 

requirements given for active mode 

measurements in the June 2014 SNOPR. 

After the lamp has stabilized, the 

technician would send a signal to the 

LED lamp instructing it to provide zero 

light output. The technician would then 

measure standby power in accordance 

with section 5 of IEC 62301. Id. 

NEMA commented that requiring 

lumen output measurements to 

determine stability of standby mode 

operation is not necessary, and that 

electrical stabilization in the standby 

mode should be sufficient. (NEMA, No. 

30 at p. 4) For standby mode, DOE is 

proposing to measure the power 

consumed, not the light output (light 

output is zero in standby mode by 

definition). Therefore, DOE agrees that 

requiring lumen output measurements 

to determine stability of standby mode 

operation is not necessary. Thus, DOE is 

revising the procedures for purposes of 

standby mode power measurement, and 

proposes that, once test conditions and 

setup have been implemented, the 

stabilization procedures in section 

III.C.4.b of the June 2014 SNOPR are 

required for input power only, not 

lumen output. 79 FR 32027. DOE 

requests comment on the proposal to 

determine stabilization for standby 

mode measurements using power 

measurements only. 

NEMA also recommended that DOE 

revise its proposal in the June 2014 

SNOPR to state that standby mode 

power measurements may be taken 

before or after active mode operation. 

NEMA reasoned that if stabilization of 

the light output of the lamp was not a 

necessary element of the stabilization 

procedure for standby mode 

measurements, that the sequence of 

standby and active mode measurements 

would not affect the measured values. 

(NEMA, No. 30 at p. 4) DOE agrees that 

the sequence of standby mode and 

certain active mode measurements 

should not affect the measured values. 

However, DOE does propose that 

standby mode measurements be 

completed before initiating lumen 

maintenance testing for determining 

time to failure. Therefore, DOE proposes 

to clarify that standby mode 

measurements may be taken before or 

after active mode measurements of 

lumen output, input power, CCT, CRI, 

power factor, and lamp efficacy, but 

must be taken before the active mode 

measurement of and calculation of time 

to failure. 

F. Proposed Approach for Power Factor 

DOE proposes to include a power 

factor measurement requirement, 

because power quality can impact 

energy consumption. Power factor is a 

dimensionless ratio of real power to 

apparent power, where real power is the 

measured input power of the LED lamp 

and apparent power is equal to the 

product of measured input current and 

input voltage. Power factor is not 

described directly in IES LM–79–08, but 

the instrumentation for measuring the 

values necessary for calculating power 

factor is specified. 

DOE proposes to calculate power 

factor in this SNOPR by dividing input 

power by the product of input current 

and input voltage. Input power would 

be measured as proposed in the June 

2014 SNOPR. 79 FR 32028. Following 

seasoning and stabilization, input 

current and input voltage to the LED 

lamp would be measured using the 

instrumentation specified in section 8.0 

of IES LM–79–08. Input current and 

input voltage would be measured using 

the same test conditions and test setup 

as for lumen output, lamp efficacy, CCT, 

and CRI as proposed in the June 2014 

SNOPR (79 FR 32023–26) and sections 

III.B.1 and III.B.2 of this SNOPR. DOE 

requests comment on the method of 

measuring and calculating power factor. 

G. Basic Model, Minimum Sample Size, 

and Determination of Represented 

Values 

1. Basic Model 

In the June 2014 SNOPR, DOE 

proposed to revise the term ‘‘basic 

model’’ in 10 CFR 430.2 for LED lamps 

as follows: ‘‘With respect to integrated 

light-emitting diode lamps: Lamps that 

have essentially identical light output 

and electrical characteristics—including 

lumens per watt (lm/W), color rendering 

index (CRI), correlated color 

temperature (CCT), and lifetime.’’ 79 FR 

32036. In their written comments, both 

OSI and NEMA agree with the revision 

to the definition of ‘‘basic model.’’ (OSI, 

No. 32 at p. 3; NEMA, No. 30 at p. 3) 

However, the Republic of Korea 

commented on DOE’s definition that 

requires that manufacturers test the 

entire basic model, and that this may 

become burdensome particularly for 

lifetime testing. Therefore, it 

recommended that DOE align the basic 

model definition with that of the 

ENERGY STAR Program Requirements 

Product Specification for Lamps (Light 

Bulbs) Version 1.0, which requires a 

lifetime test only on representative 

model regardless of color temperature. 

(Republic of Korea, No. 37 at p. 2) 

Upon further review, DOE determined 

that a revised definition of basic model 

specific to integrated LED lamps is not 

currently necessary for the general 

service lamp energy conservation 

rulemaking (see public docket EERE– 

2013–BT–STD–0051) and that LED 

lamps with different CCT, CRI, or 

lifetime could be categorized as the 

same basic model. All products 

included in a basic model must comply 

with the certified values, and products 

in the same basic model must also have 

the same light output and electrical 

characteristics (including lumens per 

watt) when represented in manufacturer 

literature. DOE requests comment on 

this revised proposal. 

2. Minimum Sample Size 

The June 2014 SNOPR proposed 

testing a minimum of ten LED lamps to 

determine the input power, lumen 

output, efficacy, CCT, CRI, lifetime, and 

standby mode power. DOE also 

proposed that all LED lamps within the 

sample, including those that fail 

prematurely, be included in the 

reported results for input power, lumen 

output, efficacy, CCT, CRI, lifetime, and 

standby mode power. LED lamp failure 

should not be exempt from reporting, 

because this would potentially mislead 

consumers. Furthermore, DOE proposed 

that sample units be randomly selected 

from production units. 79 FR 32036. 

DOE determined that a minimum of 

ten LED lamps was appropriate, based 

on collected photometric test data from 

two sources: the first data set was 

provided by ENERGY STAR, and the 

second from a collaborative effort 

between Pacific Gas and Electric 

Company (hereafter referred to as 

PG&E), California Lighting Technology 

Center (hereafter referred to as CLTC), 

and the Collaborative Labeling and 

Appliance Standards Program (hereafter 

referred to as CLASP). These test data, 

combined, represent ten samples of 47 

different LED lamp products each. 


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Statistical analysis of the LED lamp test 

data indicated that a minimum sample 

size of ten lamps is appropriate to 

estimate the average input power, initial 

lumen output, efficacy, CCT, and CRI 

given the variation present in the data 

set. Standby mode power is assumed to 

vary to the same degree as input power 

during active mode. In addition, 37 LED 

lamps from the data set were tested for 

lumen output after 3,000 hours of 

operation. DOE used this data to help 

determine the sample size required for 

estimating the lifetime of the LED lamp. 

Analysis of the test data revealed that a 

minimum sample size of ten should also 

be sufficient to estimate lumen output 

for the LED lamp after an elapsed 

operating time. In addition, requiring a 

minimum sample size of ten LED lamps 

aligns with ENERGY STAR’s sampling 

procedure. Id. 

Regarding the minimum sample size 

proposal, the Joint Comment and NEMA 

agreed with DOE’s proposal to adopt a 

minimum sample size of ten LED lamps 

for input power, lumen output, CCT, 

CRI, lifetime, and standby mode. (Joint 

Comment, No. 34 at p. 1; NEMA, No. 30 

at p. 3) In contrast, OSI and OSRAM 

Opto Semiconductors commented that 

in the industry standard IES TM–28–14, 

sample size affects the confidence level 

for lumen output maintenance 

projection. They, therefore, recommend 

that DOE adopt the sample size and 

associated projection time length in IES 

TM–28–14. (OSI, No. 32 at p. 3; OSRAM 

Opto Semiconductors, No. 33 at p. 4) 

DOE maintains its proposal to require 

a sample size of at least ten LED lamps. 

As specified in section III.D.4.a, DOE 

proposes referencing Table 1 in section 

5.1.5 of IES TM–28–14, which states 

that the projected time to failure is 

limited to no more than six times the 

test duration for sample sizes greater 

than or equal to ten. However, to 

account for the increased uncertainty in 

lowering the threshold for the direct 

extrapolation method to 3,000 hours, 

DOE proposes to reduce the maximum 

time to failure claims for test durations 

less than 6,000 hours, as discussed in 

section III.E.4.b. Therefore, DOE retains 

the proposal that a minimum of ten LED 

lamps must be tested to determine the 

input power, lumen output, efficacy, 

CCT, CRI, lifetime, and standby mode 

power. DOE also proposes that a 

minimum of ten LED lamps must be 

tested to determine power factor. 

Regarding inclusion of all 10 lamps in 

the reported results, NEMA commented 

that DOE should follow the current 

practice of the ENERGY STAR lamps 

specification v1.1 and allow for early 

failure for one of ten samples. That is, 

one of the ten samples could be 

excluded from calculation of lumen 

maintenance and any projected values. 

NEMA cited reduced regulatory burden 

as a benefit to harmonizing DOE’s test 

procedure with ENERGY STAR. 

(NEMA, No. 39 at p. 1) DOE’s view has 

not changed from the June 2014 SNOPR 

and is that LED lamp failure should not 

be exempt from reporting, because this 

would potentially mislead consumers, 

particularly with respect to lamp 

lifetime. DOE will work with ENERGY 

STAR to harmonize its test procedure 

with that proposed here, including 

sampling and sample size. 

3. Determination of Represented Values 

In the June 2014 SNOPR, DOE 

proposed calculations to determine 

represented values for CCT, lumen 

output, lifetime, CRI, and efficacy using 

a lower confidence limit (LCL) equation, 

and input power and standby mode 

power using an upper confidence limit 

(UCL) equation. 79 FR 32037. LED lamp 

test data provided by ENERGY STAR as 

well as PG&E, CLASP, and CLTC were 

used to derive the confidence level and 

sample mean divisor for each metric. 

Descriptions of each of the LCL and 

UCL calculations are provided below. 

DOE proposed in the June 2014 

SNOPR that the CCT of the units be 

averaged and that average be rounded as 

specified in the June 2014 SNOPR. 79 

FR 32038. The average CCT would be 

calculated using the following equation: 

where, x is the sample mean; n is the number 

of units; and xi is the ith unit. 

DOE proposed in the June 2014 

SNOPR that the represented value of 

lumen output be equal to or less than 

the lower of the average lumen output 

of the sample set and the 99 percent 

LCL of the sample mean divided by 

0.97. Additionally, DOE proposed that 

the represented value of CRI be equal to 

the lower of the average CRI of the 

sample set and the 99 percent LCL of 

the sample mean divided by 0.99, and 

that the represented value of efficacy be 

equal to the lower of the average 

efficacy of the sample set and the 99 

percent LCL of the sample mean divided 

by 0.98. DOE proposed the following 

equation to calculate LCL for lumen 

output, CRI, and efficacy: 

where, x is the sample mean; s is the sample 

standard deviation; n is the number of 

samples; and t0.99 is the t statistic for a 

99 percent one-tailed confidence interval 

with n-1 degrees of freedom. 

DOE also proposed in the June 2014 

SNOPR that the represented value of 

input power and standby mode power 

be equal to or greater than the greater of 

the average lumen output of the sample 

set and the 99 percent UCL of the 

sample mean divided by 1.01. DOE 

proposed the following equation to 

calculate UCL: 

where, x is the sample mean; s is the sample 

standard deviation; n is the number of 

samples; and t0.99 is the t statistic for a 

99 percent one-tailed confidence interval 

with n-1 degrees of freedom. 

Additionally in the lifetime SNOPR, 

DOE proposed that the definition of 

lifetime should be revised to better align 

with the EPCA definition of lifetime in 

42 U.S.C. 6291(30)(P). 79 FR 36243. 

Therefore, as described in section 

III.C.1, DOE added that the lifetime of 

an integrated LED lamp is calculated by 

determining the median time to failure 

of the sample (calculated as the 

arithmetic mean of the time to failure of 

the two middle sample units when the 

numbers are sorted in value order). All 

comments received for DOE’s proposed 

definition of lifetime are summarized 

and addressed in section III.C.1. 

Cree, OSI, and NEMA commented 

that DOE should use a 95 percent 

confidence limit instead of 99 percent 

confidence limit for all represented 

values. (OSI, No. 32 at p. 4; Cree, No. 

31 at p. 1; NEMA, No. 30 at p. 5) 

Additionally, NEMA recommended that 

DOE modify the Certification, 

Compliance, and Enforcement (hereafter 

referring to as CC&E) requirements at 10 

CFR 429 to set tolerances based on 

expected measurement and product 

variation as set forth in NEMA LSD 63– 

2012. NEMA also contended that DOE’s 

use of the LCL equation together with a 

divisor is statistically invalid. It 

suggested that DOE’s equation 

eliminates the statistical confidence 

level associated with the estimated 

quantity and therefore no longer 

accounts for uncertainties related to 

both lamp manufacturing and testing. 

However, if DOE retains the LCL and 

divisor statistical representation, NEMA 

requested that DOE then use the 

recommendations presented in NEMA 

LSD 63–2012 and refer to its comments 

in previous rulemakings to properly set 

the value of the divisor. NEMA also 

suggested a formula to calculate the 

divisor for efficacy reporting, and 

expressed concerns regarding any future 

minimum lamp efficacy performance 


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17 Documents for the GSL rulemaking are 

available at http://www.regulations.gov/

#!docketDetail;D=EERE-2013-BT-STD-0051. 

18 If the number 3,563 is rounded to three 

significant digits it becomes 3,560—with the 3, 5, 

and 6 being the significant digits. 

requirements set by DOE. It argued that 

maximum technology levels need to be 

considered if DOE retains the LCL and 

divisor statistical representation. NEMA 

suggested that DOE keep minimum 

efficacy performance requirements for 

LED lamps between 9 and 13 percent 

below maximum technology levels, or 

accept NEMA’s recommendation for 

compliance tolerances. (NEMA, No. 30 

at p. 6) 

DOE is maintaining its proposal to use 

a 99 percent LCL. However, DOE 

proposes to revise the divisor value to 

be computed using the maximum rather 

than average standard deviation of the 

collected LED lamp test data. The new 

divisor values for each metric are 

provided below: 

Metric LCL or UCL 

divisor value 

Lumen Output ....................... 0.96 

Input Power .......................... 1.02 

Efficacy ................................. 0.96 

CRI ........................................ 0.98 

Furthermore, DOE disagrees with 

NEMA’s assertion, and continues to find 

that the LCL equation and divisor 

adequately address variation in lamp 

manufacturing and testing. DOE used 

the same methodology recommended by 

NEMA in LSD–63–2012 in the June 

2014 SNOPR. However, DOE calculated 

a different standard deviation based on 

data provided by ENERGY STAR as well 

as PG&E, CLASP, and CLTC. DOE found 

the variation in test data for a single 

lamp model to be less than that 

provided by NEMA in LSD–63–2012. As 

described in the June 2014 SNOPR, 

certification testing is permitted to take 

place at one test laboratory and the 

sample set is unlikely to include interlab variability. Therefore, DOE does not 

include an inter-lab variability 

parameter in its calculation of the 

divisor when establishing rating 

requirements that are based on 

certification testing for which the 

manufacturer chooses the lab to conduct 

such testing. DOE will establish efficacy 

requirements within the GSL energy 

conservation standards rulemaking.17

Finally, DOE also proposes in this 

SNOPR to include represented value 

instructions for representations of 

power factor. Power factor is calculated 

using electrical measurements, 

including measurement of input power. 

DOE expects power factor to exhibit the 

same variability as input power, and 

bases the represented value calculation 

on that proposed for input power. 

Consumers prefer smaller values of 

input power, while larger values of 

power factor are preferred. Therefore, 

DOE inverted the input power 

represented value requirements from a 

UCL and divisor to an LCL and divisor. 

Input power uses a UCL of 99 percent 

and a divisor of 1.02, therefore, DOE 

proposes the corresponding LCL of 99 

percent and divisor of 0.98 for the 

represented value of power factor. 

DOE requests comment on the 

proposal for represented value 

calculation and specifically the revised 

divisors and new power factor 

represented value calculation in this 

SNOPR. 

H. Rounding Requirements 

In the June 2014 SNOPR, DOE 

proposed rounding requirements for 

lumen output, input power, efficacy, 

CCT, CRI, estimated annual energy cost, 

lifetime, and standby mode power. DOE 

received comments on some of these 

proposals and these comments are 

discussed in the following sections. 

DOE also discusses a new proposal 

regarding rounding requirements for 

power factor. 

1. Lumen Output 

In the June 2014 SNOPR, DOE 

proposed that the lumen output of all 

units be averaged and the value be 

rounded to three significant figures. 79 

FR 32037. Based on a review of 

commercially available LED lamp 

products as well as testing equipment 

measurement capabilities, DOE 

determined that three significant figures 

is an achievable level of accuracy for 

LED lamps. NEMA commented that 

rounding to three significant figures 

does not provide a similar level of 

specificity for lumen outputs of all sizes 

as claimed by DOE, indicating that for 

small light sources, the resolution of 

photometric measurement is not 

sufficient for three-digit accuracy. Both 

OSI and NEMA recommended using 

Table 8–1 of LSD 63–2012 for reporting 

rounded values of lumen output. (OSI, 

No. 32 at p. 4; NEMA, No. 30 at pp. 4– 

5) 

DOE agrees that rounding 

requirements should reflect realistic 

expectations of accuracy and 

repeatability. Based on a review of 

commercially available LED lamp 

products as well as testing equipment 

measurement capabilities, DOE 

maintains its determination in the June 

2014 SNOPR that three significant 

figures is an achievable level of 

accuracy for LED lamps. Therefore, for 

this SNOPR, DOE continues to propose 

rounding of three significant figures 18

for lumen outputs of all sizes. 

2. Correlated Color Temperature 

In the June 2014 SNOPR, DOE 

proposed to round CCT values for 

individual units to the tens place and 

round the certified CCT values for the 

sample to the hundreds place. 79 FR 

32038. DOE received comments from 

OSI, the Republic of Korea, and NEMA, 

recommending reporting nominal CCT 

based on the tolerance specified in 

Table 1 of ANSI C78.377. (OSI, No. 32 

at p. 4; Republic of Korea, No. 37 at p. 

2; NEMA, No. 30 at p. 4) However, as 

indicated in section III.B.3.c, DOE is not 

proposing to follow a nominal CCT 

methodology and therefore continues to 

propose rounding to the nearest tens 

digit for measurements of individual 

lamp units, and that certified CCT 

values for the sample be rounded to the 

hundreds place. 

3. Lifetime 

In the June 2014 SNOPR, DOE 

proposed that lifetime of LED lamps be 

rounded to the nearest whole hour. 79 

FR 32038. NEMA commented that 

rounding to the nearest hour is not 

meaningful, and suggested that two 

significant digits is sufficient for 

lifetime rounding. (NEMA, No. 30 at p. 

5) However, DOE maintains that 

rounding to the nearest whole hour is 

consistent with the unit of time used for 

lifetime metrics for other lamp 

technologies, and is a level of accuracy 

a laboratory is capable of measuring 

with a standard time-keeping device. 

Therefore, in this SNOPR, DOE retains 

the proposal that lifetime of LED lamps 

be rounded to the nearest whole hour. 

4. Power Factor 

DOE proposes that power factor be 

rounded to the nearest hundredths 

place, consistent with common usage in 

industry literature. DOE requests 

comment on this rounding proposal for 

power factor. 

I. Interaction with ENERGY STAR 

In the June 2014 SNOPR, to reduce 

test burden, DOE proposed allowing 

measurements collected for the 

ENERGY STAR Program Requirements 

Product Specification for Lamps (Light 

Bulbs) Version 1.0 to be used for 

calculating represented values of lumen 

output, input power, lamp efficacy, 

CCT, CRI, and lifetime. Both Cree and 

NEMA agreed with the allowance of 

using measurements collected for 

ENERGY STAR program requirements. 


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(Cree, No. 31 at p. 1; NEMA, No. 30 at 

p. 4) However, the Republic of Korea 

suggested that DOE align all test 

procedures for LED lamps with those 

presented in the ENERGY STAR 

Program Requirements Product 

Specification for Lamps (Light Bulbs) 

Version 1.0. It indicated that having 

different test methods is burdensome for 

manufacturers and creates confusion. 

(Republic of Korea, No. 37 at p. 2) 

In this SNOPR, DOE proposes a new 

test procedure for lifetime that is largely 

based on the recent published IES LM– 

84–14 and IES TM–28–14 industry 

standards and provides a simple, 

straightforward, and flexible test 

procedure to account for potential 

future changes in the lifetime of LED 

products. 

DOE notes that the proposal in this 

SNOPR projects time to failure based on 

data obtained for each individual LED 

lamp rather than assuming the same 

relationship between test duration and 

lumen maintenance applies to every 

LED lamp. Because DOE has revised its 

approach for lifetime measurement and 

projection, there is no longer significant 

similarity between the DOE and 

ENERGY STAR lifetime test procedures. 

DOE will work with ENERGY STAR to 

revise the test procedures for lifetime 

accordingly. 

Measurements collected for the 

ENERGY STAR Program Requirements 

Product Specification for Lamps (Light 

Bulbs) Version 1.0 can be used for 

calculating represented values of energy 

efficiency or consumption metrics 

covered by the DOE test procedure as 

long as those measurements were 

collected in accordance with the DOE 

test procedure. Manufacturers must 

make representations in accordance 

with the DOE test procedure and 

represented value determination 

method beginning 180 days after 

publication of the final rule in the 

Federal Register. 

J. Laboratory Accreditation 

Regarding the National Voluntary 

Laboratory Accreditation Program 

(NVLAP) accreditation, in the June 2014 

SNOPR DOE proposed to require lumen 

output, input power, lamp efficacy, 

CCT, CRI, lifetime, and standby mode 

power (if applicable) testing be 

conducted by test laboratories 

accredited by NVLAP or an accrediting 

organization recognized by the 

International Laboratory Accreditation 

Cooperation (ILAC). 79 FR 32039. 

NVLAP is a member of ILAC, so test 

data collected by any laboratory 

accredited by an accrediting body 

recognized by ILAC would be 

acceptable. Soraa, OSI, NEMA, and 

ILAC agreed with the proposal in the 

June 2014 SNOPR. (Soraa, No. 28 at p. 

3; OSI, No. 32 at p. 4; NEMA, No. 30 at 

p. 4; ILAC, No. 26 at p. 1) Therefore, 

DOE maintains its proposal to require 

accreditation by NVLAP or an entity 

recognized by ILAC. DOE also proposes 

to state directly that accreditation by 

and Accreditation Body that is a 

signatory member to the International 

Laboratory Accreditation Cooperation 

(ILAC) Mutual Recognition 

Arrangement (MRA) is an acceptable 

means of laboratory accreditation. In 

addition, DOE proposes to require that 

testing for power factor be conducted by 

test laboratories accredited by NVLAP 

or an entity recognized by ILAC. 

K. Certification 

DOE is proposing certification 

requirements for LED lamps in this 

SNOPR. Manufacturers will not have to 

certify values to DOE unless standards 

are promulgated for LED lamps as part 

of the rulemaking for general service 

lamps. However, DOE is providing 

certification requirements and the 

ability to certify by CCMS to enable FTC 

to allow manufacturers to submit data 

through DOE’s Compliance Certification 

Management System (CCMS) related to 

FTC labeling requirements. Where the 

proposal is discussed in mandatory 

terms, the certification requirements 

would not be required for DOE purposes 

until compliance with standards is 

required. 

DOE recognizes that testing of LED 

lamp lifetime requires considerably 

more time than testing of other LED 

lamp metrics. DOE proposes to allow 

new basic models of LED lamps to be 

distributed prior to completion of the 

full testing for lifetime. Similar to 

treatment of GSFLs and incandescent 

reflector lamps in 10 CFR 429.12(e)(2), 

DOE proposes that prior to distribution 

of the new basic model of LED lamp, 

manufacturers must submit an initial 

certification report. If testing for time to 

failure is not complete, manufacturers 

may include estimated values for 

lifetime and life. If reporting estimated 

values, the certification report must 

state the description of the prediction 

method and the prediction method must 

be generally representative of the 

methods specified in appendix BB. 

Manufacturers are also required to 

maintain records per 10 CFR 429.71 of 

the development of all estimated values 

and any associated initial test data. If 

reporting estimated values for lifetime 

and life, the certification report must 

indicate that the values are estimated 

until testing for time to failure is 

complete. If, prior to completion of 

testing, a manufacturer ceases to 

distribute in commerce a basic model, 

the manufacturer must submit a full 

certification report and provide all of 

the information listed in 10 CFR 

429.12(b), including the productspecific information required by 10 CFR 

429.56(b)(2), as part of its notification to 

DOE that the model has been 

discontinued. 

DOE requests comment on the 

proposed certification report 

requirements. 

L. Effective and Compliance Date 

If adopted, the effective date for this 

test procedure would be 30 days after 

publication of the test procedure final 

rule in the Federal Register. Pursuant to 

EPCA, manufacturers of covered 

products must use the applicable test 

procedure as the basis for determining 

that their products comply with the 

applicable energy conservation 

standards adopted pursuant to EPCA 

and for making representations about 

the efficiency of those products. (42 

U.S.C. 6293(c); 42 U.S.C. 6295(s)) For 

those energy efficiency or consumption 

metrics covered by the DOE test 

procedure, manufacturers must make 

representations in accordance with the 

DOE test procedure and represented 

value determination method beginning 

180 days after publication of the final 

rule in the Federal Register. 

M. Description of Standards 

Incorporated by Reference 

In this SNOPR, DOE proposes to 

incorporate by reference the test 

standard published by ANSI and IES, 

titled ‘‘Nomenclature and Definitions 

for Illuminating Engineering,’’ ANSI/IES 

RP–16–2010. ANSI/IES RP–16–2010 is 

an industry accepted standard that 

specifies definitions related to lighting 

and is applicable to products sold in 

North America. The definition of 

integrated LED lamp proposed in this 

SNOPR references ANSI/IES RP–16– 

2010. ANSI/IES RP–16–2010 is readily 

available on IES’s Web site at http://

www.ies.org/. 

DOE also proposes to incorporate by 

reference the test standard published by 

IES, titled ‘‘Approved Method: 

Electrical and Photometric 

Measurements of Solid-State Lighting 

Products,’’ IES LM–79–2008. IES LM– 

79–2008 is an industry accepted 

standard that specifies test methods for 

determination of lumen output, input 

power, lamp efficacy, CCT, and CRI and 

is applicable to LED lamp products sold 

in North America. The test procedure 

for lumen output, input power, lamp 

efficacy, CCT, and CRI proposed in this 

SNOPR references IES LM–79–2008. IES 


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19 DOE LED Lighting Facts Partner List, http://

www.lightingfacts.com/Partners/Manufacturer. 

20ENERGY STAR Qualified Lamps Product List, 

http://downloads.energystar.gov/bi/qplist/Lamps_

Qualified_Product_List.xls?dee3-e997. 

21The median revenue for these small businesses 

can be found in the June 2014 SNOPR. 79 FR 32040. 

LM–79–2008 is readily available on 

IES’s Web site at http://www.ies.org/. 

DOE also proposes to incorporate by 

reference the test standard published by 

IES, titled ‘‘Approved Method: 

Measuring Luminous Flux and Color 

Maintenance of LED Lamps, Light 

Engines, and Luminaires,’’ IES LM–84– 

2014. IES LM–84–2014 is an industry 

accepted standard that specifies test 

methods for determination of lumen 

maintenance and is applicable to LED 

lamp products sold in North America. 

The test procedure for lifetime proposed 

in this SNOPR references IES LM–84– 

2014. IES LM–84–2014 is readily 

available on IES’s Web site at http://

www.ies.org/. 

DOE also proposes to incorporate by 

reference the test standard published by 

IES, titled ‘‘Projecting Long-Term 

Luminous Flux Maintenance of LED 

Lamps and Luminaires,’’ IES TM–28– 

14. IES TM–28–14 is an industry 

accepted standard that specifies test 

methods for projection of lumen 

maintenance and is applicable to LED 

lamp products sold in North America. 

The test procedure for lifetime 

proposed in this SNOPR references IES 

TM–28–14. IES TM–28–14 is readily 

available on IES’s Web site at http://

www.ies.org/. 

N. Ceiling Fan Light Kits using LED 

Lamps 

DOE proposed to harmonize the lamp 

testing procedures for lamps, including 

LEDs, used in ceiling fan lights kits in 

a notice published on October 31, 2014. 

79 FR 64688 (Docket EERE–2013–BT– 

TP–0050). The comments received as 

part of that docket were generally 

supportive of this approach and are 

discussed as part of that rulemaking 

docket. Since the test procedure for LED 

lamps is still being considered as part of 

this rulemaking, DOE is proposing to 

revise the appropriate cross-reference 

(relative to the proposals at 79 FR 64688 

(October 31, 2014)) in the ceiling fan 

light kit test procedure appendix as part 

of this rulemaking. DOE requests 

comments on this approach and 

adopting the cross reference for LED 

lamps used in CFLKs as part of this 

rulemaking. 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

The Office of Management and Budget 

(OMB) has determined that test 

procedure rulemakings do not constitute 

‘‘significant regulatory actions’’ under 

section 3(f) of Executive Order 12866, 

Regulatory Planning and Review, 58 FR 

51735 (Oct. 4, 1993). Accordingly, this 

action was not subject to review under 

the Executive Order by the Office of 

Information and Regulatory Affairs 

(OIRA) in OMB. 

B. Review under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of an initial regulatory flexibility 

analysis (IRFA) for any rule that by law 

must be proposed for public comment, 

unless the agency certifies that the rule, 

if promulgated, will not have a 

significant economic impact on a 

substantial number of small entities. As 

required by Executive Order 13272, 

‘‘Proper Consideration of Small Entities 

in Agency Rulemaking,’’ 67 FR 53461 

(August 16, 2002), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the DOE 

rulemaking process. 68 FR 7990. DOE 

has made its procedures and policies 

available on the Office of the General 

Counsel’s Web site: http://energy.gov/

gc/office-general-counsel. 

DOE reviewed the test procedures 

considered in this SNOPR under the 

provisions of the Regulatory Flexibility 

Act (RFA) and the policies and 

procedures published on February 19, 

2003. As discussed in more detail in the 

following sections, DOE found that 

because the proposed test procedures 

have not previously been required of 

manufacturers, all manufacturers, 

including small manufacturers, may 

potentially experience a financial 

burden associated with this new testing 

requirement. While examining this 

issue, DOE determined that it could not 

certify that the proposed rule, if 

promulgated, would not have a 

significant impact on a substantial 

number of small entities. Therefore, 

DOE has prepared an IRFA for this 

rulemaking. The IRFA describes the 

potential impacts on small businesses 

associated with LED lamp testing 

requirements. DOE has transmitted a 

copy of this IRFA to the Chief Counsel 

for Advocacy of the Small Business 

Administration (SBA) for review. 

1. Estimated Small Business Burden 

SBA has set a size threshold for 

electric lamp manufacturers to describe 

those entities that are classified as 

‘‘small businesses’’ for the purposes of 

the RFA. DOE used the SBA’s small 

business size standards to determine 

whether any small manufacturers of 

LED lamps 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. LED 

lamp manufacturing is classified under 

NAICS 335110, ‘‘Electric Lamp Bulb 

and Part Manufacturing.’’ The SBA sets 

a threshold of 1,000 employees or fewer 

for an entity to be considered a small 

business for this category. 

For the June 2014 SNOPR, DOE 

examined the number of small 

businesses that will potentially be 

affected by the LED lamps test 

procedure. This evaluation revealed that 

the test procedure requirements 

proposed in the June 2014 SNOPR will 

apply to about 41 small business 

manufacturers of LED lamps. DOE 

compiled this list of manufacturers by 

reviewing the DOE LED Lighting Facts 

label list of partner manufacturers,19 the 

SBA database, ENERGY STAR’s list of 

qualified products,20 and performing a 

general search for LED manufacturers. 

DOE determined which companies 

manufacture LED lamps by reviewing 

company Web sites, the SBA Web site 

when applicable, calling companies 

directly, and/or reviewing the Hoovers 

Inc. company profile database. Through 

this process, DOE identified 41 small 

businesses that manufacture LED lamps, 

each offering about 23 different basic 

models.21 NEMA suggested that DOE 

contact Jim Brodrick, Program Manager 

of DOE’s solid-state lighting (SSL) 

program, to review the estimate for total 

number of small businesses that will 

likely be affected by implementing this 

test procedure. (NEMA, No. 30 at p. 4) 

DOE has incorporated feedback from 

DOE’s SSL program, and maintains its 

estimate for the number of small 

businesses that would be affected by the 

proposed rulemaking. 

In the June 2014 SNOPR, DOE 

estimated that the labor costs associated 

with conducting the input power, 

lumen output, CCT, CRI, and standby 

mode power testing is $31.68 per hour. 

79 FR 32041. Calculating efficacy of an 

LED lamp was determined not to result 

in any incremental testing burden 

beyond the cost of carrying out lumen 

output and input power testing. DOE 

also expected standby mode power 

testing to require a negligible 

incremental amount of time in addition 

to the time required for the other 


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22As discussed in section III.J, laboratories can be 

accredited by any accreditation body that is a 

signatory member to the ILAC MRA. DOE based its 

estimate of the costs associated with accreditation 

on the NVLAP accreditation body. 

23ENERGY STAR published a second draft of its 

Lamps Version 2.0 specification on April 10, 2015 

and included the following note on page 2: ‘‘In an 

effort to provide partners with continuity and honor 

the Agency’s intention to harmonize with 

applicable DOE Test Procedures, this Draft proposes 

to allow for use of the final test procedure for LED 

Lamps once it is published by DOE, where 

applicable.’’ 

metrics. In total, DOE estimated that 

using the June 2014 SNOPR test method 

to determine light output, input power, 

CCT, CRI, and standby mode power 

would result in an estimated 

incremental labor burden of $29,140 for 

each manufacturer. 

The June 2014 SNOPR also estimated 

that lifetime testing would also 

contribute to overall cost burden. The 

initial setup including the cost to 

custom build test racks capable of 

holding 23 different LED lamp models, 

each tested in sample sets of ten lamps 

(a total of 230 LED lamps) would be 

$25,800. 79 FR 32041. The labor cost for 

lifetime testing was also determined to 

contribute to overall burden. DOE 

estimated that the combination of 

monitoring the lamps during the test 

duration, measuring lumen 

maintenance, and calculating lifetime at 

the end of the test duration would 

require approximately four hours per 

lamp by an electrical engineering 

technician. DOE estimated that using 

this test method to determine lifetime 

would result in testing-related labor 

costs of $29,140 for each manufacturer. 

79 FR 32041. 

Because NVLAP 22 imposes a variety 

of fees during the accreditation process, 

including fixed administrative fees, 

variable assessment fees, and 

proficiency testing fees, DOE also 

provided cost estimates for light output, 

input power, CCT, CRI, lifetime, and 

standby mode power (if applicable) 

testing to be NVLAP-accredited or 

accredited by an organization 

recognized by NVLAP. Assuming testing 

instrumentation is already available, in 

the June 2014 SNOPR, DOE estimated 

the first year NVLAP accreditation cost 

would be $15,320, initial setup cost 

would be $25,800, and the labor costs to 

carry out testing would be 

approximately $58,280 for each 

manufacturer producing 23 basic 

models. 79 FR 32042. Therefore, in the 

first year, for manufacturers without 

testing racks or NVLAP accreditation 

who choose to test in house, DOE 

estimated a total cost burden of $99,400, 

or about $432 per LED lamp tested. 

Alternatively, if a manufacturer opts to 

send lamps to a third-party test facility, 

DOE estimated testing of lumen output, 

input power, CCT, CRI, lifetime, and 

standby mode power to cost $500 per 

lamp. In total, DOE estimated in the 

June 2014 SNOPR that the LED lamp 

test procedure would result in expected 

third-party testing costs of $115,000 for 

each manufacturer for 23 basic models. 

79 FR 32042. 

Both OSI and NEMA commented that 

most established manufacturers 

participate in the ENERGY STAR 

program, and therefore manufacturers 

already incur the testing costs. (OSI, No. 

32 at p. 4; NEMA, No. 30 at p. 4) In 

contrast, Soraa commented that it 

estimates its testing costs at 

approximately $50,000 per year for each 

model of LED lamp, not including 

internal costs. (Soraa, No. 28 at p. 3) 

Regarding Soraa’s cost estimate, DOE 

reviewed its cost estimates for the 

proposals in this SNOPR and 

determined that the majority of the 

assumptions involved are still 

appropriate. DOE tentatively concluded 

that calculation of power factor 

represented no incremental burden over 

the estimate in the June 2014 SNOPR, 

because the calculation is simple and 

the measurements needed would 

already be available using the input 

power test setup. However, for the 

lifetime test procedure described in 

section III.D of this SNOPR, a lumen 

output measurement is required to be 

recorded for multiple time intervals at a 

minimum of every 1,000 hours of 

elapsed operating time. This represents 

an increase in the number of required 

measurements in the lifetime test 

procedure compared to the previous 

proposal. Therefore, DOE estimates that 

the combination of monitoring the 

lamps during the test duration, 

measuring lumen maintenance at 

multiple time intervals, and calculating 

lifetime at the end of the test duration 

would increase the labor hour 

requirements from approximately four 

hours to eight hours per lamp. With this 

updated assumption DOE estimates that 

using the test method proposed in this 

SNOPR to determine lifetime would 

result in testing-related labor costs of 

$58,280 for each manufacturer. 

Therefore, in the first year, for 

manufacturers without testing racks or 

NVLAP accreditation who choose to test 

in-house, DOE estimated a maximum 

total cost burden of $128,540, or about 

$559 per LED lamp tested. DOE expects 

the setup cost to be a onetime cost to 

manufacturers. Further, the labor costs 

to perform testing would likely be 

smaller than $87,430 after the first year 

because only new products or 

redesigned products would need to be 

tested. DOE estimates that the cost to 

send lamps to a third-party test facility 

would be $600 per lamp due to the 

additional required measurements in 

the lifetime test procedure. In total, the 

LED lamp test procedure would result 

in expected third-party testing costs of 

$138,000 for each manufacturer who 

produces 23 basic models. DOE notes 

this is not an annual cost. 

Regarding OSI and NEMA’s comment, 

DOE agrees that the cost estimates 

described in this section are much larger 

than the actual cost increase most 

manufacturers will experience. DOE 

notes that the majority of manufacturers 

are already testing for lumen output, 

input power, CCT, and CRI, as these 

metrics are well established and 

required within the industry standard 

IES LM–79–2008. The IES LM–79–2008 

standard is also the recommended 

standard for testing LED lamps for the 

FTC Lighting Facts label as well as the 

ENERGY STAR program. Most 

manufacturers of LED lamps already 

participate in the ENERGY STAR 

program, which includes requirements 

for lifetime, input power, lumen output, 

CCT, and CRI. While DOE’s proposed 

test procedure differs from ENERGY 

STAR in some respects, DOE expects 

the incremental difference in testing 

costs under the two test procedures to 

be significantly less than full cost of 

testing under the proposed DOE test 

procedure. This is because most 

manufacturers already own the requisite 

test equipment (e.g., test racks) and 

already have labor expenditures 

corresponding to carrying out testing for 

ENERGY STAR. DOE and ENERGY 

STAR testing costs would not be 

additive, because ENERGY STAR 

references DOE test procedures where 

they exist and revises its specification to 

reference new DOE test procedures 

when they are finalized.23 Based on 

these revisions, manufacturers would 

not need to complete separate testing for 

the ENERGY STAR and DOE programs. 

DOE invites all interested parties to 

provide comments, including specific 

data and rationale if they recommend 

DOE revise its cost estimate. As part of 

any comments submitted on the 

potential small business impacts, it 

would be helpful if impacted entities 

were to describe any cost estimates as 

compared to their current business (e.g., 

a general comparison to the annual 

revenues and how this proposal would 

impact their business for an example 

manufacturer), including any suggested 

alternatives DOE should consider to 

potentially mitigate burden. 


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2. Duplication, Overlap, and Conflict 

With Other Rules and Regulations 

DOE is not aware of any rules or 

regulations that duplicate, overlap, or 

conflict with this proposed rule. 

3. Significant Alternatives to the 

Proposed Rule 

DOE tentatively determined that there 

are no better alternatives to the 

proposed test procedure, including test 

procedures that incorporate industry 

test standards, other than the proposed 

methods. IES LM–79–2008, the test 

procedure referenced in this SNOPR for 

the proposed approach for determining 

lumen output, input power, lamp 

efficacy, CCT, CRI, and power factor, is 

the most commonly used industry 

standard that provides instructions for 

the electrical and photometric 

measurement of LED lamps. This 

SNOPR also references IES LM–84–14 

and IES–TM–28–14, which represent 

new industry guidance for measuring 

and projecting lumen maintenance. 

While the ENERGY STAR Program 

Requirements Product Specification for 

Lamps (Light Bulbs) Version 1.1 

presents a separate method for testing 

the lifetime of LED lamps, proposing a 

lifetime test procedure based on IES 

LM–84–14 and IES–TM–28–14 will 

align with current industry consensus 

on this subject. The lifetime test 

procedure proposed in this SNOPR will 

produce more accurate lifetime 

estimates than the method currently 

used for ENERGY STAR certification 

because this SNOPR projects time to 

failure based on data obtained for each 

individual LED lamp. 

C. Review Under the Paperwork 

Reduction Act of 1995 

DOE established regulations for the 

certification and recordkeeping 

requirements for certain covered 

consumer products and commercial 

equipment. 76 FR 12422 (March 7, 

2011). The collection-of-information 

requirement for the certification and 

recordkeeping was subject to review and 

approval by OMB under the Paperwork 

Reduction Act (PRA). This requirement 

was approved by OMB under OMB 

Control Number 1910–1400. 

DOE requested OMB approval of an 

extension of this information collection 

for three years, specifically including 

the collection of information proposed 

in the present rulemaking, and 

estimated that the annual number of 

burden hours under this extension is 30 

hours per company. In response to 

DOE’s request, OMB approved DOE’s 

information collection requirements 

covered under OMB control number 

1910–1400 through November 30, 2017. 

80 FR 5099 (January 30. 2015). 

Notwithstanding any other provision 

of the law, no person is required to 

respond to, nor must any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the PRA, unless 

that collection of information displays a 

currently valid OMB Control Number. 

D. Review Under the National 

Environmental Policy Act of 1969 

In this proposed rule, DOE is 

proposing a test procedure for LED 

lamps that will be used to support the 

upcoming general service lamps energy 

conservation standard rulemaking as 

well as FTC’s Lighting Facts labeling 

program. 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 proposed rule would 

adopt existing industry test procedures 

for LED lamps, so it would not affect the 

amount, quality or distribution of 

energy usage, and, therefore, would not 

result in any environmental impacts. 

Thus, this rulemaking is covered by 

Categorical Exclusion A5 under 10 CFR 

part 1021, subpart D. Accordingly, 

neither an environmental assessment 

nor an environmental impact statement 

is required. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (August 4, 1999) imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have Federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountable process to 

ensure meaningful and timely input by 

State and local officials in the 

development of regulatory policies that 

have Federalism implications. On 

March 14, 2000, DOE published a 

statement of policy describing the 

intergovernmental consultation process 

it will follow in the development of 

such regulations. 65 FR 13735. DOE has 

examined this proposed rule and has 

determined that it would not have a 

substantial direct effect on the States, on 

the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. EPCA governs and 

prescribes Federal preemption of State 

regulations as to energy conservation for 

the products that are the subject of 

today’s proposed rule. States can 

petition DOE for exemption from such 

preemption to the extent, and based on 

criteria, set forth in EPCA. (42 U.S.C. 

6297(d)) No further action is required by 

Executive Order 13132. 

F. Review Under Executive Order 12988 

Regarding the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard; and (4) promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort to ensure that the 

regulation: (1) Clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

standards in sections 3(a) and 3(b) to 

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, the proposed 

rule meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Public Law 104–4, sec. 

201 (codified at 2 U.S.C. 1531). For a 

proposed regulatory action likely to 

result in a rule that may cause the 

expenditure by State, local, and Tribal 

governments, in the aggregate, or by the 

private sector of $100 million or more 

in any one year (adjusted annually for 


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inflation), section 202 of UMRA requires 

a Federal agency to publish a written 

statement that estimates the resulting 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), (b)) 

The UMRA also requires a Federal 

agency to develop an effective process 

to permit timely input by elected 

officers of State, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate,’’ and 

requires an agency plan for giving notice 

and opportunity for timely input to 

potentially affected small governments 

before establishing any requirements 

that might significantly or uniquely 

affect small governments. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820; also available at 

http://energy.gov/gc/office-generalcounsel. DOE examined this proposed 

rule according to UMRA and its 

statement of policy and determined that 

the rule contains neither an 

intergovernmental mandate nor a 

mandate that may result in the 

expenditure of $100 million or more in 

any year, so these requirements do not 

apply. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

rule would not have any impact on the 

autonomy or integrity of the family as 

an institution. Accordingly, DOE has 

concluded that it is not necessary to 

prepare a Family Policymaking 

Assessment. 

I. Review Under Executive Order 12630 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights’’ 53 FR 8859 

(March 18, 1988) that this regulation 

would not result in any takings that 

might require compensation under the 

Fifth Amendment to the U.S. 

Constitution. 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (44 U.S.C. 3516 note) provides 

for agencies to review most 

disseminations of information to the 

public under guidelines established by 

each agency pursuant to general 

guidelines issued by OMB. OMB’s 

guidelines were published at 67 FR 

8452 (Feb. 22, 2002), and DOE’s 

guidelines were published at 67 FR 

62446 (Oct. 7, 2002). DOE has reviewed 

the proposed rule under the OMB and 

DOE guidelines and has concluded that 

it is consistent with applicable policies 

in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to OMB a Statement 

of Energy Effects for any proposed 

significant energy action. A ‘‘significant 

energy action’’ is defined as any action 

by an agency that promulgated or is 

expected to lead to promulgation of a 

final rule, and that: (1) Is a significant 

regulatory action under Executive Order 

12866, or any successor order; and (2) 

is likely to have a significant adverse 

effect on the supply, distribution, or use 

of energy; or (3) is designated by the 

Administrator of OIRA as a significant 

energy action. For any proposed 

significant energy action, the agency 

must give a detailed statement of any 

adverse effects on energy supply, 

distribution, or use should the proposal 

be implemented, and of reasonable 

alternatives to the action and their 

expected benefits on energy supply, 

distribution, and use. 

This proposed regulatory action to 

establish a test procedure for measuring 

the lumen output, input power, lamp 

efficacy, CCT, CRI, power factor, 

lifetime, and standby mode power of 

LED lamps is not a significant regulatory 

action under Executive Order 12866. 

Moreover, it would not have a 

significant adverse effect on the supply, 

distribution, or use of energy, nor has it 

been designated as a significant energy 

action by the Administrator of OIRA. 

Therefore, it is not a significant energy 

action, and, accordingly, DOE has not 

prepared a Statement of Energy Effects. 

L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

91; 42 U.S.C. 7101), DOE must comply 

with section 32 of the Federal Energy 

Administration Act of 1974, as amended 

by the Federal Energy Administration 

Authorization Act of 1977. (15 U.S.C. 

788; FEAA) Section 32 essentially 

provides in relevant part that, where a 

proposed rule authorizes or requires use 

of commercial standards, the notice of 

proposed rulemaking must inform the 

public of the use and background of 

such standards. In addition, section 

32(c) requires DOE to consult with the 

Attorney General and the Chairman of 

the FTC concerning the impact of the 

commercial or industry standards on 

competition. 

The proposed rule incorporates test 

methods contained in the following 

commercial standards: ANSI/IES RP– 

16–2010, ‘‘Nomenclature and 

Definitions for Illuminating 

Engineering;’’ IES LM–79–2008, 

‘‘Approved Method: Electrical and 

Photometric Measurements of SolidState Lighting Products;’’ IES LM–84– 

14, ‘‘Approved Method: Measuring 

Luminous Flux and Color Maintenance 

of LED Lamps, Light Engines, and 

Luminaires;’’ and IES TM–28–14, 

‘‘Projecting Long-Term Luminous Flux 

Maintenance of LED Lamps and 

Luminaires.’’ The Department has 

evaluated these standards and is unable 

to conclude whether they fully comply 

with the requirements of section 32(b) of 

the FEAA, (i.e., that they were 

developed in a manner that fully 

provides for public participation, 

comment, and review). DOE will 

consult with the Attorney General and 

the Chairman of the FTC concerning the 

impact of these test procedures on 

competition prior to prescribing a final 

rule. 

V. Public Participation 

A. Submission of Comments 

DOE will accept comments, data, and 

information regarding this proposed 

rule no later than the date provided in 

the DATES section at the beginning of 

this proposed rule. Interested parties 

may submit comments using any of the 

methods described in the ADDRESSES

section at the beginning of this notice. 

Submitting comments via 

regulations.gov. The regulations.gov 

Web page will require you to provide 

your name and contact information. 

Your contact information will be 

viewable to DOE Building Technologies 

staff only. Your contact information will 

not be publicly viewable except for your 

first and last names, organization name 

(if any), and submitter representative 

name (if any). If your comment is not 

processed properly because of technical 

difficulties, DOE will use this 

information to contact you. If DOE 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, DOE may not be 

able to consider your comment. 

However, your contact information 

will be publicly viewable if you include 

it in the comment or in any documents 

attached to your comment. Any 

information that you do not want to be 


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publicly viewable should not be 

included in your comment, nor in any 

document attached to your comment. 

Persons viewing comments will see only 

first and last names, organization 

names, correspondence containing 

comments, and any documents 

submitted with the comments. 

Do not submit to regulations.gov 

information for which disclosure is 

restricted by statute, such as trade 

secrets and commercial or financial 

information (hereafter referred to as 

confidential business information or 

CBI). Comments submitted through 

regulations.gov cannot be claimed as 

CBI. Comments received through the 

Web site will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section. 

DOE processes submissions made 

through regulations.gov before posting. 

Normally, comments will be posted 

within a few days of being submitted. 

However, if large volumes of comments 

are being processed simultaneously, 

your comment may not be viewable for 

up to several weeks. Please keep the 

comment tracking number that 

regulations.gov provides after you have 

successfully uploaded your comment. 

Submitting comments via email, hand 

delivery, or mail. Comments and 

documents submitted via email, hand 

delivery, or mail also will be posted to 

regulations.gov. If you do not want your 

personal contact information to be 

publicly viewable, do not include it in 

your comment or any accompanying 

documents. Instead, provide your 

contact information on a cover letter. 

Include your first and last names, email 

address, telephone number, and 

optional mailing address. The cover 

letter will not be publicly viewable as 

long as it does not include any 

comments. 

Include contact information each time 

you submit comments, data, documents, 

and other information to DOE. If you 

submit via mail or hand delivery, please 

provide all items on a CD, if feasible. It 

is not necessary to submit printed 

copies. No facsimiles (faxes) will be 

accepted. 

Comments, data, and other 

information submitted to DOE 

electronically should be provided in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format. Provide documents that are 

written in English, free of any defects or 

viruses, and not secured. Documents 

should not contain special characters or 

any form of encryption and, if possible, 

they should carry the electronic 

signature of the author. 

Campaign form letters. Please submit 

campaign form letters by the originating 

organization in batches of between 50 

and 500 form letters per PDF, or as one 

form letter with a list of supporters’ 

names compiled into one or more PDFs. 

This reduces comment processing and 

posting time. 

Confidential business information. 

According to 10 CFR 1004.11, any 

person submitting information that he 

or she believes to be confidential and 

exempt by law from public disclosure 

should submit via email, postal mail, or 

hand delivery two well-marked copies: 

one copy of the document marked 

confidential including all the 

information believed to be confidential, 

and one copy of the document marked 

non-confidential with the information 

believed to be confidential deleted. 

Submit these documents via email or on 

a CD, if feasible. DOE will make its own 

determination about the confidential 

status of the information and treat it 

according to its determination. 

Factors of interest to DOE when 

evaluating requests to treat submitted 

information as confidential include: (1) 

A description of the items; (2) whether 

and why such items are customarily 

treated as confidential within the 

industry; (3) whether the information is 

generally known by or available from 

other sources; (4) whether the 

information has previously been made 

available to others without obligation 

concerning its confidentiality; (5) an 

explanation of the competitive injury to 

the submitting person which would 

result from public disclosure; (6) when 

such information might lose its 

confidential character due to the 

passage of time; and (7) why disclosure 

of the information would be contrary to 

the public interest. 

It is DOE’s policy that all comments 

may be included in the public docket, 

without change and as received, 

including any personal information 

provided in the comments (except 

information deemed to be exempt from 

public disclosure). 

B. Issues on Which DOE Seeks Comment 

Although DOE welcomes comments 

on any aspect of this proposal, DOE is 

particularly interested in receiving 

comments and views of interested 

parties concerning the following issues: 

1. Whether industry standards or test 

methods are available for measuring 

color quality metrics other than CRI. 

The proposed incorporation of IES LM– 

84–14 and IES TM–28–14 for measuring 

and projecting the lumen maintenance 

of LED lamps. 

2. The proposal of referencing section 

4.0 of IES LM–84–14 for specifying the 

ambient conditions for lumen 

maintenance testing of LED lamps. 

3. The lumen maintenance test 

procedure. 

4. The proposal to adopt the section 

5.2 of IES LM–84–14 requirements for 

AC power supplies, and on the 

requirement that input voltage be 

monitored and regulated to within less 

than or equal to 2.0 percent of the rated 

RMS voltage as specified in section 5.4 

of IES LM–84–14. DOE also invites 

comments on the proposal to exclude 

the line impedance guidelines provided 

in section 5.3 of IES LM–84–14. 

5. The proposal to adopt section 5.5 

of IES LM–84–14, which provides test 

rack wiring requirements during lumen 

maintenance testing of LED lamps. 

6. Referencing the lamp handling and 

tracking proposal specified in sections 

7.2 and 7.3 of IES–LM–84–14. 

7. The proposal to adopt the time 

recording procedures in section 7.5 of 

IES–LM–84–14. 

8. The proposal that, for the case in 

which lumen maintenance testing 

results in complete loss of light output, 

the time to failure is equal to the last 

elapsed operating time measurement for 

which the recorded lumen output 

measurement is greater than or equal to 

70 percent. 

9. The proposal that all lumen 

maintenance data shall be collected at 

least once every 1,000 hours, as well as 

the adoption of the data collection 

requirements specified in section 4.2 of 

IES TM–28–14. 

10. The proposal to reference the 

direct extrapolation method specified in 

section 5.1 of IES TM–28–14 for 

projecting time to failure of LED lamps, 

as well as the proposed modifications to 

project time to failure of each individual 

lamp (no averaging lumen maintenance 

values), the proposal to lower the test 

duration threshold to 3,000 hours, and 

the proposed procedures for limiting the 

maximum time to failure claim. 

11. The proposal to determine 

stabilization for standby mode 

measurements using power 

measurements only. 

12. The proposed measurement and 

calculation of power factor of LED 

lamps. 

13. The proposal to revise the basic 

model definition in 10 CFR 430.2 with 

respect to LED lamps as follows: ‘‘With 

respect to integrated light-emitting 

diode lamps: Lamps that have identical 

lumens per watt (lm/W).’’ 

14. The proposed represented value 

calculation and specifically the revised 

divisors for lumen output, input power, 

efficacy, and CRI, and the new power 

factor represented value calculation 

proposed in this SNOPR. 


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15. The proposed rounding 

requirements for power factor. 

16. The analysis of initial setup and 

labor costs as well as the average annual 

burden for conducting testing of LED 

lamps. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this proposed rule. 

List of Subjects 

10 CFR Part 429 

Confidential business information, 

Energy conservation, Household 

appliances, Imports, Reporting and 

recordkeeping requirements. 

10 CFR Part 430 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Household appliances, Imports, 

Incorporation by reference, 

Intergovernmental relations, Small 

businesses. 

Issued in Washington, DC on June 25, 

2015. 

Kathleen B. Hogan, 

Deputy Assistant Secretary for Energy 

Efficiency, Energy Efficiency and Renewable 

Energy. 

For the reasons stated in the 

preamble, DOE is proposing to amend 

parts 429 and 430 of Chapter II, 

Subchapter D, of Title 10, of the Code 

of Federal Regulations, as set forth 

below: 

PART 429—CERTIFICATION, 

COMPLIANCE, AND ENFORCEMENT 

FOR CONSUMER PRODUCTS AND 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

■ 1. The authority citation for part 429 

continues to read as follows: 

Authority: 42 U.S. C. 6291–6317. 

■ 2. Section 429.12(f) is revised to read 

as follows: 

§ 429.12 General requirements applicable 

to certification reports. 

* * * * * 

(f) Discontinued model filing. When 

production of a basic model has ceased 

and it is no longer being sold or offered 

for sale by the manufacturer or private 

labeler, the manufacturer must report 

this discontinued status to DOE as part 

of the next annual certification report 

following such cessation. For each basic 

model, the report shall include the 

information specified in paragraphs 

(b)(1) through (7) of this section, except 

that for integrated light-emitting diode 

lamps, the manufacturer must submit a 

full certification report, including all of 

the information required by paragraph 

(b) of this section and the productspecific information required by 

§ 429.56(b)(2). 

* * * * * 

■ 3. Section 429.33 is amended by 

revising paragraphs (a)(2)(ii), (a)(3)(iv), 

and (a)(3)(vi) [proposed at 79 FR 64688 

(October 31, 2014)] to read as follows: 

§ 429.33 Ceiling fan light kits. 

(a) * * * 

(2) * * * 

(ii) For ceiling fan light kits with 

medium screw base sockets that are 

packaged with integrated light-emitting 

diode lamps, the represented values of 

each basic model of lamp packaged with 

the ceiling fan light kit shall be 

determined in accordance with § 429.56. 

* * * * * 

(3) * * * 

(iv) For ceiling fan light kits packaged 

with integrated LED lamps, the 

represented values of each basic model 

of lamp shall be determined in 

accordance with § 429.56. 

* * * * * 

(vi) For ceiling fan light kits packaged 

with other SSL lamps (not integrated 

LED lamps), the represented values of 

each basic model of lamp shall be 

determined in accordance with § 429.56. 

* * * * * 

■ 4. Section 429.56 is added to read as 

follows: 

§ 429.56 Integrated light-emitting diode 

lamps. 

(a) Determination of represented 

value. Manufacturers must determine 

the represented value, which includes 

the certified rating, for each basic model 

of integrated light-emitting diode lamps 

by testing, in conjunction with the 

sampling provisions in this section. 

(1) Units to be tested. 

(i) The general requirements of 

§ 429.11(a) are applicable except that 

the sample must be comprised of 

production units; and 

(ii) For each basic model of integrated 

light-emitting diode lamp, the minimum 

number of units tested shall be no less 

than 10 and the same sample comprised 

of the same units must be used for 

testing all metrics. If more than 10 units 

are tested as part of the sample, the total 

number of units must be a multiple of 

two. For each basic model, a sample of 

sufficient size shall be randomly 

selected and tested to ensure that: 

(A) Represented values of initial lumen 

output, lamp efficacy, color rendering 

index (CRI), power factor, or other 

measure of energy consumption of a 

basic model for which consumers would 

favor higher values must be less than or 

equal to the lower of: 

(1) The mean of the sample, where: 

and, x ̄ is the sample mean; n is the number 

of units; and xi is the ith unit; or, 

(2) The lower 99 percent confidence limit 

(LCL) of the true mean divided by 0.96; 

or the lower 99 percent confidence limit 

(LCL) of the true mean divided by 0.98 

for CRI and power factor, where: 

and, x ̄ is the sample mean; s is the sample 

standard deviation; n is the number of 

samples; and t0.99 is the t statistic for a 

99 percent one-tailed confidence interval 

with n–1 degrees of freedom (from 

appendix A to this subpart). 

(B) Represented values of input power, 

standby mode power or other measure of 

energy consumption of a basic model for 

which consumers would favor lower 

values must be greater than or equal to 

the higher of: 

(1) The mean of the sample, where: 

and, x ̄ is the sample mean; n is the number 

of units; and xi is the ith unit; or, 

(2) The upper 99 percent confidence limit 

(UCL) of the true mean divided by 1.02, 

where: 

and, x ̄ is the sample mean; s is the sample 

standard deviation; n is the number of 

samples; and t0.99 is the t statistic for a 

99 percent one-tailed confidence interval 

with n–1 degrees of freedom (from 

appendix A to this subpart); 

(C) Represented values of correlated color 

temperature (CCT) of a basic model must 

be equal to the mean of the sample, 

where: 

and, x ̄ is the sample mean; n is the number 

of units; and xi is the ith unit. 

(D) The lifetime of an integrated lightemitting diode lamp is calculated by 

determining the median time to failure of 

the sample (calculated as the arithmetic 

mean of the time to failure of the two 

middle sample units when the numbers 

are sorted in value order) rounded to the 

nearest hour. Represented values of 

lifetime cannot exceed the calculated 

lifetime of an integrated light-emitting 

diode lamp. 

(2) The represented value of life (in 

years) of an integrated light-emitting 


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Federal Register / Vol. 80, No. 131 / Thursday, July 9, 2015 / Proposed Rules 39665 

diode lamp must be calculated by 

dividing the lifetime of an integrated 

light-emitting diode lamp by the 

estimated annual operating hours as 

specified in 16 CFR 305.15(b)(3)(iii). 

(3) The represented value of estimated 

annual energy cost for an integrated 

light-emitting diode lamp, expressed in 

dollars per year, must be the product of 

the input power in kilowatts, an 

electricity cost rate as specified in 16 

CFR 305.15(b)(1)(ii), and an estimated 

average annual use as specified in 16 

CFR 305.15(b)(1)(ii). 

(b) Certification reports. (1) The 

requirements of § 429.12 are applicable 

to integrated light-emitting diode lamps; 

(2) Values reported in certification 

reports are represented values. Lifetime 

and life are estimated values until 

testing is complete. When reporting 

estimated values, the certification report 

must specifically describe the 

prediction method, which must be 

generally representative of the methods 

specified in appendix BB. 

Manufacturers are required to maintain 

records per 10 CFR 429.71 of the 

development of all estimated values and 

any associated initial test data. Pursuant 

to § 429.12(b)(13), a certification report 

shall include the following public 

product-specific information: The 

testing laboratory’s NVLAP 

identification number or other NVLAPapproved accreditation identification, 

the date of first manufacture, initial 

lumen output, input power, lamp 

efficacy, CCT, power factor, lifetime 

(and whether value is estimated), and 

life (and whether value is estimated). 

For lamps with multiple modes of 

operation (such as variable CCT or CRI), 

the certification report must also list 

which mode was selected for testing and 

include detail such that another 

laboratory could operate the lamp in the 

same mode. 

(c) Rounding requirements. 

(1) Round input power to the nearest 

tenth of a watt. 

(2) Round lumen output to three 

significant digits. 

(3) Round lamp efficacy to the nearest 

tenth of a lumen per watt. 

(4) Round correlated color 

temperature to the nearest 100 Kelvin. 

(5) Round color rendering index to the 

nearest whole number. 

(6) Round power factor to the nearest 

hundredths place. 

(7) Round lifetime to the nearest 

whole hour. 

(8) Round standby mode power to the 

nearest tenth of a watt. 

PART 430—ENERGY CONSERVATION 

PROGRAM FOR CONSUMER 

PRODUCTS 

■ 5. The authority citation for part 430 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 

2461 note. 

■ 6. Section 430.2 is amended by adding 

in alphabetical order the definitions of 

‘‘Integrated light-emitting diode lamp’’ 

and ‘‘Lifetime of an integrated lightemitting diode lamp’’ to read as follows: 

§ 430.2 Definitions. 

* * * * * 

Integrated light-emitting diode lamp 

means an integrated LED lamp as 

defined in ANSI/IES RP–16 

(incorporated by reference; see § 430.3). 

* * * * * 

Lifetime of an integrated lightemitting diode lamp means the length of 

operating time between first use and 

failure of 50 percent of the sample units 

(as defined in § 429.56(a)(1)), in 

accordance with the test procedures 

described in section 4 of appendix BB 

to subpart B of part 430 of this chapter. 

* * * * * 

■ 7. Section 430.3 is amended by: 

■ a. Adding paragraphs (o)(8) through 

(11); and 

■ b. Removing ‘‘and X’’ in paragraph 

(p)(4) and adding in its place, ‘‘X, and 

BB’’. 

The additions read as follows: 

§ 430.3 Materials incorporated by 

reference. 

* * * * * 

(o) * * * 

(8) IES LM–79–08 (‘‘IES LM–79’’), 

Approved Method: Electrical and 

Photometric Measurements of SolidState Lighting Products, approved 

December 31, 2007; IBR approved for 

appendix BB to subpart B of this part. 

(9) IES LM–84–14 (‘‘IES LM–84’’), 

Approved Method: Measuring 

Luminous Flux and Color Maintenance 

of LED Lamps, Light Engines, and 

Luminaires, approved March 31, 2014; 

IBR approved for appendix BB to 

subpart B of this part. 

(10) ANSI/IES RP–16–2010, 

Nomenclature and Definitions for 

Illuminating Engineering, published 

July 1, 2010; IBR approved for § 430.2. 

(11) IES TM–28–14 (‘‘IES TM–28’’), 

Projecting Long-Term Luminous Flux 

Maintenance of LED Lamps and 

Luminaires, approved May 20, 2014; 

IBR approved for appendix BB to 

subpart B of this part. 

* * * * * 

■ 8. Section 430.23 is amended by: 

■ a. Revising paragraphs (x)(1)(ii) and 

(x)(2)(iv) [proposed at 79 FR 64688 

(October 31, 2014)]; and 

■ b. Adding paragraph (dd). 

These revisions and addition read as 

follows: 

§ 430.23 Test procedures for the 

measurement of energy and water 

consumption. 

* * * * * 

(x) * * * 

(1) * * * 

(ii) For a ceiling fan light kit with 

medium screw base sockets that is 

packaged with integrated LED lamps, 

measure lamp efficacy in accordance 

with paragraph (dd) of this section. 

* * * * * 

(2) * * * 

(iv) For a ceiling fan light kit 

packaged with integrated LED lamps, 

measure lamp efficacy in accordance 

with paragraph (dd) of this section. 

* * * * * 

(dd) Integrated light-emitting diode 

lamp. (1) The input power of an 

integrated light-emitting diode lamp 

must be measured in accordance with 

section 2.7 of appendix BB of this 

subpart. Individual unit input power 

must be rounded to the nearest tenth of 

a watt. 

(2) The lumen output of an integrated 

light-emitting diode lamp must be 

measured in accordance with section 3 

of appendix BB of this subpart. 

Individual unit lumen output must be 

rounded to three significant digits. 

(3) The lamp efficacy of an integrated 

light-emitting diode lamp must be 

calculated in accordance with section 3 

of appendix BB of this subpart. 

Individual unit lamp efficacy must be 

rounded to the nearest tenth of a lumen 

per watt. 

(4) The correlated color temperature 

of an integrated light-emitting diode 

lamp must be measured in accordance 

with section 3 of appendix BB of this 

subpart. Individual unit correlated color 

temperature must be rounded to the 

nearest 10 Kelvin. 

(5) The color rendering index of an 

integrated light-emitting diode lamp 

must be measured in accordance with 

section 3 of appendix BB of this subpart. 

Individual unit color rendering index 

must be rounded to the nearest whole 

number. 

(6) The time to failure of an integrated 

light-emitting diode lamp must be 

measured in accordance with section 4 

of appendix BB of this subpart. 

Individual unit time to failure must be 

rounded to the nearest hour. 

(7) The power factor of an integrated 

light-emitting diode lamp must be 

measured in accordance with section 4 


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39666 Federal Register / Vol. 80, No. 131 / Thursday, July 9, 2015 / Proposed Rules 

of appendix BB of this subpart. 

Individual unit power factor must be 

rounded to the nearest tenths place. 

(8) The standby mode power must be 

measured in accordance with section 5 

of appendix BB of this subpart. 

Individual unit standby mode power 

must be rounded to the nearest tenth of 

a watt. 

■ 9. Section 430.25 is revised to read as 

follows: 

§ 430.25 Laboratory Accreditation 

Program. 

The testing for general service 

fluorescent lamps, general service 

incandescent lamps (with the exception 

of lifetime testing), incandescent 

reflector lamps, medium base compact 

fluorescent lamps, fluorescent lamp 

ballasts, and integrated light-emitting 

diode lamps must be conducted by test 

laboratories accredited by an 

Accreditation Body that is a signatory 

member to the International Laboratory 

Accreditation Cooperation (ILAC) 

Mutual Recognition Arrangement 

(MRA). A manufacturer’s or importer’s 

own laboratory, if accredited, may 

conduct the applicable testing. 

■ 10. Appendix BB to subpart B of part 

430 is added to read as follows: 

Appendix BB to Subpart B of Part 430— 

Uniform Test Method for Measuring the 

Input Power, Lumen Output, Lamp 

Efficacy, Correlated Color Temperature 

(CCT), Color Rendering Index (CRI), 

Power Factor, Time to Failure, and 

Standby Mode Power of Integrated 

Light-Emitting Diode (LED) Lamps 

Note: After [Date 180 Days after 

Publication of Final Rule in the Federal 

Register], any representations made with 

respect to the energy use or efficiency of 

integrated light-emitting diode lamps must be 

made in accordance with the results of 

testing pursuant to this appendix. 

1. Scope: This appendix specifies how to 

measure input power, lumen output, 

lamp efficacy, CCT, CRI, power factor, 

time to failure, and standby mode power 

for integrated LED lamps. 

2. Definitions 

2.1. The definitions specified in section 1.3 

of IES LM–79 except section 1.3(f) 

(incorporated by reference; see § 430.3) 

apply. 

2.2. Initial lumen output means the 

measured lumen output after the lamp is 

initially energized and stabilized using 

the stabilization procedures in section 3 

of this appendix. 

2.3. Interval lumen output means the 

measured lumen output at constant 

intervals after the initial lumen output 

measurement in accordance with section 

3 of this appendix. 

2.4. Lamp efficacy means the ratio of 

measured initial lumen output in lumens 

to the measured lamp input power in 

watts, in units of lumens per watt. 

2.5. Rated input voltage means the 

voltage(s) marked on the lamp as the 

intended operating voltage. If not marked 

on the lamp, assume 120 V. 

2.6. Test duration means the operating 

time of the LED lamp after the initial 

lumen output measurement and before, 

during, and including the final lumen 

output measurement, in units of hours. 

2.7. Time to failure means the time elapsed 

between first use and the point at which 

the lamp reaches 70 percent lumen 

maintenance as measured in section 4 of 

this appendix. 

3. Active Mode Test Method for Determining 

Lumen Output, Input Power, CCT, CRI, 

Power Factor, and Lamp Efficacy 

In cases where there is a conflict, the 

language of the test procedure in this 

appendix takes precedence over IES LM–79 

(incorporated by reference; see § 430.3). 

3.1. Test Conditions and Setup 

3.1.1. Establish the ambient conditions, 

power supply, electrical settings, and 

instrumentation in accordance with the 

specifications in sections 2.0, 3.0, 7.0, 

and 8.0 of IES LM–79 (incorporated by 

reference; see § 430.3), respectively. The 

ambient temperature must be maintained 

at 25 °C ± 1 °C. 

3.1.2. Position an equal number of 

integrated LED lamps in the base up and 

base down orientations throughout 

testing; if the position is restricted by the 

manufacturer, test units in the 

manufacturer-specified position. 

3.1.3. Operate the integrated LED lamp at 

the rated voltage throughout testing. For 

an integrated LED lamp with multiple 

rated voltages including 120 volts, 

operate the lamp at 120 volts. If an 

integrated LED lamp with multiple rated 

voltages is not rated for 120 volts, 

operate the lamp at the highest rated 

input voltage. Additional tests may be 

conducted at other rated voltages. 

3.1.4. Operate the lamp at the maximum 

input power. If multiple modes occur at 

the same maximum input power (such as 

variable CCT or CRI), the manufacturer 

can select any of these modes for testing; 

however, all measurements described in 

sections 3 and 4 of this appendix must 

be taken at the same selected mode. The 

manufacturer must indicate in the test 

report which mode was selected for 

testing and include detail such that 

another laboratory could operate the 

lamp in the same mode. 

3.2. Test Method, Measurements, and 

Calculations 

3.2.1. The test conditions and setup 

described in section 3.1 of this appendix 

apply to this section 3.2. 

3.2.2. Stabilize the integrated LED lamp 

prior to measurement as specified in 

section 5.0 of IES LM–79 (incorporated 

by reference; see § 430.3). Calculate the 

stabilization variation as 

[(maximum¥minimum)/minimum] of at 

least three readings of the input power 

and lumen output over a period of 30 

minutes, taken 15 minutes apart. 

3.2.3. Measure the input power in watts as 

specified in section 8.0 of IES LM–79 

(incorporated by reference; see § 430.3). 

3.2.4. Measure the input voltage in volts as 

specified in section 8.0 of IES LM–79 

(incorporated by reference; see § 430.3). 

3.2.5. Measure the input current in amps 

as specified in section 8.0 of IES LM–79 

(incorporated by reference; see § 430.3). 

3.2.6. Measure lumen output as specified 

in section 9.1 and 9.2 of IES LM–79 

(incorporated by reference; see § 430.3). 

Do not use goniophotometers. 

3.2.7. Determine CCT according to the 

method specified in section 12.0 of IES 

LM–79 (incorporated by reference; see 

§ 430.3) with the exclusion of section 

12.2 and 12.5 of IES LM–79. Do not use 

goniophotometers. 

3.2.8. Determine CRI according to the 

method specified in section 12.0 of IES 

LM–79 (incorporated by reference; see 

§ 430.3) with the exclusion of section 

12.2 and 12.5 of IES LM–79. Do not use 

goniophotometers. 

3.2.9. Determine lamp efficacy by dividing 

measured initial lumen output by the 

measured input power. 

3.2.10. Determine power factor by dividing 

measured input power by the product of 

the measured input voltage and 

measured input current. 

4. Active Mode Test Method to Measure Time 

to Failure 

In cases where there is a conflict, the 

language of the test procedure in this 

appendix takes precedence over IES LM–84 

(incorporated by reference; see § 430.3) and 

IES TM–28 (incorporated by reference; see 

§ 430.3). 

4.1. Lamp Handling, Tracking, and Time 

Recording 

4.1.1. Handle, transport, and store the 

integrated LED lamp as described in 

section 7.2 of IES LM–84 (incorporated 

by reference; see § 430.3). 

4.1.2. Mark and track the integrated LED 

lamp as specified in section 7.3 of IES 

LM–84 (incorporated by reference; see 

§ 430.3). 

4.1.3. Measure elapsed operating time only 

when the LED lamps are operating. 

Calibrate all equipment used for 

measuring elapsed operating time to 

have a total minimum temporal 

resolution with a tolerance of 0.5%, as 

described in section 7.5 of IES LM–84 

(incorporated by reference; see § 430.3). 

4.1.4. Check the integrated LED lamps 

regularly for failure either by visual 

observation or automatic monitoring, at 

a minimum, at the start of time to failure 

testing and during every interval 

measurement. 

4.2. Measure Initial Lumen Output. Measure 

the initial lumen output according to 

section 3 of this appendix. 

4.3. Test Duration. Operate the integrated 

LED lamp for a period of time (the test 

duration) after the initial lumen output 

measurement and before, during, and 

including the final lumen output 

measurement. 

4.3.1. There is no minimum test duration 

requirement for the integrated LED lamp. 

The test duration is selected by the 

manufacturer. See section 4.6 of this 

appendix for instruction on the 

maximum time to failure. 


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4.3.2. The test duration only includes time 

when the integrated LED lamp is 

energized and operating. 

4.4. Operating Conditions and Setup Between 

Lumen Output Measurements 

4.4.1. Electrical settings must be as 

described in section 5.1 of IES LM–84 

(incorporated by reference; see § 430.3). 

4.4.2. Ambient temperature conditions 

must be as described in section 4.4 of IES 

LM–84 (incorporated by reference; see 

§ 430.3). Maintain the ambient 

temperature at 25 °C ± 5 °C. 

4.4.3. Humidity in the testing environment 

must be as described in section 4.5 of IES 

LM–84 (incorporated by reference; see 

§ 430.3). 

4.4.4. Air movement around each lamp 

must be as described in section 4.6 of IES 

LM–84 (incorporated by reference; see 

§ 430.3). 

4.4.5. Position an equal number of 

integrated LED lamps in the base up and 

base down orientations throughout 

testing; if the manufacturer restricts the 

position, test the units in the 

manufacturer-specified position. 

4.4.6. Operate the lamp at the rated input 

voltage as described in section 3.1.3 of 

this appendix for the entire test duration. 

4.4.7. Line voltage waveshape must be as 

described in section 5.2 of IES LM–84 

(incorporated by reference; see § 430.3). 

4.4.8. Monitor and regulate rated input 

voltage as described in section 5.4 of IES 

LM–84 (incorporated by reference; see 

§ 430.3). 

4.4.9. Operate LED lamps as specified in 

section 7.4 of IES LM–84 (incorporated 

by reference; see § 430.3). 

4.5. Measure Interval Lumen Output. 

Measure interval lumen output 

according to section 2.7 of this appendix. 

4.5.1. Record interval lumen output and 

elapsed operating time as described in 

section 4.2 of IES TM–28 (incorporated 

by reference; see § 430.3). 

4.5.1.1. For test duration values greater 

than or equal to 3,000 hours and less 

than 6,000 hours, measure lumen 

maintenance of the integrated LED lamp 

at an interval in accordance with section 

4.2.2 of IES TM–28 (incorporated by 

reference; see § 430.3). 

4.5.1.2. For test duration values greater 

than or equal to 6,000 hours, measure 

lumen maintenance at an interval in 

accordance with section 4.2.1 of IES 

TM–28 (incorporated by reference; see 

§ 430.3). 

4.6. Calculate Lumen Maintenance and Time 

to Failure 

4.6.1. Calculate the lumen maintenance of 

the lamp at each interval by dividing the 

interval lumen output ‘‘xt’’ by the initial 

lumen output ‘‘x0’’. Measure initial and 

interval lumen output in accordance 

with sections 4.2 and 4.5 of this 

appendix, respectively. 

4.6.2. For lumen maintenance values less 

than 0.7, including lamp failures that 

result in complete loss of light output, 

time to failure is equal to the previously 

recorded lumen output measurement at 

a shorter test duration where the lumen 

maintenance is greater than or equal to 

70 percent. 

4.6.3. For lumen maintenance values equal 

to 0.7, time to failure is equal to the test 

duration. 

4.6.4. For lumen maintenance values 

greater than 0.7, use the following 

method: 

4.6.4.1. For test duration values less than 

3,000 hours, do not project time to 

failure. Time to failure equals the test 

duration. 

4.6.4.2. For test duration values greater 

than or equal to 3,000 hours but less than 

6,000 hours, time to failure is equal to 

the lesser of the projected time to failure 

calculated according to section 4.6.4.2.1 

of this appendix or the test duration 

multiplied by the limiting multiplier 

calculated in section 4.6.4.2.1. 

4.6.4.2.1. Project time to failure using the 

projection method described in section 

5.1.4 of IES TM–28 (incorporated by 

reference; see § 430.3). Project time to 

failure for each individual LED lamp. 

Data used for the time to failure 

projection method must be as specified 

in section 5.1.3 of IES TM–28 

(incorporated by reference; see § 430.3). 

4.6.4.2.2. Calculate the limiting multiplier 

from the following equation: 

Limiting multiplier = 1/600 * test duration 

¥4 

4.6.4.3. For test duration values greater 

than 6,000 hours, time to failure is equal 

to the lesser of the projected time to 

failure calculated according to section 

4.6.4.3.1 or the test duration multiplied 

by six. 

4.6.4.3.1. Project time to failure using the 

projection method described in section 

5.1.4 of IES TM–28 (incorporated by 

reference; see § 430.3). Project time to 

failure for each individual LED lamp. 

Data used for the time to failure 

projection method must be as specified 

in section 5.1.3 of IES TM–28 

(incorporated by reference; see § 430.3). 

5. Standby Mode Test Method for 

Determining Standby Mode Power 

Measure standby mode power 

consumption for integrated LED lamps 

capable of operating in standby mode. The 

standby mode test method in this section 5 

may be completed before or after the active 

mode test method for determining lumen 

output, input power, CCT, CRI, power factor, 

and lamp efficacy in section 3 of this 

appendix. The standby mode test method in 

this section 5 must be completed before the 

active mode test method for determining time 

to failure in section 4 of this appendix. In 

cases where there is a conflict, the language 

of the test procedure in this appendix takes 

precedence over IES LM–79 (incorporated by 

reference; see § 430.3) and IEC 62301 

(incorporated by reference; see § 430.3). 

5.1. Test Conditions and Setup 

5.1.1. Establish the ambient conditions, 

power supply, electrical settings, and 

instrumentation in accordance with the 

specifications in sections 2.0, 3.0, 7.0, 

and 8.0 of IES LM–79 (incorporated by 

reference; see § 430.3), respectively. 

Maintain the ambient temperature at 25 

°C ± 1 °C. 

5.1.2. Position an equal number of 

integrated LED lamps in the base up and 

base down orientations throughout 

testing. 

5.1.3. Operate the integrated LED lamp at 

the rated voltage throughout testing. For 

an integrated LED lamp with multiple 

rated voltages, operate the integrated 

LED lamp at 120 volts. If an integrated 

LED lamp with multiple rated voltages is 

not rated for 120 volts, operate the 

integrated LED lamp at the highest rated 

input voltage. 

5.2. Test Method, Measurements, and 

Calculations 

5.2.1. The test conditions and setup 

described in section 3.1 of this appendix 

apply to this section 5.1.3. 

5.2.2. Stabilize the integrated LED lamp 

prior to measurement as specified in 

section 5.0 of IES LM–79 (incorporated 

by reference; see § 430.3). Calculate the 

stabilization variation as 

[(maximum¥minimum)/minimum] of at 

least three readings of the input power 

over a period of 30 minutes, taken 15 

minutes apart. 

5.2.3. Configure the integrated LED in 

standby mode by sending a signal to the 

integrated LED lamp instructing it to 

have zero light output. 

5.2.4. Measure the standby mode power in 

watts as specified in section 5 of IEC 

62301 (incorporated by reference; see 

§ 430.3). 

[FR Doc. 2015–16477 Filed 7–8–15; 8:45 am] 

BILLING CODE 6450–01–P 


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