```

[Federal Register Volume 80, Number 131 (Thursday, July 9, 2015)]
[Proposed Rules]
[Pages 39643-39667]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-16477]

[[Page 39643]]

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 Light-
Emitting Diode Lamps; Proposed Rule

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

[[Page 39644]]

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

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 
Light-Emitting 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.''
---------------------------------------------------------------------------

    \1\ American National Standards Institute
    \2\ Illuminating Engineering Society.
---------------------------------------------------------------------------

    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

[[Page 39645]]

    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.
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

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).
---------------------------------------------------------------------------

    \5\ P-n junction is the boundary between p-type and n-type 
material in a semiconductor device, such as LEDs. P-n junctions are 
diodes, active sites where current can flow readily in one direction 
but not in the other direction.
    \6\ Exciting current is the current passing through an LED chip 
during steady-state operation.
---------------------------------------------------------------------------

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

[[Page 39646]]

32023. These conditions include setup and ambient temperature control, 
as well as air movement requirements. Both are discussed in further 
detail below.
---------------------------------------------------------------------------

    \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, 3.2, etc. This SNOPR refers to each 
IES section exactly as it is referenced in the IES standard.
---------------------------------------------------------------------------

    Section 2.2 of IES LM-79-2008 specifies that photometric 
measurements shall be taken at an ambient temperature of 25 degrees 
Celsius ([deg]C)  1 [deg]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[supreg] Program Requirements Product Specification for Lamps 
(Light Bulbs) Version 1.0.\9\ (Joint Comment, No. 34 at p. 2)
---------------------------------------------------------------------------

    \8\ Directional lamps must be tested in an EPA-approved fixture 
or directional lamps 5 
degrees Celsius and directional lamps > 20 watts must be tested at 
555 degrees Celsius.
    \9\ ``ENERGY STAR Program Requirements Product Specification for 
Lamps (Light Bulbs) Version 1.0.'' U.S. Environmental Protection 
Agency, August 28, 2013.
---------------------------------------------------------------------------

    The operating temperature of LED lamps varies depending on the 
application for which they are installed. However, testing at an 
ambient temperature of 25 [deg]C  1[deg]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 [deg]C  1 [deg]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 [deg]C  1[deg]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 manufacturer-specified 
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

[[Page 39647]]

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.
---------------------------------------------------------------------------

    \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.
    \11\ Please 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).
---------------------------------------------------------------------------

    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[deg] to 180[deg] 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

[[Page 39648]]

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.
---------------------------------------------------------------------------

    \12\ ``Method of Measuring and Specifying Colour Rendering 
Properties of Light Sources.'' Approved by CIE in 1995.
---------------------------------------------------------------------------

    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)
---------------------------------------------------------------------------

    \13\ R 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.
---------------------------------------------------------------------------

    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

[[Page 39649]]

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.
---------------------------------------------------------------------------

    \14\ The 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.
---------------------------------------------------------------------------

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 
Handbook-Reference 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 light-emitting 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

[[Page 39650]]

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 [deg]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 [deg]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 [deg]C with a tolerance of 
 5 [deg]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 [deg]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 [deg]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 [deg]C with a tolerance of  5 [deg]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 [deg]C or above.'' 
(NEMA, No. 30 at p. 2)
    DOE agrees that the ambient temperature tolerance of between 15 and 
40 [deg]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 [deg]C  5 
[deg]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 real-life 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.
---------------------------------------------------------------------------

    \15\ NEMA 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.
---------------------------------------------------------------------------

    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.

[[Page 39651]]

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.
---------------------------------------------------------------------------

    \16\ U.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
---------------------------------------------------------------------------

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 [deg]C. A tolerance of 5 [deg]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

[[Page 39652]]

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, high-temperature 
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

[[Page 39653]]

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

[[Page 39654]]

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:
[GRAPHIC] [TIFF OMITTED] TP09JY15.003

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

[[Page 39655]]

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.

[[Page 39656]]

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:
[GRAPHIC] [TIFF OMITTED] TP09JY15.004

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:
[GRAPHIC] [TIFF OMITTED] TP09JY15.005

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:
[GRAPHIC] [TIFF OMITTED] TP09JY15.006

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

[[Page 39657]]

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:

------------------------------------------------------------------------
                                                            LCL or UCL
                         Metric                            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 inter-lab 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\
---------------------------------------------------------------------------

    \17\ Documents for the GSL rulemaking are available at http://www.regulations.gov/#!docketDetail;D=EERE-2013-BT-STD-0051.
---------------------------------------------------------------------------

    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.
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

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.

[[Page 39658]]

(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 product-specific 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

[[Page 39659]]

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.
---------------------------------------------------------------------------

    \19\ DOE LED Lighting Facts Partner List, http://www.lightingfacts.com/Partners/Manufacturer.
    \20\ ENERGY STAR Qualified Lamps Product List, http://downloads.energystar.gov/bi/qplist/Lamps_Qualified_Product_List.xls?dee3-e997.
    \21\ The median revenue for these small businesses can be found 
in the June 2014 SNOPR. 79 FR 32040.
---------------------------------------------------------------------------

    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

[[Page 39660]]

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.
---------------------------------------------------------------------------

    \22\ As 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.
---------------------------------------------------------------------------

    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.
---------------------------------------------------------------------------

    \23\ ENERGY 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.''
---------------------------------------------------------------------------

    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.

[[Page 39661]]

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

[[Page 39662]]

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-general-counsel. 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 Solid-State 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

[[Page 39663]]

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.

[[Page 39664]]

    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

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

    Authority:  42 U.S. C. 6291-6317.

0
2. Section 429.12(f) is revised to read as follows:

Sec.  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 
product-specific information required by Sec.  429.56(b)(2).
* * * * *
0
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:

Sec.  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 Sec.  
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 Sec.  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 Sec.  429.56.
* * * * *
0
4. Section 429.56 is added to read as follows:

Sec.  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 Sec.  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:
[GRAPHIC] [TIFF OMITTED] TP09JY15.007

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:
[GRAPHIC] [TIFF OMITTED] TP09JY15.008

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:
[GRAPHIC] [TIFF OMITTED] TP09JY15.009

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:
[GRAPHIC] [TIFF OMITTED] TP09JY15.010

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:
[GRAPHIC] [TIFF OMITTED] TP09JY15.011

and, x is the sample mean; n is the number of units; and 
xi is the ith unit.
(D) The lifetime of an integrated light-emitting 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

[[Page 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 Sec.  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 Sec.  429.12(b)(13), a certification report shall 
include the following public product-specific information: The testing 
laboratory's NVLAP identification number or other NVLAP-approved 
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

0
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.

0
6. Section 430.2 is amended by adding in alphabetical order the 
definitions of ``Integrated light-emitting diode lamp'' and ``Lifetime 
of an integrated light-emitting diode lamp'' to read as follows:

Sec.  430.2  Definitions.

* * * * *
    Integrated light-emitting diode lamp means an integrated LED lamp 
as defined in ANSI/IES RP-16 (incorporated by reference; see Sec.  
430.3).
* * * * *
    Lifetime of an integrated light-emitting diode lamp means the 
length of operating time between first use and failure of 50 percent of 
the sample units (as defined in Sec.  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.
* * * * *
0
7. Section 430.3 is amended by:
0
a. Adding paragraphs (o)(8) through (11); and
0
b. Removing ``and X'' in paragraph (p)(4) and adding in its place, ``X, 
and BB''.
    The additions read as follows:

Sec.  430.3  Materials incorporated by reference.

* * * * *
    (o) * * *
    (8) IES LM-79-08 (``IES LM-79''), Approved Method: Electrical and 
Photometric Measurements of Solid-State 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 
Sec.  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.
* * * * *
0
8. Section 430.23 is amended by:
0
a. Revising paragraphs (x)(1)(ii) and (x)(2)(iv) [proposed at 79 FR 
64688 (October 31, 2014)]; and
0
b. Adding paragraph (dd).
    These revisions and addition read as follows:

Sec.  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

[[Page 39666]]

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.
0
9. Section 430.25 is revised to read as follows:

Sec.  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.
0
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 Sec.  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 Sec.  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 Sec.  430.3), respectively. The 
ambient temperature must be maintained at 25 [deg]C  1 
[deg]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 Sec.  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 Sec.  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 Sec.  
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 Sec.  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 Sec.  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 Sec.  
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 Sec.  
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 Sec.  430.3) and IES TM-28 
(incorporated by reference; see Sec.  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 Sec.  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 Sec.  
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 Sec.  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.

[[Page 39667]]

    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 Sec.  430.3).
    4.4.2. Ambient temperature conditions must be as described in 
section 4.4 of IES LM-84 (incorporated by reference; see Sec.  
430.3). Maintain the ambient temperature at 25 [deg]C  5 
[deg]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 Sec.  
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 Sec.  
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 Sec.  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 Sec.  
430.3).
    4.4.9. Operate LED lamps as specified in section 7.4 of IES LM-
84 (incorporated by reference; see Sec.  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 Sec.  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 Sec.  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 Sec.  
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 Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  430.3) and IEC 
62301 (incorporated by reference; see Sec.  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 Sec.  430.3), respectively. Maintain 
the ambient temperature at 25 [deg]C  1 [deg]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 Sec.  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 Sec.  430.3).

[FR Doc. 2015-16477 Filed 7-8-15; 8:45 am]
 BILLING CODE 6450-01-P
```