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21038 Federal Register / Vol. 77, No. 68 / Monday, April 9, 2012 / Proposed Rules 

shall embody the provisions set forth in 

paragraph (b) of this section. 

(d) Independent child care centers 

shall enter into a written permanent 

agreement with the State agency which 

specifies the rights and responsibilities 

of both parties as required by 

§ 226.6(b)(4). At a minimum, the 

agreement shall embody the applicable 

provisions set forth in paragraph (b) of 

this section. 

(e) Each child care center shall 

comply with the recordkeeping 

requirements established in § 226.10(d), 

paragraph (b) of this section and, if 

applicable, § 226.15(e). Failure to 

maintain such records shall be grounds 

for the denial of reimbursement. 

(f) Nothing in this section shall be 

construed to limit the ability to 

terminate the permanent agreement 

with an independent or unaffiliated 

sponsored center in accordance with 

this part. 

13. In § 226.17a: 

a. Revise paragraph (a)(1) introductory 

text; 

b. Remove paragraphs (a)(1)(v), (e), (f), 

(g), and (l), redesignate paragraphs (h) 

through (k) as paragraphs (e) through 

(h), respectively, and redesignate 

paragraphs (m) through (q) as 

paragraphs (i) through (m) respectively; 

c. Amend paragraph (b)(1)(iv) by 

removing the words ‘‘paragraph (i)’’ and 

adding ‘‘paragraph (f)’’ in their place; 

d. Amend newly redesignated 

paragraph (f)(3) by removing the words 

‘‘, except in cases where the State 

agency has determined it is most 

efficient to incorporate area eligibility 

decisions into the three-year application 

cycle’’ from the third sentence; and 

e. Add new paragraph (n). 

The addition and revision read as 

follows: 

§ 226.17a At-risk afterschool care center 

provisions. 

(a) * * * 

(1) Eligible organizations. To receive 

reimbursement for at-risk afterschool 

snacks and at-risk afterschool meals, 

organizations must meet the criteria 

below. 

* * * * * 

(n) Permanent agreements. 

Unaffiliated sponsored at-risk 

afterschool care centers shall enter into 

a written permanent agreement with the 

sponsoring organization which specifies 

the rights and responsibilities of both 

parties. At a minimum, the agreement 

shall embody the provisions set forth in 

§ 226.17(b). 

14. In § 226.18, revise paragraph 

(b)(12) as follows: 

§ 226.18 Day care home provisions. 

* * * * * 

(b) * * * 

(12) The responsibility of the 

sponsoring organization, upon the 

request of a tier II day care home, to 

collect applications and determine the 

eligibility of enrolled children for free or 

reduced-price meals and the ability of 

the tier II day care home to assist in 

collecting applications from households 

and transmitting the applications to the 

sponsoring organization. However a tier 

II day care home may not review the 

collected applications and sponsoring 

organizations may prohibit a tier II day 

care home from assisting in collection 

and transmittal of applications if the 

day care home does not comply with the 

process as described in 

§ 226.23(e)(2)(viii); 

* * * * * 

15. In § 226.19, add paragraph (d) as 

follows: 

§ 226.19 Outside-school-hours care center 

provisions. 

* * * * * 

(d) Unaffiliated sponsored outsideschool-hours-care centers shall enter 

into a written permanent agreement 

with the sponsoring organization which 

specifies the rights and responsibilities 

of both parties. At a minimum, the 

agreement must address the provisions 

set forth in § 226.17(b). 

16. In § 226.19a, add paragraph (d) as 

follows: 

§ 226.19a Adult day care center 

provisions. 

* * * * * 

(d) Unaffiliated sponsored adult day 

care centers shall enter into a written 

permanent agreement with the 

sponsoring organization which specifies 

the rights and responsibilities of both 

parties. At a minimum, the agreement 

must address the provisions set forth in 

§ 226.17(b). 

17. In § 226.23, 

a. Amend paragraph (e)(2)(vi), by 

removing the word ‘‘and’’ from the end 

of the paragraph; 

b. Amend paragraph (e)(2)(vii)(B), by 

removing the period and adding ‘‘; and’’ 

in its place; and 

c. Add paragraph (e)(2)(viii). 


The addition reads as follows: 


§ 226.23 Free and reduced-price meals. 

* * * * * 

(e) * * * 

(2) * * * 

(viii) If a tier II day care home elects 

to assist in collecting and transmitting 

the applications to the sponsoring 

organization, it is the responsibility of 

the sponsoring organization to establish 

procedures to ensure the provider does 

not review or alter the application. The 

household consent form must explain 

that: 

(A) The household is not required to 

complete the income eligibility form in 

order for their children to participate in 

CACFP; 

(B) The household may return the 

application to either the sponsoring 

organization or the day care home 

provider; 

(C) By signing the letter and giving it 

the day care home provider, the 

household has given the day care home 

provider written consent to collect and 

transmit the household’s application to 

the sponsoring organization; and 

(D) The application will not be 

reviewed by the day care home 

provider. 

* * * * * 

Dated: April 2, 2012. 

Robin D. Bailey, Jr., 

Acting Administrator, Food and Nutrition 

Service. 

[FR Doc. 2012–8332 Filed 4–6–12; 8:45 am] 

BILLING CODE 3410–30–P 

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 Light-Emitting Diode 

Lamps 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The U.S. Department of 

Energy (DOE) proposes to establish test 

procedures for light-emitting diode 

(LED) lamps to support implementation 

of labeling provisions by the Federal 

Trade Commission (FTC) established 

under the Energy Policy and 

Conservation Act (EPCA). The proposed 

test procedures define methods for 

measuring the lumen output, input 

power, and relative spectral distribution 

(to determine correlated color 

temperature, or CCT) of LED lamps. 

Further, the proposed test procedures 

define methods for measuring the lumen 

maintenance of the LED source (the 

component of the LED lamp that 

produces light) to project the rated 

lifetime of LED lamps. The rated 

lifetime of the LED lamp is the time 

required for the LED source component 

of the lamp to reach lumen maintenance 

of 70 percent (that is, 70 percent of 

initial light output). After reviewing 

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Federal Register / Vol. 77, No. 68 / Monday, April 9, 2012 / Proposed Rules 21039 

available industry standards for 

determining the lumen output, input 

power, CCT, and rated lifetime, as well 

as current best practices and 

technological developments, DOE 

tentatively identified that the test 

methods described in the relevant 

Illuminating Engineering Society of 

North America (IES) standards are 

appropriate for developing test 

procedures for LED lamps. The 

proposed test procedures are based in 

large part on IES standards LM–79– 

2008, ‘‘Approved Method: Electrical and 

Photometric Measurements of SolidState Lighting Products’’ for 

determining lumen output, input power, 

and CCT, and LM–80–2008, ‘‘Approved 

Method: Measuring Lumen Maintenance 

of LED Sources’’ and TM–21–2011, 

‘‘Projecting Long Term Lumen 

Maintenance of LED Light Sources,’’ for 

determining rated lifetime, with some 

modifications as required. 

DATES: DOE will hold a public meeting 

on Thursday, May 3, 2012, from 9 a.m. 

to 4 p.m., in Washington, DC. The 

meeting will also be broadcast as a 

webinar. See section V, ‘‘Public 

Participation,’’ for webinar registration 

information, participant instructions, 

and information about the capabilities 

available to webinar participants. 

DOE will accept comments, data, and 

information regarding this notice of 

proposed rulemaking (NOPR) before and 

after the public meeting, but no later 

than June 25, 2012. See section V, 

‘‘Public Participation,’’ for details. 

ADDRESSES: The public meeting will be 

held at the U.S. Department of Energy, 

Forrestal Building, Room 8E–089, 1000 

Independence Avenue SW., 

Washington, DC 20585. To attend, 

please notify Ms. Brenda Edwards at 

(202) 586–2945. Please note that foreign 

nationals visiting DOE Headquarters are 

subject to advance security screening 

procedures. Any foreign national 

wishing to participate in the meeting 

should advise DOE as soon as possible 

by contacting Ms. Edwards to initiate 

the necessary procedures. Please also 

note that those wishing to bring laptops 

into the Forrestal Building will be 

required to obtain a property pass. 

Visitors should avoid bringing laptops, 

or allow an extra 45 minutes. Persons 

can attend the public meeting via 

webinar. For more information, refer to 

the Public Participation section near the 

end of this notice. 

Any comments submitted must 

identify the NOPR for Test Procedures 

for LED lamps, and provide docket 

number EERE–2011–BT–TP–0071 and/ 

or regulatory information number (RIN) 

number 1904–AC67. Comments may be 

submitted using any of the following 

methods: 

1. Federal eRulemaking Portal: 

http://www.regulations.gov Follow the 

instructions for submitting comments. 

2. Email: LEDLamps-2011-TP0071@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 (Public 

Participation). 

Docket: The docket is available for 

review at www.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 http://www.regulations.gov index. 

However, not all documents listed in 

the index may be publicly available, 

such as information that is exempt from 

public disclosure. 

The www.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 

www.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: 

Lucy.deButts@ee.doe.gov. 

Mr. Ari Altman, U.S. Department of 

Energy, Office of the General Counsel, 

GC–71, 1000 Independence Avenue 

SW., Washington, DC 20585–0121. 

Telephone: (202) 287–6307. Email: 

Ari.Altman@hq.doe.gov 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Authority and Background 

II. Summary of the Notice of Proposed 

Rulemaking 

III. Discussion 

A. Scope of Applicability 

B. Proposed Approach for Determining 

Lumen Output, Input Power, and 

Correlated Color Temperature 

1. Overview of Test Procedure 

2. Test Conditions 

3. Test Setup 

4. Test Method 

5. Test Calculations and Rounding 

C. Proposed Approach for Rated Lifetime 

Measurements 

1. Overview of Test Procedures 

2. Definition of the Rated Lifetime of an 

LED Lamp 

3. Overview of the Proposed Test Method 

to Project Rated Lifetime 

4. Test Conditions 

5. Test Setup 

6. Test Method and Measurements 

7. Method to Project Lumen Maintenance 

Data 

8. Method to Interpolate Lumen 


Maintenance Data 


D. Sampling Plan 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review under the Regulatory Flexibility 

Act 

1. Reasons, Objectives of, and Legal Basis 

for, the Proposed Rule 

2. Description and Estimated Number of 

Small Entities Regulated 

3. Description and Estimate of Burden on 

Small Businesses 

4. Duplication, Overlap, and Conflict with 

Other Rules and Regulations 

5. Significant Alternatives to the 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. Attendance at Public Meeting 

B. Procedure for Submitting Prepared 


General Statements For Distribution 


C. Conduct of Public Meeting 

D. Submission of Comments 

E. 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 (42 U.S.C. 6291, et 

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21040 Federal Register / Vol. 77, No. 68 / Monday, April 9, 2012 / Proposed Rules 

seq.; ‘‘EPCA’’ or, ‘‘the Act’’) sets forth a 

variety of provisions designed to 

improve energy efficiency. (All 

references to EPCA refer to the statute 

as amended through the Energy 

Independence and Security Act of 2007 

(EISA 2007), Public Law 110–140 (Dec. 

19, 2007)). Part B of title III, which for 

editorial reasons was redesignated as 

Part A upon incorporation into the U.S. 

Code (42 U.S.C. 6291–6309), establishes 

the ‘‘Energy Conservation Program for 

Consumer Products Other Than 

Automobiles.’’ 

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 establishes 

test procedures that manufacturers of 

light-emitting diode (LED) lamps would 

use to meet obligations under labeling 

requirements promulgated by the 

Federal Trade Commission (FTC) under 

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

6294(a)(6)). 

Test Procedure Rulemaking Process 

When the U.S. Department of Energy 

(DOE) proposes test procedures, it must 

offer the public an opportunity to 

present oral and written comments on 

them. (42 U.S.C. 6293(b)(2)) EISA 2007 

section 321(b) amended EPCA (42 

U.S.C. 6294(a)(2)(C)) to direct FTC to 

consider the effectiveness of lamp 

labeling for power levels or watts, light 

output or lumens, and lamp lifetime. 

This test procedure rulemaking for LED 

lamps is being conducted to support 

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). 

FTC has published a final rule for 

light bulb 1 labeling (Lighting Facts) that 

went into effect on January 1, 2012. 75 

FR 41696 (July 19, 2010) The FTC 

Lighting Facts label covers three types 

of medium screw base lamps: general 

service incandescent lamps (GSIL), 

compact fluorescent lamps (CFL), and 

general service LED lamps.2 The label 

requires manufacturers to disclose 

1 FTC uses the term ‘bulb,’ while DOE uses the 

term ‘lamp.’ Bulb and lamp refer to the same 

product. 

2 FTC defines general service LED lamps as a 

lamp that is a consumer product; has a medium 

screw base; has a lumen range not less than 310 

lumens and not more than 2,600 lumen; and, is 

capable of being operated at a voltage range at least 

partially within 110 and 130 volts. This test 

procedure rulemaking could be applied to general 

service LED lamps as defined by FTC as well as all 

other integrated LED lamps as discussed in section 

III.A of this NOPR. 

information about the lamp’s 

brightness 3 (lumen output), estimated 

annual energy cost, life 4 (rated lifetime), 

light appearance (correlated color 

temperature (CCT)), and energy use 

(input power). FTC requires that the 

estimated annual energy cost is 

calculated by multiplying the energy 

used by annual operating hours and an 

estimate for energy cost per kilowatthour. FTC references DOE test 

procedures, when available, for testing 

lamps for the FTC Lighting Facts label. 

This test procedure rulemaking would 

enable FTC to reference a DOE test 

procedure for LED lamps. 

In this notice of proposed rulemaking 

(NOPR), DOE proposes test procedures 

for determining the lumen output, input 

power, CCT, and rated lifetime of LED 

lamps. DOE invites comment on all 

aspects of the proposed test procedure 

for LED lamps. 

II. Summary of the Notice of Proposed 

Rulemaking 

In this NOPR, DOE proposes test 

procedures for determination of lumen 

output, input power, CCT, and rated 

lifetime of an LED lamp. Specifically, 

DOE proposes to incorporate by 

reference IES 5 LM–79–2008 6 for 

determination of lumen output, input 

power, and CCT, UL 7 1993–2009 8 for 

support of the in-situ temperature 

measurement test (ISTMT), IES 

standards LM–80–2008 9 and TM–21– 

2011 10 for determination of rated lamp 

lifetime, and ANSI 11/IESNA 12 RP–16– 

2010 13 for the definition of integrated 

LED lamps. DOE reviewed several 

potential approaches to testing lamp 

lumen output, input power, CCT, and 

rated lifetime, and determined that 

3 FTC uses the term ‘brightness’ on the Lighting 

Facts label even though ‘light output’ is the 

technically correct term because FTC’s research 

indicated that consumers prefer the term 

‘brightness’ to ‘light output.’ 

4 FTC uses the term ‘life’ while DOE uses the term 

‘rated lifetime.’ Life and rated lifetime have the 

same meaning. 

5 Illuminating Engineering Society of North 

America. 

6 ‘‘Approved Method: Electrical and Photometric 

Measurements of Solid-State Lighting Products.’’ 

Approved December 31, 2007. 

7 Underwriters Laboratories Inc. 

8 ‘‘Standard for Safety, Self-Ballasted Lamps and 

Lamp Adapters.’’ Published August 28, 2009. 

9 ‘‘Approved Method: Measuring Lumen 

Maintenance of LED Sources.’’ Approved 

September 22, 2008. 

10 ‘‘Projecting Long Term Lumen Maintenance of 

LED Light Sources.’’ Approved July 25, 2011. 

11 American National Standards Institute. 

12 Illuminating Engineering Society of North 

America (also abbreviated as IES). 

13 ‘‘Nomenclature and Definitions for 

Illuminating Engineering.’’ Approved by ANSI on 

October 16, 2009. Approved by IES on November 

15, 2009. 

these UL and IES standards are the best 

standards based on discussions with 

industry experts. These standards are 

adequately specified to generate reliable 

results and are generally used by 

industry for determining photometric 

characteristics of LED lamps. 

DOE conducted literature research 

and determined that IES LM–79–2008 is 

the standard used by industry to 

determine the electrical and 

photometric characteristics of LED 

lamps. IES LM–79–2008 provides the 

test setup, test conditions including 

instrumentation and electrical settings, 

test method, and calculations for 

determining the input power, lumen 

output, and CCT of LED lamps. Section 

III.B details the relevant sections of IES 

LM–79–2008 that are incorporated by 

reference, and any proposed changes, if 

required. 

To develop a Federal test procedure 

for determining the rated lifetime of 

LED lamps, DOE conducted literature 

research and interviewed several 

industry experts to understand the 

methods used by industry to determine 

the rated lifetime of LED lamps. Due to 

the infancy of the technology, there are 

no industry standards that describe a 

methodology for determining rated 

lifetime based on direct measurements 

of an LED lamp. Based on the 

information currently available, DOE 

determined that IES LM–80–2008 

should be used to measure the lumen 

maintenance 14 of an LED source 15 at 

the in-situ temperature determined by 

performing an ISTMT. The test setup 

and conditions for conducting the 

ISTMT should be as specified in UL 

1993–2009. Finally, the LED source 

rated lifetime should be projected using 

the method described in IES TM–21– 

2011. DOE is proposing that the lumen 

maintenance of the LED source be 

measured and projected rather than the 

lumen maintenance of the LED lamp 

because currently there are no wellspecified and established methods for 

projecting LED lamp lumen 

maintenance data. The proposed 

method is based on industry accepted 

measurements and projection methods 

14 Lumen maintenance is the lumen output at a 

given point of time, expressed as a percentage of the 

initial lumen output. While the lumen output of the 

LED source is measured for use in the lumen 

maintenance calculation, the term lumen 

maintenance is used in this NOPR to indicate that 

lumen output is measured over a period of time. 

15 The term ‘‘LED source’’ refers to the assembly 

of components or dies, including the electrical 

connections, printed on a circuit board or substrate. 

The LED source does not include the power source 

or base, but could possibly incorporate optical 

elements and additional thermal, mechanical, and 

electrical interfaces that are intended to connect to 

the load side of a LED driver. The LED source is 

the component of the LED lamp that produces light. 

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and does not require operating the lamp 

until it reaches its rated lifetime. DOE 

discusses this determination in more 

detail in section III.C.1. DOE is 

proposing to define rated lifetime as the 

time when the lumen output of the LED 

sources within the LED lamp falls below 

70 percent of the initial light output. 

Section III.C details the test method to 

determine the rated lifetime and the 

relevant sections of UL 1993–2009, IES 

LM–80–2008, and IES TM–21–2011 that 

are incorporated by reference, and any 

changes, if required. 

III. Discussion 

A. Scope of Applicability 

This rulemaking is applicable to LED 

lamps that fall within DOE’s proposed 

definition of an LED lamp in 10 CFR 

part 430.2, which is based on the term 

integrated LED lamps as defined by 

ANSI/IESNA RP–16–2010, 

‘‘Nomenclature and Definitions for 

Illuminating Engineering.’’ These 

integrated lamps comprise the LED 

source (the LED packages (components) 

or LED arrays (modules)), 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. EPCA, as amended by 

EISA 2007 section 321(a)(1)(B), adds the 

definition for LED as a p-n junction 16 

solid state device, the radiated output of 

which, either in the infrared region, the 

visible region, or the ultraviolet region, 

is a function of the physical 

construction, material used, and 

exciting current 17 of the device. (42 

U.S.C. 6291(30)(CC)) DOE invites 

interested parties to comment on the 

scope of applicability of this test 

procedure and the incorporation of 

ANSI/IESNA RP–16–2010 to define LED 

lamps. 

B. Proposed Approach for Determining 

Lumen Output, Input Power, and 

Correlated Color Temperature 

1. Overview of Test Procedure 

DOE reviewed industry standards and 

spoke with industry experts to 

determine the best method for 

measuring the lumen output, input 

power, and CCT of LED lamps. DOE 

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

and n-type material in a semiconductor device, 

such as LEDs. P-n junctions are active sites where 

current can flow readily in one direction but not in 

the other direction—in other words, a diode. 

17 Exciting current is the current passing through 

an LED chip during steady state operation. 

reviewed the IEC 18/PAS 19 pre-standard 

62612 20 for determining the 

performance of self-ballasted LED 

lamps 21, but this standard did not 

specify a test method for measuring the 

lumen output of LED lamps and is not 

yet a finalized document. Next, DOE 

reviewed the method specified by the 

ENERGY STAR® program and observed 

that it references IES LM–79–2008 for 

determining the lumen output, input 

power, and CCT of integrated LED 

lamps. In review of IES LM–79–2008, 

DOE found IES is the recognized 

technical authority on illumination, and 

the IES LM–79–2008 standard was 

prepared by the IES subcommittee on 

Solid State Light Sources of the IESNA 

Testing Procedures Committee. IES LM– 

79–2008 was also developed in 

collaboration with the ANSI Solid State 

Lighting Joint Working Group C78–09 

and C82–04 comprising individuals 

from several organizations. DOE’s view 

is that the committee members that 

worked on developing the IES LM–79– 

2008 standard represent applicable 

industry groups and interested parties. 

Based on an independent review by 

DOE and general acceptance by 

industry, DOE concluded that IES LM– 

79–2008 specifies all the information 

that is required for providing a complete 

test procedure for determining lumen 

output, input power, and CCT of LED 

lamps. However, DOE is proposing 

some modifications so that the test 

method better serves DOE’s needs. 

IES LM–79–2008 specifies the test 

setup and conditions at which the 

measurements and calculations must be 

performed. These include ambient 

conditions, power supply 

characteristics, lamp orientation, 

seasoning, and stabilization methods for 

LED lamps, and instrumentation and 

electrical settings. These requirements, 

and any modifications proposed by 

DOE, are further discussed in the 

sections III.B.2 through III.B.5. DOE 

requests comment on the proposed 

incorporation of IES LM–79–2008 for 

determining lumen output, input power, 

and CCT. 

2. Test Conditions 

DOE proposes that the ambient 

conditions for testing LED lamps be as 

18 International Electrotechnical Commission. 

19 Publicly Available Specifications. An IEC PAS 

is a publication responding to an urgent market 

need. 

20 ‘‘Publically Available Specification, Prestandard: Self-ballasted LED-lamps for General 

Lighting Services—Performance Requirements.’’ 

Published June 2009. 

21 A self-ballasted LED lamp as defined by the IEC 

refers to the same product as the term integrated 

LED lamp. 

specified in section 2.0 22 of IES LM–79– 

2008. DOE recognizes that lumen output 

of LED lamps can vary with changes in 

ambient temperature and air movement 

around the LED lamp. The test 

conditions outlined in IES LM–79–2008 

ensure reliable, repeatable, and 

consistent test results without 

significant test burden. These 

conditions are discussed in further 

detail below. 

Section 2.2 of IES LM–79–2008 

specifies that photometric 

measurements should be taken at an 

ambient temperature of 25 degrees 

Celsius (°C) ± 1 °C. DOE’s view is that 

a tolerance of 1 °C for the ambient 

temperature is practical, limits the 

impact of ambient temperature on 

measurements, and would not be 

burdensome because the instruments 

used to measure the temperature 

provide for a greater accuracy allowing 

the test laboratories to maintain the 

temperature within the required 

tolerance for testing. Section 2.2 further 

specifies that the temperature should be 

measured at a point not more than one 

meter from the LED lamp and at the 

same height as the lamp. The standard 

also 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. 

This setup for measuring and 

controlling ambient temperature would 

result in appropriate testing conditions 

because it requires that the lamp be 

tested at room temperature and in an 

environment that is used most 

commonly for testing lamp 

technologies. 

DOE proposes 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 air 

flow around the LED lamp should be 

such that it does not affect the lumen 

output measurements of the lamp being 

tested. DOE understands that this 

requirement would ensure consistent 

LED lamp measurements and is a 

requirement for the test setup of other 

lamp types such as GSFLs. 

DOE also considered whether a 

specific method for determination of a 

draft-free environment should be 

specified. Section 4.3 of IES LM–9– 

22 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 NOPR refers to each IES section 

exactly as it is referenced in the standard. 

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21042 Federal Register / Vol. 77, No. 68 / Monday, April 9, 2012 / Proposed Rules 

2009 23 requires that a single ply tissue 

paper be held in place of the lamp to 

allow for visual observation of any 

drafts. DOE requests comment on 

whether the specification from section 

4.3 of IES LM–9–2009 should be 

required for specifying the air 

movement around LED lamps. 

3. Test Setup 

a. Power Supply 

DOE proposes that section 3.1 of IES 

LM–79–2008 be incorporated by 

reference to specify requirements for 

both alternating current (AC) and direct 

current (DC) power supplies. This 

section specifies that an AC power 

supply should have a sinusoidal voltage 

waveshape at the input frequency 

required by the LED lamp such that the 

root mean square (RMS) 24 summation 

of the harmonic components does not 

exceed three percent of the fundamental 

frequency 25 while operating the LED 

lamp. Section 3.2 of IES LM–79–2008 

also requires that the voltage of an AC 

power supply (RMS voltage) or DC 

power supply (instantaneous voltage) 

applied to the LED lamp should be 

within ± 0.2 percent. These 

requirements are achievable with 

minimal testing burden and provide 

reasonable stringency in terms of power 

quality based on their similarity to 

voltage tolerance requirements for 

testing of other lamp types. These 

requirements ensure that the power 

supplied to the LED lamps is consistent 

and, in combination with other 

specifications, would likely result in 

repeatable photometric measurements. 

b. Lamp Mounting and Orientation 

DOE proposes that the LED lamp be 

mounted as specified in section 2.3 of 

IES LM–79–2008 and be positioned in 

the base-up, base-down, and horizontal 

orientations for testing. Section 2.3 of 

IES LM–79–2008 requires that the LED 

lamp should be mounted to the 

measuring instrument (integrating 

sphere or goniophotometer as described 

in section III.B.4.c) in such a manner 

that the heat flow through supporting 

objects does not affect the measurement 

results. This is important because the 

lumen output of LED lamps is sensitive 

to thermal changes. DOE’s view is that 

23 ‘‘IES Approved Method for the Electrical and 

Photometric Measurement of Fluorescent Lamps.’’ 

Approved January 31, 2009. 24 Root mean square (RMS) voltage/current is a 

statistical measure of the magnitude of a voltage/ 

current signal. RMS voltage/current is equal to the 

square root of the mean of all squared instantaneous 

voltages/currents over one complete cycle of the 

voltage/current signal. 25 Fundamental frequency, often referred to as 

fundamental, is defined as the lowest frequency of 

a periodic waveform. 

the examples specified in section 2.3 of 

IES LM–79–2008 (such as suspending a 

ceiling-mounted LED lamp in open air 

and using support materials such as 

Teflon that have low heat conductivity 

instead of mounting it in close thermal 

contact with the sphere wall) ensure 

negligible cooling effects through the 

supporting objects of the LED lamps and 

minimal disturbance of the air flow 

around the lamp. DOE proposes that 

these materials, or other materials with 

low heat conductivity, should be used 

to mount the LED lamp. 

DOE understands that the orientation 

of the lamp could affect the thermal 

conditions within the lamp, which may 

affect the light output. DOE considered 

testing the LED lamps as specified in 

section 6.0 of IES LM–79–2008, which 

states that the LED lamp should be 

tested in the operating orientation 

recommended by the lamp 

manufacturer for the intended use of the 

LED lamp. However, manufacturers do 

not typically specify the operating 

orientation for the LED lamp in their 

product literature. Further, it is possible 

that manufacturers would recommend 

an orientation for testing that provides 

the highest lumen output rather than the 

orientation in which the lamp is most 

frequently operated in practice. 

Therefore, DOE proposes that the lamp 

units should be positioned such that an 

equal number of units are oriented in 

the base up, base down, and horizontal 

orientations each (see section III.D for 

the sampling requirements). This would 

ensure that testing is carried out in all 

possible 26 orientations potentially used 

in practice, instead of only the highest 

performance orientation. DOE also 

requires that the lamps be positioned in 

the same orientation throughout testing, 

which would include lamp seasoning 

(section III.B.4.a), lamp stabilization 

(section III.B.4.b), and input power 

(section III.B.3.c) and lumen output 

measurements (section III.B.4.c). DOE 

requests comment on the 

appropriateness of orienting lamps, in 

the base-up, base-down, and horizontal 

positions for testing, and requests data 

on the impact of lamp orientation on the 

thermal characteristics of the LED lamp, 

and hence, the light output. 

c. Instrumentation 

DOE proposes that the 

instrumentation requirements for the 

AC power meter and the AC and DC 

voltmeter and ammeter, as well as the 

acceptable tolerance for these 

instruments, be as specified in section 

26 An infinite number of orientations are possible, 

but base-up, base-down, and horizontal cover the 

three main possibilities. 

8.0 of IES LM–79–2008. Section 8.1 of 

IES LM–79–2008 specifies that for DCinput LED lamps, a DC voltmeter and 

DC ammeter should be connected 

between the DC power supply and the 

LED lamp under test. The DC voltmeter 

should be connected across the 

electrical power input of the LED lamp, 

and the input electrical power should be 

calculated as the product of the 

measured input voltage and current. 

Section 8.2 of IES LM–79–2008 specifies 

that the tolerance for the DC voltage and 

current measurement instruments 

should be ± 0.1 percent. For AC-input 

LED lamps, section 8.1 of IES LM–79– 

2008 further specifies that an AC power 

meter should be connected between the 

AC power supply and the LED lamp 

under test. The AC power, input 

voltage, and current should be 

measured. Section 8.2 of IES LM–79– 

2008 specifies that the tolerance of the 

AC voltage and current measurement 

instruments should be ± 0.2 percent and 

the tolerance of the AC power meter 

should be ± 0.5 percent. DOE’s view is 

that the instrumentation requirements 

set forth in section 8.0 of IES LM–79– 

2008 are achievable and provide 

reasonable stringency in terms of 

measurement tolerance based on their 

similarity to instrument tolerance 

requirements for testing of other lamp 

types. 

d. Electrical Settings 

DOE proposes that the electrical 

settings for testing LED lamps be as 

specified in section 7.0 of IES LM–79– 

2008. Section 7.0 provides guidance on 

settings such as input voltage, level of 

light output for dimming capable LED 

lamps, and the modes for testing lamps 

with variable CCT. Section 7.0 states 

that the lamp should be operated at the 

specified rated voltage during testing. 

As stated in section 7.0, DOE agrees that 

any method, such as pulsed input 

electrical power and measurements 

synchronized with reduced duty cycle 

input power, intended to reduce the pn junction temperature below that 

which is reached during operation with 

normal input power should not be used 

for testing the LED lamp. Further, for 

lamps with multiple voltages, DOE 

proposes that the LED lamp should be 

tested at 120 volts, unless it is not rated 

for 120 volts. DOE is proposing that 

lamps with multiple voltages should be 

tested at 120 volts because lamps rated 

at 120 volts are available most 

commonly in the market. If the LED 

lamp is not rated for 120 volts, DOE 

proposes that it should be tested at the 

highest rated voltage because the lamp 

is expected to have the best performance 

at the highest rated voltage. Further, 

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Federal Register / Vol. 77, No. 68 / Monday, April 9, 2012 / Proposed Rules 21043 

section 7.0 of IES LM–79–2008 specifies 

that for LED lamps with dimming 

capabilities, the lamp should be 

operated at the maximum input power 

for testing. DOE invites interested 

parties to comment on the 

appropriateness of testing LED lamps at 

the rated voltage and testing lamps that 

are rated to operate at multiple voltages 

at either 120 volts or the highest rated 

voltage. DOE also requests comment on 

testing lamps with dimming capabilities 

at the maximum input power. 

Lastly, section 7.0 of IES LM–79–2008 

specifies that if an LED lamp has 

multiple modes of operation, including 

variable CCT, testing should be 

performed in each mode of operation for 

each unit. In its research, DOE did not 

come across any products that function 

at multiple modes of operation. DOE 

requests comment about whether LED 

lamps with variable CCT, or multiple 

modes of operation, are available in the 

market. If such lamps are available, DOE 

requests comment about whether such 

lamps should be tested at a particular 

CCT value rather than at each value. 

4. Test Method 

a. Lamp Seasoning 

DOE proposes that the LED lamp 

under test be seasoned (energized and 

operated) for 1,000 hours before 

beginning photometric measurements, 

contrary to the requirements of section 

4.0 of IES LM–79–2008 which indicates 

no seasoning is required. Though IES 

LM–79–2008 states that the increase in 

light output from zero to 1,000 hours of 

operation does not significantly affect 

light output or lifetime ratings, IES TM– 

21–2011 specifies that the data obtained 

from the first 1,000 hours of operating 

an LED source should not be used to 

project the lifetime of an LED source 

(and hence, LED lamp rated lifetime as 

discussed in section III.C). DOE is 

proposing a 1,000 hour seasoning time 

because it has been established by 

industry 27 28 that light output of an LED 

source (and therefore, potentially the 

lamp) frequently increases during the 

first 1,000 hours of operation. If the 

lamp is not seasoned for 1,000 hours, 

then depending on the time required to 

stabilize the lamp (as specified in 

section III.B.4.b), the lumen output 

determined through testing may be 

much higher than the actual lumen 

27 Cheong, Kuan Yew. ‘‘LED Lighting Standards 

Update.’’ CREE, August 5, 2011. Page 31. 

www.nmc.a-star.edu.sg/LED_050811/ 

Kuan_CREE.pdf. 

28 Richman, Eric. ‘‘Understanding LED Tests: IES 

LM–79, LM–80, and TM–21.’’ DOE SSL Workshop, 

July 2011. Page 13. http://apps1.eere.energy.gov/ 

buildings/publications/pdfs/ssl/ 

richman_tests_sslmiw2011.pdf. 

output. This may create an incentive to 

increase the time required to stabilize 

the lamp such that the highest lumen 

output is achieved while taking lumen 

output measurements. Additionally, 

DOE understands that there may be 

some lamps that return to the initial 

lumen output (at zero hours) in less 

than 1,000 hours and others that may 

take longer, but proposes that 1,000 

hours be used for seasoning all lamps to 

maintain uniformity. DOE invites 

interested parties to comment on the 

proposed seasoning time for the LED 

lamp under test and any increased 

testing burden due to seasoning the 

lamp for 1,000 hours. DOE also requests 

data on the degree to which the lumen 

output of the LED lamp changes during 

the first 1,000 hours of operation. 

b. Lamp Stabilization 

After the lamp has been seasoned, 

DOE proposes that the time required for 

lamp stabilization be as specified in 

section 5.0 of IES LM–79–2008. The 

ambient conditions and operating 

orientation of the LED lamp while 

stabilizing should continue to be as 

specified in sections III.B.2 and III.B.3.b. 

DOE further proposes that stability of 

the LED lamp is reached when the 

variation [(maximum¥minimum)/ 

minimum] of at least three readings of 

light output and electrical power over a 

period of 30 minutes, taken 15 minutes 

apart, is less than 0.5 percent. This 

calculation in included to add 

clarification to the method specified in 

section 5.0 of IES LM–79–2008. For 

stabilization of a number of products of 

the same model, section 5.0 of IES LM– 

79–2008 suggests that preburning 29 of 

the product may be used if it has been 

established that the method produces 

the same stabilized condition as when 

using the standard method described 

above. DOE invites interested parties to 

comment on adopting section 5.0 of IES 

LM–79–2008 for LED lamp stabilization 

prior to taking photometric 

measurements and whether its 

clarification on the variation calculation 

is appropriate. 

c. Lumen Output Measurement 

After the lamp has been seasoned and 

stabilized, DOE proposes that the test 

method for measuring the lumen output 

of the LED lamp under test be as 

specified in section 9.0 of IES LM–79– 

2008. This section requires that the 

lumen output of the LED lamp be 

measured with an integrating sphere 

29 IES LM–79–2008 defines preburning as the 

operation of a light source prior to mounting on a 

measurement instrument, to shorten the required 

stabilization time on the instrument. 

system or a goniophotometer. An 

integrating sphere system is an optical 

device that is useful for measuring the 

lumen output and color measurement of 

LED lamps. The hollow sphere contains 

two or more openings for introducing 

the LED lamp under test as well as 

attaching a detector (an instrument that 

is used to measure light output or the 

spectral radiant flux), such as a 

photometer or spectroradiometer. A 

goniophotometer is another device that 

measures the luminous intensity 

distribution and the lumen output of the 

LED lamp under test. It does so by 

measuring the light intensity of the LED 

lamp when reflected from a surface at 

various angles. DOE invites interested 

parties to comment on the 

appropriateness of using either an 

integrating sphere system or a 

goniophotometer for testing LED lamps. 

DOE also requests feedback on how the 

lumen output measured using a spherephotometer system, spherespectroradiometer system, or a 

goniophotometer compare with each 

other. 

This notice proposes the same method 

of measurement of lumen output for all 

LED lamps, including directional 30 LED 

lamps. For directional LED lamps, DOE 

proposes that the total lumen output 

emanated from the lamp should be 

measured because other directional 

lamp technologies currently measure 

and report total lumen output on the 

FTC Lighting Facts label. DOE 

understands that the beam lumen 

output, which is present in the zone 

bounded by the beam angle, is the 

‘‘useful’’ lumen output for directional 

lamps. However, at this time, DOE is not 

proposing that beam lumen output be 

measured because inconsistency and 

confusion could arise in the industry if 

LED lamps measure beam lumen output 

(a portion of the total lumen output) 

while other lamp technologies measure 

total lumen output. Additionally, a 

comparison of performance among the 

different directional lamp technologies 

could not be made. DOE understands 

that beam lumen output or center-beam 

candle power (CBCP) metrics are useful 

for comparing and describing 

directional lamps but does not propose 

these metrics because they are not 

required for the FTC Lighting Facts 

label. DOE requests comment on the 

appropriateness of measuring total 

lumen output for directional LED lamps. 

30 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. 

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d. Determination of Correlated Color 

Temperature 

DOE proposes that the CCT of the LED 

lamp under test should be calculated as 

specified in section 12.4 of IES LM–79– 

2008. 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, should be as specified in section 

12.0 of IES LM–79–2008. This section 

describes the test method to calculate 

CCT using a sphere-spectroradiometer 

system and a spectroradiometer or 

colorimeter system. Section 12.0 of IES 

LM–79–2008 also specifies the 

spectroradiometer parameters that affect 

CCT and the method to evaluate spatial 

non-uniformity of chromaticity. 

5. Test Calculations and Rounding 

DOE is proposing calculation and 

rounding requirements to be used for 

determining brightness, energy use, 

light appearance, and estimated annual 

energy cost, should a DOE test 

procedure be referenced by the FTC 

through a future rulemaking process in 

support of the FTC Lighting Facts label. 

DOE proposes that the input power of 

all test units be averaged and the 

average value be rounded to the nearest 

tenths digit (see section III.D for 

proposed sampling requirements). DOE 

found that LED lamp datasheets 

typically provide input power values to 

the ones digit or the tenths digit. DOE 

proposes that average input power be 

rounded to the tenths digit because for 

products with input power less than 10 

watts, tenths digit would be useful for 

discerning differences in power 

consumption, and input power 

measurements can be made to this level 

of accuracy. DOE also proposes that the 

lumen output of all units be averaged 

and the value be rounded to the nearest 

tens digit because this level of 

resolution is necessary for 

differentiating the light output of lamps 

that frequently have lumen output of 

less than 1,000 lumens. DOE’s view is 

that this level of accuracy is achievable 

because manufacturers typically report 

lumen output for LED lamps to the tens 

digit in catalogs. For CCT, DOE 

proposes that CCT of all units be 

averaged and the value be rounded to 

the tens digit. In the 2009 GSFL test 

procedure final rule, DOE determined 

that all laboratories are able to measure 

CCT to three significant digits. 74 FR 

31829 (July 6, 2009). Because a typical 

CCT is in the thousands (such as 4200 

Kelvin), maintaining three significant 

digits requires rounding to the tens 

digit. Finally, consistent with FTC’s 

final rule establishing the Lighting Facts 

label, DOE proposes that the estimated 

annual energy cost for LED lamps, 

expressed in dollars per year, be 

calculated as the product of the average 

input power, in kilowatts, the electricity 

cost rate of 11 cents per kilowatt-hour, 

and the estimated average annual use at 

three hours per day, which is 1,095 

hours per year. 75 FR 41702 (July 19, 

2010) DOE proposes that the estimated 

annual energy cost should be rounded 

to the nearest cent because the cost of 

electricity is specified to the nearest 

cent. DOE invites interested parties to 

comment on the proposed calculation 

and rounding requirements for 

determining lumen output, input power, 

CCT, and estimated annual energy cost. 

C. Proposed Approach for Rated 

Lifetime Measurements 

1. Overview of Test Procedures 

DOE reviewed several methods to 

measure the rated lifetime of LED 

lamps, such as those contained in 

industry standards and based on DOE 

and ENERGY STAR working groups. Of 

the methods researched, the first three 

methods mentioned in Table III.1 test 

the LED lamp to determine the rated 

lifetime and the final method in Table 

III.1 test the LED source to determine 

the rated lifetime of the lamp. While it 

would be preferred to project the rated 

lifetime of the LED lamp rather than the 

LED source, currently, a standardized 

method only exists for projecting the 

lumen maintenance of the LED source 

and not the LED lamp. The approaches 

researched, and listed in Table III.1, 

include: (1) Measuring the lumen output 

of the LED lamp until it reaches 70 

percent of the initial lumen output (L70) 

based on IES LM–79–2008; (2) 

measuring the lumen output of the LED 

lamp for 6,000 hours and projecting the 

L70 lifetime in number of hours based on 

the minimum lumen maintenance at 

6,000 hours, as specified in the ENERGY 

STAR Specification for Integral LED 

Lamps Version 1.4; (3) measuring the 

lumen output of the LED lamp for a 

minimum of 6,000 hours based on IES 

LM–79–2008 and projecting the time at 

which the lumen output would reach 70 

percent of the initial lumen output; and 

(4) measuring the lumen output of the 

LED sources at regular intervals for a 

minimum of 6,000 hours based on IES 

LM–80–2008 and projecting the time at 

which the lumen output would reach 70 

percent of the initial lumen output 

based on IES TM–21–2011. These 

approaches, and the benefits and 

limitations of each approach, are listed 

in Table III.1 below. 

TABLE III.1—APPROACHES TO DEFINE RATED LED LAMP LIFETIME 

Approach Description of method Advantages Disadvantages 

1 ................... Measure lamp lumen output as specified in IES LM–79–2008. 

Lifetime of LED lamp is time when half the product population is below 70 percent of initial lumen output (L70). 

• Not a projection; accounts 

for performance of entire 

LED lamp until it reaches 

L70. 

• True representation of LED 

lamp L70 lifetime. 

• Performing complete IES 

LM–79–2008 test is time 

consuming and expensive. 

• Product may be obsolete 

when testing is complete (up 

to six years). 

2 ................... Measure lamp lumen output for 6,000 hours as specified in 

IES LM–79–2008. Maximum L70 life claim is dependent on 

minimum lumen maintenance at 6,000 hours as specified in 

ENERGY STAR specification for integral LED lamps 

version 1.4. Perform rapid-cycle stress test to assess catastrophic lamp failure. 

• Final lifetime claims are 

based on LED lamp (rather 

than just LED source) tests. 

• Lumen maintenance projection is based on 6,000 hours 

of IES LM–79–2008 and 

hence, is not as time consuming as performing full 

IES LM–79–2008 test to L70. 

• Method used to develop 

projection of lifetime is 

unverified. 

• Does not account for catastrophic LED lamp failure 

mechanisms beyond 6,000 

hrs. 

• Cycling is not a proven 

source of catastrophic failure for LED lamps. 

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TABLE III.1—APPROACHES TO DEFINE RATED LED LAMP LIFETIME—Continued 

Approach Description of method Advantages Disadvantages 

3 ................... Measure LED lamp lumen output as specified in IES LM–79– 

2008 for 6,000 hours minimum. Lumen output data is projected to L70 life of the LED lamp and this value is the rated 

lifetime. 

• Lifetime is determined 

based on LED lamp lumen 

maintenance data, rather 

than source data. 

• Lifetime projection based on 

6,000 hours of data which is 

not as time consuming as 

performing a full IES LM– 

79–2008 test to L70. 

• Standard method not yet developed to project lumen 

output of LED lamp. 

• May not be feasible to develop a method for projecting IES LM–79–2008 

lumen output data in a timely manner for the FTC Lighting Facts label. 

4 ................... Measure LED source lumen output as specified in IES LM– 

80–2008 and use IES TM–21–2011 to project number of 

hours at which the lumen output reaches 70 percent of initial lumen output (L70). The life of LED lamp is the value 

projected by IES TM–21–2011 with a maximum limit of 

25,000 hours. 

• Uses latest industry standards IES TM–21–2011 and 

IES LM–80–2008 to determine lumen maintenance of 

source accounting for temperature effects. 

• Not as time consuming or 

expensive as IES LM–79– 

2008 testing—utilizes test 

data commonly provided by 

LED package manufacturers. 

• Not a complete representation of LED lifetime. Determined value may underestimate or overestimate actual 

lifetime. 

• Does not account for other 

LED lamp lumen degradation methods. 

For approach 1, measuring the lumen 

output of the LED lamp until it reaches 

70 percent of the initial lumen output is 

not practical because it may require up 

to six years of testing, by which time the 

LED lamp may be obsolete. Approaches 

2 and 3 specify measuring the lumen 

output of the LED lamp for 6,000 hours 

according to IES LM–79–2008 and 

projecting the rated lifetime of the lamp 

from this data. These methods have the 

advantage of projecting rated lifetime 

directly from LED lamp lumen 

maintenance data, but a standardized 

method for making this projection has 

not yet been developed. Approach 4 

determines the rated lifetime of the LED 

lamp using projected life of the LED 

source contained in the lamp based on 

IES LM–80–2008 data and the IES TM– 

21–2011 projection method with a 

maximum limit of 25,000 hours. This 

method limits required testing time to 

6,000 hours and is based on IES 

standards. It would be preferable to 

consider the performance of the entire 

LED lamp to determine rated lifetime, 

but the current methods for 

measurement and projection of the lamp 

are not practical or sufficiently 

specified. Therefore, based on currently 

available information, DOE 

preliminarily has determined that 

approach 4 is the best approach to 

determine rated LED lifetime. DOE 

invites comment on relative costs and 

benefits of the four approaches. 

Regarding the proposed method, 

approach 4, using IES LM–80–2008 and 

IES TM–21–2011, DOE recognizes that 

the LED driver component degradation 

and failure rates, the interactions among 

the LED sources and between LED 

sources and other components within 

the lamp, as well as color shift, are 

known to affect the rated lifetime of the 

LED lamp. However, standardized test 

methods do not currently exist to 

determine the impact of each of these 

components on the overall rated lifetime 

of LED lamps. In the absence of this 

information, the rated lifetime of the 

LED lamp can be determined only 

through testing and projecting lumen 

maintenance of the LED source. As new 

standards to define the life of LED 

drivers and components are developed, 

this test procedure can be revised. 

Further, DOE proposes that the 

maximum projection of rated lifetime 

not exceed 25,000 hours, expressed in 

number of years, based on three hours 

per day of use. This would ensure that 

exceedingly large rated lifetime 

projections are not made based only on 

IES LM–80–2008 data and IES TM–21– 

2011 projections. This method could 

lead to inaccurate projections if the 

driver installed in an LED lamp does not 

operate as long as the source is 

projected to survive. Another issue 

could arise if the operation of the driver 

compensates for degradation of the LED 

source in the first 6,000 hours of 

operation. In this situation, the LED 

source lumen maintenance data could 

decrease rapidly once the driver is 

unable to compensate for degradation of 

the LED source. However, an 

extrapolation of the first 6,000 hours of 

data would not be able to predict when 

the rapid degradation of the LED source 

would occur, and consequently would 

project a longer rated lifetime than is 

realistic. IES TM–21–2011 also sets an 

upper limit to the maximum allowable 

projection, such as 5.5 times the test 

duration for 10–19 units and six times 

the test duration for 20 units. However, 

these limits are defined with a 90 

percent confidence on the projection of 

LED source lifetime, and the proposed 

upper limit of 25,000 hours is based on 

a conservative estimate of the overall 

LED lamp’s lifetime. 

Therefore, DOE proposes to 

incorporate IES standards LM–80–2008 

and TM–21–2011 for projecting the 

rated lifetime of LED lamps. As 

discussed in section III.B, IES is the 

recognized technical authority on 

illumination and the standards that DOE 

proposes to incorporate are prepared by 

the IES subcommittee on Solid State 

Light Sources of the IESNA Testing 

Procedures Committee. DOE’s view is 

that the committee members that 

worked on developing both of these IES 

standards represent applicable industry 

groups and interested parties. DOE 

reviewed IES LM–80–2008 and IES TM– 

21–2011 to determine whether any 

additional information would be 

required for providing a test procedure 

for determining the rated lifetime of 

LED sources, and thus, LED lamps. DOE 

concluded that IES LM–80–2008 and 

IES TM–21–2011 provide most of the 

information that is required for setting 

up the LED sources for testing, 

measuring the lumen output of the LED 

sources, and projecting the rated 

lifetime of the LED source. Additionally, 

DOE proposes to incorporate UL 

standard 1993–2009 to describe the test 

setup and conditions for an ISTMT to 

determine the temperature at which IES 

LM–80–2008 data should be used to 

project the rated lifetime of the LED 

lamp. These requirements, and any 

variations, are further discussed in 

sections III.C.3 through III.C.8. DOE 

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21046 Federal Register / Vol. 77, No. 68 / Monday, April 9, 2012 / Proposed Rules 

requests comment on the proposed 

incorporation of IES standards LM–80– 

2008 and TM–21–2011 and UL standard 

1993–2009. 

2. Definition of the Rated Lifetime of an 

LED Lamp 

Based on the proposed approach to 

determine lifetime, DOE proposes that 

the rated lifetime of an LED lamp be 

defined as the time when the lumen 

output of the LED sources within the 

lamp falls below 70 percent of the initial 

light output (L70). DOE understands that 

the L70 metric is the standard reference 

level to define rated LED lamp 

lifetime 31 and is widely accepted by 

industry as well. DOE invites interested 

parties to comment on the definition of 

the rated lifetime of an LED lamp. 

3. Overview of the Proposed Test 

Method To Project Rated Lifetime 

DOE proposes that the rated lifetime 

of an LED lamp should be obtained by 

following the three steps listed below. 

First, the in-situ temperature of the LED 

source when it operates within the lamp 

should be measured. Second, the lumen 

maintenance data at the in-situ 

temperature should be obtained. 

Finally, the lumen maintenance data 

should be projected to determine the 

rated lifetime. 

DOE proposes that the in-situ 

temperature of the LED source should 

be obtained by performing an ISTMT. 

Section III.C.6.a discusses the test setup 

and conditions, as well as the method 

of measuring the in-situ temperature for 

the ISTMT. To obtain the lumen 

maintenance data at the in-situ 

temperature, DOE proposes that the data 

can be obtained through any one of the 

following three options: (1) Directly 

from the source manufacturer; (2) by 

interpolating the data provided by a 

source manufacturer from two case 

temperatures not at the in-situ 

temperature; or (3) by measuring the 

lumen maintenance of the LED source at 

the in-situ case temperature. DOE 

understands that LED source 

manufacturers typically test LED 

sources at three temperatures as 

required by IES LM–80–2008. These 

three temperatures are 55°C, 85°C, and 

a third temperature suggested by the 

source manufacturer. Further, DOE 

understands that source manufacturers 

can provide the lumen maintenance 

data at these three temperatures to LED 

lamp manufacturers as needed. If the 

lumen maintenance data is available at 

31 ‘‘LED Luminaire Lifetime: Recommendations 

for Testing and Reporting.’’ Second Edition. June 

2011. http://apps1.eere.energy.gov/buildings/ 

publications/pdfs/ssl/led_luminaire-lifetimeguide_june2011.pdf. 

the in-situ temperature (option 1 above) 

or if the lumen maintenance data can be 

interpolated from the data provided by 

the LED source manufacturer (option 2 

above), then the LED lamp manufacturer 

would not need to test the LED sources. 

However, if the lumen maintenance data 

is not available directly or through 

interpolation from the LED source 

manufacturer, LED lamp manufacturers 

would need to test the LED sources at 

the in-situ temperature to obtain the 

lumen maintenance data to project the 

rated lifetime (option 3 above). Section 

III.C.8 discusses the proposed approach 

to interpolate lumen maintenance data 

for option 2 above. Further, sections 

III.C.4 through III.C.6.b discuss the 

proposed approach to test the LED 

sources to obtain lumen maintenance 

data, which would only be required for 

option 3 above. 

Finally, section III.C.7 discusses the 

method to project the lumen 

maintenance data (gathered from option 

1, 2, or 3) and obtain the rated lifetime. 

4. Test Conditions 

DOE proposes that the vibration, 

temperature, drive current, humidity, 

and airflow requirements for testing the 

LED sources be as specified in section 

4.4 of IES LM–80–2008. Section 4.4.1 of 

IES LM–80–08 requires that the LED 

source not be subjected to excessive 

vibration or shock during testing. 

For the operation of the LED sources 

between photometric measurements, 

DOE does not propose to require the 

lamp manufacturer to test the LED 

sources at three case temperatures as 

specified in section 4.4.2 of IES LM–80– 

2008. Instead, DOE proposes that the 

LED source under test be operated at the 

same case temperature it reaches when 

assembled and operated within the LED 

lamp. This temperature can be 

determined by performing an ISTMT as 

described in section III.C.6.a. Further, 

DOE proposes that each of the LED 

sources must be operated at this in-situ 

temperature with the same drive current 

passing through each LED source (see 

section III.D for sampling requirements). 

DOE proposes that the drive current 

flowing through the LED source under 

test should be greater than or equal to 

the subcomponent drive current in the 

LED lamp. DOE invites comment on the 

appropriateness of operating the LED 

sources at the in-situ case temperature 

and drive current. 

Section 4.4.2 of IES LM–80–2008 

further specifies that the temperature 

should be maintained between the 

desired case temperature and 2 °C less 

than the desired case temperature 

during testing, and the temperature of 

the air surrounding the LED sources 

should be maintained between the 

desired case temperature and 5 °C less 

than the desired case temperature 

during testing. Section 6.3 of IES LM– 

80–2008 also specifies that the LED 

sources be allowed to cool to room 

temperature before each lumen output 

measurement and that the ambient 

temperature during this measurement be 

25 °C ± 2 °C. Finally, section 4.4.2 of IES 

LM–80–2008 specifies that the relative 

humidity (RH) should be maintained to 

less than 65 RH during testing. 

Further, DOE considered whether the 

measurement location for the air 

surrounding the LED sources and the 

measurement location for the ambient 

temperature while measuring lumen 

output should be specified. IES LM–79– 

2008 specifies that the ambient 

temperature must be measured at a 

point not more than one meter from the 

LED lamp. DOE requests comment on 

whether a similar requirement, one 

meter from the LED source, should be 

specified for measuring air and ambient 

temperature around the source. 

Finally, DOE proposes that the airflow 

around the LED sources under test 

should be as specified in section 4.4.3 

of IES LM–80–2008, which states that 

the airflow should be maintained to 

minimize air drafts but allow some 

movement of the air to avoid thermal 

stratification. DOE invites interested 

parties to comment on the 

appropriateness of adopting section 

4.4.3 of IES LM–80–2008 for acceptable 

airflow around the LED sources under 

test. Further, DOE requests comment on 

whether testing with a single ply tissue 

paper, as specified in section 4.3 of IES 

LM–9–2009, should be used to ensure a 

draft free environment for testing LED 

sources. 

5. Test Setup 

a. Operating Orientation 

DOE proposes that the LED sources be 

operated in accordance with section 

4.4.4 of IES LM–80–2008, which states 

that the LED sources must be operated 

in the orientation specified by the 

source manufacturer. DOE understands 

that there may be effects from 

convection airflow due to heat-sinks 

and thermal management, and therefore 

also proposes that the LED sources 

should be spaced to allow airflow 

around each test unit as recommended 

in section 4.4.4 of IES LM–80–2008. 

DOE notes that it is not specifying the 

orientation for testing LED sources but 

is specifying the orientation for testing 

LED lamps (as discussed in section 

III.B.3.b). Because the LED source case 

temperature is not controlled during an 

LED lamp test and LED lamp orientation 

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can change the LED source case 

temperature, specification of operating 

orientation is necessary for an LED 

lamp. By contrast, the case temperature 

of the LED source is controlled during 

testing, minimizing the effect of 

operating orientation on the light output 

of the LED source. DOE invites 

interested parties to comment on 

whether the operating orientation of 

LED sources during testing affects the 

lumen depreciation over time. 

b. Electrical Setup 

DOE proposes that the electrical setup 

including input voltage, input current, 

and driver used for testing LED sources 

be as specified in section 5.0 of IES LM– 

80–2008. Section 5.1 of IES LM–80– 

2008 specifies that the input voltage 

should conform to the rated input 

voltage (RMS) and frequency of the 

driver. For drivers that require DC, 

ripple voltage should not exceed two 

percent of the DC output voltage. 

Section 5.2 of IES LM–80–2008 further 

specifies that the power supply should 

have a voltage waveshape such that the 

total harmonic distortion does not 

exceed three percent of the fundamental 

frequency. 

Section 5.3 of IES LM–80–2008 

specifies that the input current should 

be within ± three percent of the rated 

RMS value during testing and within ± 

0.5 percent of the rated RMS value 

during lumen output measurements. 

Section 5.3 of IES LM–80–2008 further 

specifies that the current can be de-rated 

as a function of temperature in 

accordance with the manufacturer’s 

recommendation. This requirement 

ensures that the LED source is operated 

at the same current that it would be 

operated at within the LED lamp. 

Section 5.4 of IES LM–80–2008 

requires that the external driver used for 

testing LED sources be compliant with 

manufacturer’s guidance. DOE believes 

that this requirement would ensure that 

the LED sources operate at the rated 

input current and would provide 

consistent lumen output measurements 

for rated lifetime projections. DOE 

invites comment on the appropriateness 

of adopting section 5.4 for the external 

driver specification to test LED sources. 

DOE understands that the driver used 

for testing LED sources per IES LM–80– 

2008 is a simple power supply that 

converts AC input power to DC output 

power and it is not similar to the drivers 

used in LED lamps. DOE requests 

comment on whether more 

specifications should be provided for 

the driver used to test LED sources. 

c. Thermal Setup 

DOE proposes that the thermal setup 

for testing LED sources be as specified 

in section 5.5 of IES LM–80–2008. It 

states that the case temperature should 

be measured directly on the LED source 

at the case temperature measurement 

point designated by the manufacturer 

using a thermocouple. A manufacturerrecommended heat sink should be used 

for temperature maintenance. 

d. Instrumentation 

DOE proposes that the 

instrumentation required for recording 

time and measuring the lumen output of 

LED sources should be as specified in 

section 6.1 of IES LM–80–2008 and 

section 9.0 of IES LM–79–2008 

respectively. Section 6.1 of IES LM–80– 

2008 specifies that if an elapsed time 

meter is used, it should be connected to 

the particular test position and should 

accumulate time only when the LED 

sources are energized. Monitoring 

devices should not accumulate time if 

there is a power failure to a source. 

Additionally, section 6.1 of IES LM–80– 

2008 recommends using video 

monitoring, current monitoring, or other 

means to determine the elapsed 

operating time if they are designed to 

provide sufficient temporal accuracy. 

This section also requires that the total 

time uncertainty should be within ± 0.5 

percent. 

DOE further proposes that the lumen 

output measurement should be made as 

specified in section 9.0 of IES LM–79– 

2008. The lumen output should be 

measured at the drive current used 

throughout rated lifetime testing. DOE 

finds that consistently maintaining the 

drive current across all measurements 

would ensure an accurate representation 

of the rated LED lamp lifetime. DOE is 

not proposing section 6.2 of IES LM–80– 

2008 for measuring the lumen output of 

the LED sources because it recommends 

that the lumen output measurement 

should be determined from the total 

spectral radiant flux measurements 

using a spectroradiometer only. DOE 

understands that the sphere-photometer 

system and goniophotometer methods 

recommended in section 9.0 of IES LM– 

79–2008 could be used for measuring 

the lumen output of the LED sources in 

addition to the spherespectroradiometer system. DOE invites 

interested parties to comment on the 

appropriateness of adopting section 9.0 

of IES LM–79–2008 for the 

instrumentation required for 

photometric measurements of the LED 

sources under test. In particular, DOE 

requests comment about whether the 

spectroradiometer should be the only 

instrument used for photometric 

measurements of LED sources or 

whether a sphere-photometer system 

and goniophotometer system could be 

used as well. 

6. Test Method and Measurements 

a. In-Situ Temperature Measurement 

Test 

DOE proposes that an ISTMT be 

performed to determine the case 

temperature at which the lumen 

maintenance data should be used to 

project the rated lifetime of the LED 

source. DOE proposes that the test setup 

and conditions for the ISTMT be as 

specified in sections 8.5, 8.13, 8.14, 

8.15, and 9 of UL 1993–2009. Section 9 

of UL 1993–2009 specifies the test 

equipment, ambient temperature, 

relative humidity, instrumentation, test 

box material and construction, as well 

as the test setup for lamps that are 

intended to be operated in a wet 

environment. Section 8.5 of UL 1993– 

2009 provides specifications for the 

temperature test of the LED lamp 

including the ambient temperature and 

the temperature of the components 

within the lamp. Section 8.5.8 further 

specifies that the in-situ temperature of 

the LED lamp should be recorded after 

the test has been running for at least 

three hours, and three successive 

readings taken at 15 minute intervals are 

within 1 °C of one another and are still 

not rising. Sections 8.13, 8.14, and 8.15 

specify the test setup for lamps that are 

intended to be operated in a damp 

environment, wet environment, and 

cold environment, respectively. 

Further, DOE proposes that, as 

specified in Appendix D of the ENERGY 

STAR® Program Requirements for 

Integral LED Lamps, Eligibility 

Criteria—Version 1.432, the in-situ 

temperature should be measured at the 

temperature measurement point (TMP) 

that is defined by LED package, array, or 

module manufacturer on its product to 

act as surrogate points for measuring the 

junction temperature. To perform the 

ISTMT, a temporary thermocouple 

should be attached to the TMP of the 

highest temperature LED package, array, 

or module in the LED lamp, as specified 

by the LED source manufacturer. The 

temporary hole for inserting the 

thermocouple should be tightly resealed 

during testing with putty or other 

flexible sealant, as mentioned in the 

ENERGY STAR specification. Lastly, 

DOE proposes that the guidance 

32 ENERGY STAR® Program Requirements for 

Integral LED Lamps 

www.energystar.gov/ia/partners/product_specs/ 

program_reqs/ 

Integral_LED_Lamps_Program_Requirements.pdf. 

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21048 Federal Register / Vol. 77, No. 68 / Monday, April 9, 2012 / Proposed Rules 

specified in the ENERGY STAR 

specification for attaching the 

thermocouple in the LED lamp be 

followed. 

DOE invites interested parties to 

comment on the appropriateness of 

adopting sections 8.5, 8.13, 8.14, 8.15, 

and 9 of UL 1993–2009 for performing 

the ISTMT to determine the LED source 

case temperature at which rated lifetime 

projections should be made using the 

temporary thermocouple attachment to 

the TMP as specified in Appendix D of 

the ENERGY STAR® Program 

Requirements for Integral LED Lamps, 

Eligibility Criteria—Version 1.4. 

b. Lumen Maintenance Testing Duration 

and Interval 

DOE proposes that the test method for 

determining the LED source lifetime be 

as specified in section 7.0 of IES LM– 

80–2008 and section 4.3 of IES TM–21– 

2011. Section 7.1 of IES LM–80–2008 

specifies that the LED sources should be 

operated for at least 6,000 hours and 

data should be collected at a minimum 

of every 1,000 hours, at ambient 

temperature. Section 4.3 of IES TM–21– 

2011 further recommends that after the 

first 1,000 hours of operation of the LED 

source, data should be collected at an 

interval smaller than 1,000 hours. 

Additional measurements beyond 6,000 

hours are encouraged and recommended 

for more accurate projections. Section 

7.2 of IES LM–80–2008 further specifies 

that LED sources should be operated at 

a constant current throughout testing. 

Finally, as specified in section 7.3 of IES 

LM–80–2008, if an LED source fails 

during testing, it should be determined 

if the failure is due to the auxiliary 

equipment or if it is an actual LED 

source failure. DOE proposes that if the 

failure is due to the auxiliary 

equipment, the failed auxiliary 

equipment should be replaced and 

testing of the LED source should be 

continued from the time when the 

auxiliary equipment failed. It should be 

possible to determine the elapsed time 

by using a video monitor or other 

equipment as specified in section 

III.C.5.d. If it is an actual LED source 

failure, it should be included in the 

lifetime projection calculation as 

described in section III.C.7. 

DOE further proposes that the 

relevant guidelines from the ENERGY 

STAR® guidance document for 

measuring the lumen maintenance of 

LED sources should be used for testing 

the LED sources.33 This document 

33 ENERGY STAR® Program Guidance Regarding 

LED Package, LED Array and LED Module Lumen 

Maintenance Performance Data Supporting 

Qualification of Lighting Products, September 9, 

specifies that all case temperature 

subsets of the sample used for testing 

should be of the same CCT. Secondly, 

the drive current flowing through the 

LED source under test should be greater 

than or equal to the subcomponent drive 

current in the LED lamp; the drive 

current in the LED lamp could be 

determined during ISTMT. The 

document further specifies that for an 

LED lamp that has both phosphorconverted white and single-color LED 

packages, the lumen maintenance 

should be measured for a sample of LED 

arrays that incorporate both types of 

LED packages. Additionally, for LED 

arrays constructed as an assembly of 

LED dies on a printed circuit board or 

substrate (a.k.a. chip-on-board) with one 

common phosphor layer overlaying all 

dies, or with phosphor layers overlaying 

individual dies with or without singlecolor dies incorporated, a single test 

could be used to represent the 

performance of a range of LED array 

sizes, if the following two conditions are 

satisfied: (1) Testing is conducted on the 

largest LED array that the manufacturer 

believes will be used in the LED lamp; 

and, (2) the average calculated currentper-die in the LED array under test is 

greater than or equal to the average 

calculated current-per-die employed in 

the LED lamp. Finally, for LED arrays 

constructed as an assembly of LED 

packages on a printed circuit board, 

each with their own phosphor layer, the 

in-situ TMP temperature of the hottest 

package in the array should be used for 

lumen maintenance projection 

purposes. DOE invites interested parties 

to comment on the appropriateness of 

adopting these guidelines from the 

ENERGY STAR guidance document for 

testing LED sources. 

7. Method to Project Lumen 

Maintenance Data 

DOE proposes that the lumen 

maintenance of the LED source should 

be projected as specified in section 5.0 

of IES TM–21–2011. This section 

specifies that a curve-fit method should 

be used for projecting the lumen 

maintenance for each LED source at a 

given drive current and case 

temperature. Section 5.2 of IES TM–21– 

2011 further gives a detailed description 

of the procedure, including 

normalization of data, averaging of data, 

using the curve-fit method, adjusting the 

results based on the sample size, and 

whether the projected value is positive 

or negative. DOE proposes that L70, the 

2011 www.energystar.gov/ia/partners/prod_ 

development/new_specs/downloads/luminaires/ 

ENERGY_STAR_Final_Lumen_Maintenance_ 

Guidance.pdf. 

time it takes for the LED source to reach 

70 percent of its initial light output, 

should be used for projecting the 

lifetime of the LED source with a 

maximum projection of 25,000 hours. 

That is, even if the method described in 

section 5.0 of IES TM–21–2011 projects 

a lifetime of 36,000 hours, the rated 

lifetime of the LED lamp cannot be more 

than 25,000 hours. If the projection 

method described in IES TM–21–2011 

projects a lifetime that is less than 

25,000 hours, then the projected value 

should be the rated lifetime of the LED 

lamp. As explained in section III.C.1 

above, DOE is making this proposal to 

ensure that exceedingly large rated 

lifetime projections are not made based 

only on IES LM–80–2008 data and IES 

TM–21–2011 projections. Twenty-five 

thousand hours was selected as the 

maximum value because it is currently 

unknown if the LED driver will last 

beyond 25,000 hours. Furthermore, 

twenty-five thousand hours is also the 

lifetime estimate that several reputable 

manufacturers already use in their 

catalogs, and it is the maximum 

ENERGY STAR criteria for full 

qualification of LED lamp lifetime based 

on 6,000 hours of test data. Finally, DOE 

proposes that, the life of the LED lamp 

should be determined in number of 

years based on three hours per day of 

operation, which is consistent with the 

FTC Lighting Facts label requirements 

for other lamp technologies. DOE 

proposes that the resulting value should 

be rounded to the nearest tenth of a 

year. Rounding the rated lifetime to the 

nearest tenths place is necessary to have 

sufficient resolution for discerning 

differences in rated lifetime expressed 

in years. DOE invites interested parties 

to comment on the appropriateness of 

using the methodology specified in 

section 5.0 of IES TM–21–2011 for 

projecting the L70 lifetime of LED 

sources with a maximum projection of 

25,000 hours. DOE also requests 

comment on the proposed rounding 

requirement for rated lifetime. 

For LED sources that fail during 

lifetime testing due to LED source 

failure, DOE proposes that the data for 

these LED sources be included for 

projecting the lifetime. At the first 

measurement interval after the LED 

source fails, the recorded value should 

be zero lumens for the source. Values 

for the remaining tests between the time 

of failure and end of testing should be 

recorded as zero as well and these 

values should be included while 

averaging the normalized values as 

explained in section 5.2 of IES TM–21– 

2011. 

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8. Method to Interpolate Lumen 

Maintenance Data 

For option 2 discussed in section 

III.C.3 above, DOE proposes that the 

method of interpolation should be as 

specified in section 6.0 of IES TM–21– 

2011. This section describes the case 

temperatures that should be used for 

interpolating the data and the 

methodology used for calculating the 

lumen output at the desired 

temperature, which includes converting 

the temperature to units of Kelvin, using 

the Arrhenius Equation 34 to calculate 

the lumen maintenance life, and the 

applicability and limitations of the 

method. 

D. Sampling Plan 

DOE is proposing a sampling plan for 

determining input power, lumen output, 

CCT, and rated lifetime of an LED lamp. 

DOE reviewed the sampling 

requirements of other lamp technologies 

to develop the sampling plan for LED 

lamps. For testing LED sources, DOE 

reviewed the requirements specified in 

IES TM–21–2011 and identified that 

those requirements are necessary to 

project the rated lifetime. 

DOE proposes a minimum of 21 LED 

lamps should be tested for determining 

the input power, lumen output, and 

CCT as described in section III.B. A 

minimum of three lamps should be 

selected per month for seven months of 

production out of a 12 month period. If 

lamp production occurs in fewer than 

seven months of the year, three or more 

lamps should be selected for each 

month that production occurs as evenly 

as possible to meet the minimum 21 

unit requirement. The seven months 

need not be consecutive and could be a 

combination of seven months out of the 

12 months. Sample sizes greater than 21 

should be multiples of three so that an 

equal number of lamps in each 

orientation are tested. This selection of 

a minimum of 21 lamps is consistent 

with DOE’s regulation for GSFLs and 

GSILs, specified at 10 CFR 429.27, 

Subpart B, which specify a sampling 

size of a minimum of three lamps for 

each month of production for a 

minimum of seven months (not 

necessarily consecutive) out of the 12 

month period, totaling a minimum of 21 

lamps. 

DOE further proposes that the input 

power, lumen output, and CCT of the 

units should be averaged and the value 

of each of these parameters should be 

rounded as specified in section III.B.5. 

The average value of each parameter 

should be calculated using the following 

equation: 

DOE proposes that the sample size for 

testing LED sources for determining the 

rated lifetime of LED lamps be as 

specified in section 4.2 of IES TM–21– 

2011. This section recommends that all 

data from a sample set at a given case 

temperature and drive current from the 

LM–80–2008 test should be used for 

projecting the lifetime of the LED 

source. The recommended sample set is 

20 units for projecting the lifetime of the 

LED sources. If at least 20 units are 

used, the lifetime could be projected up 

to six times the test duration, with a 

maximum limit of 25,000 hours as 

described in section III.C.7. If the 

number of units tested is between 10 

and 19 units, the lifetime could be 

projected up to 5.5 times the test 

duration, with a maximum of 25,000 

hours. Less than 10 units cannot be used 

for the IES TM–21–2011 projection 

method. This requirement is different 

from the sample size proposed above for 

testing the LED lamp to determine input 

power, lumen output, and CCT. The 

differences are primarily because the 

rated lifetime is determined by testing a 

different device (the LED source) and 

the proposed method for projecting 

lifetime provides specific projection 

calculations based on sample sizes 

outlined in that IES TM–21–2011. DOE 

requires that the same number of units 

should be tested at each case 

temperature for projecting the rated 

lifetime. DOE invites interested parties 

to comment on the appropriateness of 

adopting section 4.2 of IES TM–21–2011 

for the required sample size for rated 

lifetime testing. 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

The Office of Management and Budget 

has determined that test procedure 

rulemakings do not constitute 

‘‘significant regulatory actions’’ under 

section 3(f) of Executive Order 12866, 

Regulatory Planning and Review, 58 FR 

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

action was not subject to review under 

the Executive Order by the Office of 

Information and Regulatory Affairs 

(OIRA) in the Office of Management and 

Budget (OMB). 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

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

of an initial regulatory flexibility 

analysis (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: www.gc.doe.gov. 

34 Arrhenius Equation is an equation that reaction. It is useful for determining the temperature dependent lumen maintenance of LED 

accounts for the temperature dependence of a sources. 

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21050 Federal Register / Vol. 77, No. 68 / Monday, April 9, 2012 / Proposed Rules 

DOE reviewed the test procedures 

considered in today’s NOPR under the 

provisions of the Regulatory Flexibility 

Act (RFA) and the policies and 

procedures published on February 19, 

2003. As discussed in more detail 

below, 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 associate with 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 and 

labeling requirements. 

DOE has transmitted a copy of this 

IRFA to the Chief Counsel for Advocacy 

of the Small Business Administration 

(SBA) for review. 

1. Reasons, Objectives of, and Legal 

Basis for, the Proposed Rule 

EISA 2007 section 321(b) amended 

EPCA (42 U.S.C. 6294(a)(2)(C)) to direct 

FTC to consider the effectiveness of 

lamp labeling for power levels or watts, 

light output or lumens, and lamp 

lifetime. This test procedure rulemaking 

for LED lamps is being conducted to 

support 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 (July 

19, 2010) 

2. Description and Estimated Number of 

Small Entities Regulated 

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 less 

for an entity to be considered as a small 

business for this category. 

DOE estimated that the test procedure 

requirements proposed in this NOPR 

will apply to about 32 manufacturers of 

LED lamps. Of these manufacturers, 

DOE compiled a preliminary list of 

potential small businesses by searching 

the SBA databases, ENERGY STAR’s list 

of qualified products 35, as well as 

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, and/or 

calling companies directly. Through this 

process, DOE identified 17 potential 

small businesses that manufacture LED 

lamps. DOE requests comment on the 

estimated number of entities that would 

be impacted by the proposed 

rulemaking and the number of these 

companies that are ‘‘small businesses’’. 

3. Description and Estimate of Burden 

on Small Businesses 

The proposed test procedures for LED 

lamps, if adopted by FTC, would 

potentially require re-testing of any 

previously tested product. Further, if 

adopted by FTC, the proposed test 

procedures would require 

manufacturers to update their existing 

package and product labeling and 

online and hardcopy retailers to update 

their catalogs. The estimated cost of 

testing, packaging and labeling, and 

revising catalogs are discussed below. 

Testing 

To estimate the cost of testing, DOE 

determined the initial cost for setup and 

the costs to perform tests for 

determining the input power, lumen 

output, CCT, and rated lifetime of LED 

lamps. The initial setup for testing input 

power, lumen output, and CCT would 

require a custom-built rack for mounting 

lamps for testing. DOE estimated that up 

to 120 hours of labor may be required 

for building a rack that can hold up to 

100 lamps. DOE estimated that the cost 

to build a rack by an electrical engineer 

whose rate is $39.79 per hour 36 would 

be approximately $4,770. DOE 

estimated that the material cost to build 

a custom-built rack holding 100 sockets 

would be $3,000 and the power supply 

and regulator costs would be $3,300 and 

35 ENERGY STAR Qualified Lamps Product List 

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

Lamps%20Qualified%20Product%20List.pdf?fd91-

d291. 

36 Obtained from the Bureau of Labor Statistics 

(National Compensation Survey: Occupational 

Earnings in the United States 2008, U.S. 

Department of Labor (August 2009), Bulletin 2720, 

Table 3 (‘‘Full-time civilian workers,’’ mean and 

median hourly wages) http://bls.gov/ncs/ocs/sp/ 

nctb0717.pdf. 

$1,250 respectively. DOE estimated the 

total cost to build a rack to be 

approximately $12,000. DOE expects 

that manufacturers of LED lamps would 

already have other instrumentation 

necessary for testing, because IES LM– 

79–2008 is the recommended standard 

for testing LED lamps for the FTC 

Lighting Facts label. 

In addition to setup, the labor cost 

associated with carrying out the testing 

contributes to the overall testing burden. 

As discussed in section III.D, for testing 

lumen output, input power, and CCT, 

manufacturers would be required to test 

a total of 21 LED lamps. DOE estimated 

that this testing would require 

approximately four hours per lamp by 

an electrical engineer whose rate is 

$39.79 per hour. DOE estimated about 

19 small business manufacturers of 

LEDs would be impacted, each typically 

manufacturing about 17 basic models. In 

total, the use of this test method for 

determining light output, input power, 

and CCT would result in testing related 

labor costs of $57,000 for each 

manufacturer. 

For lifetime testing, as discussed in 

section III.D, LED source manufacturers 

would be required to test at least 10 

units of the LED source, though 20 units 

are recommended and allow for 

projection of a longer lifetime. DOE’s 

understanding is that LED source 

manufacturers already perform this test 

during the normal course of business; 

therefore, adoption of this test method 

should not present an incremental 

burden. However, LED lamp 

manufacturers must perform the ISTMT 

on one lamp for each basic model to 

determine the case temperature of the 

LED source and perform the lifetime 

extrapolation calculations described in 

section III.C.7. DOE estimated these 

tests and calculations would require 

approximately 16 hours per basic model 

by an electrical engineer whose rate is 

$39.79 per hour. DOE understands that 

LED lamp manufacturers would already 

have the materials required for the 

ISTMT. DOE estimated about 19 

manufacturers of LED lamps would be 

impacted, each typically manufacturing 

about 17 basic models. In total, the use 

of this test method for determining rated 

lifetime would result in related labor 

costs of $11,000 for each manufacturer. 

Finally, DOE expects that the 

incremental burden to develop a model 

for projecting rated lifetime per IES TM– 

21–2011 should be insignificant and 

that most companies would already 

have this calculation method in place. 

For each manufacturer producing 17 

basic models, assuming testing 

instrumentation is already available, 

DOE estimates the initial setup cost 

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would be $12,000 and the labor costs to 

carry out testing would be 

approximately $68,000. DOE expects the 

setup cost to be a onetime cost to 

manufacturers. Further, DOE expects 

that the labor costs to perform testing 

would be smaller than $68,000 after the 

first year because only new products or 

redesigned products would need to be 

tested. DOE requests comments on its 

analysis of initial setup and labor costs 

as well as the average annual burden for 

conducting testing of LED lamps. 

Packaging, Labeling, Catalogs 

In addition to testing costs, LED lamp 

manufacturers may potentially incur the 

cost to update existing package and 

product labeling and online and 

hardcopy retailers may be required to 

update catalogs. In the final rule 

establishing FTC’s Lighting Facts label, 

FTC determined the cost for changing 

package and product labeling as well as 

retail catalogs would not impose a 

significant burden on small entities. 75 

FR 41696, 41712 (July 19, 2010). The 

required updates for labeling and 

catalogs, if FTC adopts this proposed 

test procedure, would involve revisions 

of values, not a full redesign of 

packaging or catalog format. Therefore, 

the burden imposed by the adoption of 

this proposed test procedure by the FTC 

would have an even smaller impact on 

small entities than the original 

rulemaking establishing that label. DOE 

requests comment on its estimated 

burden to small LED lamp 

manufacturers and retailers to change 

product packaging and labeling and 

retail catalogs. 

In summary, DOE cannot certify that 

the impact on small businesses 

associated with FTC adopting the 

proposed LED lamp test procedure 

would not be significant. DOE requests 

comment on the potential burden and 

its impact on small businesses. 

4. Duplication, Overlap, and Conflict 

With Other Rules and Regulations 

DOE is not aware of any other federal 

statutes, rules, or policies that would 

duplicate, overlap, or conflict with the 

proposed rule. DOE invites comment 

and information on this issue. 

5. Significant Alternatives to the Rule 

DOE considered a number of 

alternatives to the proposed test 

procedure as discussed in sections 

III.B.1 and III.C.1. DOE seeks comment 

and information on the need, if any, for 

alternative test methods that, consistent 

with the statutory requirements, would 

reduce the economic impact of the rule 

on small entities. DOE will consider any 

comments received regarding alternative 

methods of testing that would reduce 

economic impact of the rule on small 

entities. DOE will consider the 

feasibility of such alternatives and 

determine whether they should be 

incorporated into the final rule. 

C. Review Under the Paperwork 

Reduction Act of 1995 

There is currently no information 

collection requirement related to the test 

procedure for LED lamps. In the event 

that DOE proposes to require the 

collection of information derived from 

the testing of LED lamps according to 

this test procedure, DOE will seek OMB 

approval of such information collection 

requirement. 

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. Public 

reporting burden for the certification 

was estimated to average 20 hours per 

response, including the time for 

reviewing instructions, searching 

existing data sources, gathering and 

maintaining the data needed, and 

completing and reviewing the collection 

of information. 

As stated above, in the event DOE 

proposes to require the collection of 

information derived from the testing of 

LED lamps according to this test 

procedure, DOE will seek OMB 

approval of the associated information 

collection requirement. DOE will seek 

approval either through a proposed 

amendment to the information 

collection requirement approved under 

OMB control number 1910–1400 or as a 

separate proposed information 

collection requirement. 

Notwithstanding any other provision 

of the law, no person is required to 

respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the PRA, unless 

that collection of information displays a 

currently valid OMB Control Number. 

D. Review Under the National 

Environmental Policy Act of 1969 

In this proposed rule, DOE is 

proposing a test procedure for LED 

lamps that it expects will be used to 

support the 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 

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errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard; and (4) promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort to ensure that the 

regulation: (1) Clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

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

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, the proposed 

rule meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Public Law 104–4, sec. 

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

proposed regulatory action likely to 

result in a rule that may cause the 

expenditure by State, local, and Tribal 

governments, in the aggregate, or by the 

private sector of $100 million or more 

in any one year (adjusted annually for 

inflation), section 202 of UMRA requires 

a Federal agency to publish a written 

statement that estimates the resulting 

costs, benefits, and other effects on the 

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

The UMRA also requires a Federal 

agency to develop an effective process 

to permit timely input by elected 

officers of State, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate,’’ and 

requires an agency plan for giving notice 

and opportunity for timely input to 

potentially affected small governments 

before establishing any requirements 

that might significantly or uniquely 

affect small governments. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820; also available at 

www.gc.doe.gov. DOE examined today’s 

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 

today’s 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. 

Today’s regulatory action to establish 

a test procedure for measuring the 

lumen output, input power, CCT, and 

rated lifetime 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 Federal Trade Commission (FTC) 

concerning the impact of the 

commercial or industry standards on 

competition. 

The proposed rule incorporates 

testing methods contained in the 

following commercial standards: ANSI/ 

IESNA RP–16–2010, ‘‘Nomenclature 

and Definitions for Illuminating 

Engineering;’’ IES LM–79–2008, 

‘‘Approved Method: Electrical and 

Photometric Measurements of SolidState Lighting Products;’’ UL 1993– 

2009, ‘‘Standard for Safety, SelfBallasted Lamps and Lamp Adapters;’’ 

IES LM–80–2008, ‘‘Approved Method: 

Measuring Lumen Maintenance of LED 

Light Sources;’’ and IES TM–21–2011, 

‘‘Projecting Long Term Lumen 

Maintenance of LED Light Sources’’. 

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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. Attendance at Public Meeting 

The time, date and location of the 

public meeting are listed in the DATES 

and ADDRESSES sections at the beginning 

of this document. If you plan to attend 

the public meeting, please notify Ms. 

Brenda Edwards at (202) 586–2945 or 

Brenda.Edwards@ee.doe.gov. As 

explained in the ADDRESSES section, 

foreign nationals visiting DOE 

Headquarters are subject to advance 

security screening procedures. 

In addition, you can attend the public 

meeting via webinar. Webinar 

registration information, participant 

instructions, and information about the 

capabilities available to webinar 

participants is available on the public 

meeting registration Web site 

www1.gotomeeting.com/register/ 

952826176. Participants are responsible 

for ensuring their systems are 

compatible with the webinar software. 

B. Procedure for Submitting Prepared 

General Statements For Distribution 

Any person who has plans to present 

a prepared general statement may 

request that copies of his or her 

statement be made available at the 

public meeting. Such persons may 

submit requests, along with an advance 

electronic copy of their statement in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format, to the appropriate address 

shown in the ADDRESSES section at the 

beginning of this notice. The request 

and advance copy of statements must be 

received at least one week before the 

public meeting and may be emailed, 

hand-delivered, or sent by mail. DOE 

prefers to receive requests and advance 

copies via email. Please include a 

telephone number to enable DOE staff to 

make a follow-up contact, if needed. 

C. Conduct of Public Meeting 

DOE will designate a DOE official to 

preside at the public meeting and may 

also use a professional facilitator to aid 

discussion. The meeting will not be a 

judicial or evidentiary-type public 

hearing, but DOE will conduct it in 

accordance with section 336 of EPCA 

(42 U.S.C. 6306). A court reporter will 

be present to record the proceedings and 

prepare a transcript. DOE reserves the 

right to schedule the order of 

presentations and to establish the 

procedures governing the conduct of the 

public meeting. After the public 

meeting, interested parties may submit 

further comments on the proceedings as 

well as on any aspect of the rulemaking 

until the end of the comment period. 

The public meeting will be conducted 

in an informal, conference style. DOE 

will present summaries of comments 

received before the public meeting, 

allow time for prepared general 

statements by participants, and 

encourage all interested parties to share 

their views on issues affecting this 

rulemaking. Each participant will be 

allowed to make a general statement 

(within time limits determined by DOE), 

before the discussion of specific topics. 

DOE will allow, as time permits, other 

participants to comment briefly on any 

general statements. 

At the end of all prepared statements 

on a topic, DOE will permit participants 

to clarify their statements briefly and 

comment on statements made by others. 

Participants should be prepared to 

answer questions by DOE and by other 

participants concerning these issues. 

DOE representatives may also ask 

questions of participants concerning 

other matters relevant to this 

rulemaking. The official conducting the 

public meeting will accept additional 

comments or questions from those 

attending, as time permits. The 

presiding official will announce any 

further procedural rules or modification 

of the above procedures that may be 

needed for the proper conduct of the 

public meeting. 

A transcript of the public meeting will 

be included in the docket, which can be 

viewed as described in the Docket 

section at the beginning of this notice. 

In addition, any person may buy a copy 

of the transcript from the transcribing 

reporter. 

D. Submission of Comments 

DOE will accept comments, data, and 

information regarding this proposed 

rule before or after the public meeting, 

but 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 

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 (hereinafter referred to as 

Confidential Business Information 

(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. 

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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 not 

secured, written in English and are free 

of any defects or viruses. Documents 

should not contain special characters or 

any form of encryption and, if possible, 

they should carry the electronic 

signature of the author. 

Campaign form letters. Please submit 

campaign form letters by the originating 

organization in batches of between 50 to 

500 form letters per PDF or as one form 

letter with a list of supporters’ names 

compiled into one or more PDFs. This 

reduces comment processing and 

posting time. 

Confidential Business Information. 

According to 10 CFR 1004.11, any 

person submitting information that he 

or she believes to be confidential and 

exempt by law from public disclosure 

should submit via email, 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). 

E. Issues on Which DOE Seeks Comment 

Although DOE welcomes comments 

on any aspect of this proposal, DOE is 

particularly interested in receiving 

comments and views of interested 

parties concerning the following issues: 

1. DOE requests comment on the 

proposed scope and incorporation of 

ANSI/IESNA RP–16–2010 for the 

definition of LED lamps. See section 

III.A for further detail. 

2. DOE requests comment on the 

proposed incorporation of IES LM–79– 

2008 for determining lumen output, 

input power, and CCT. See section III.B 

for further detail. 

3. DOE requests comment on whether 

air movement should be specified in 

more detail than that provided by IES 

LM–79–2008. See section III.B.2 for 

further detail. 

4. DOE requests comment on 

operating an equal number of lamps in 

the base up, base down, and horizontal 

orientations throughout testing. See 

section III.B.3.b for further detail. 

5. DOE requests comment on testing 

LED lamps at the rated voltage for single 

voltage lamps and testing lamps with 

dimming capability at the maximum 

input power. Further, DOE requests 

comment about testing LED lamps that 

are rated to operate at multiple voltages 

at 120 volts or the highest rated voltage. 

Finally, DOE requests comment on 

whether LED lamps with multiple 

modes of operation are available and the 

CCT value at which these lamps should 

be tested. See section III.B.3.d for 

further detail. 

6. DOE requests comment on 

seasoning the LED lamp for 1,000 hours 

before collecting lumen output data. See 

section III.B.4.a for further detail. 

7. DOE requests comment on 

stabilizing the lamp until the variation 

of at least three readings of the lumen 

output and electrical power, taken 15 

minutes apart, is less than 0.5 percent. 

DOE also requests comment on its 

clarification of the variation calculation 

to be the difference of the maximum and 

minimum values divided by the 

minimum value. See section III.B.4.b for 

further detail. 

8. DOE requests comment on 

measuring the lumen output of the LED 

lamp using a sphere-spectroradiometer 

system, sphere-photometer system, and 

goniophotometer system. In particular, 

DOE requests comment on whether the 

measurements from each method are 

similar and consistent. See section 

III.B.4.c for further detail. 

9. DOE requests comment on 

measuring total lumens for directional 

LED lamps instead of beam lumens. See 

section III.B.4.c for further detail. 

10. DOE requests comment on the 

proposed calculation and rounding 

requirement for lumen output, input 

power, CCT, and estimated annual 

energy cost. See section III.B.5 for 

further detail. 

11. DOE requests comment on the 

relative costs and benefits of the four 

approaches described in Table III.1 to 

determine rated lifetime of an LED 

lamp. See section III.C.1 for further 

detail. 

DOE requests comment on the 

proposed incorporation of IES standards 

LM–80–2008 and TM–21–2011 and UL 

standard 1993–2009 for determining the 

rated lifetime of LED lamps. See section 

III.C.1 for further detail. 

12. DOE requests comment on the 

proposed definition of the rated lifetime 

of an LED lamp. See section III.C.2 for 

further detail. 

13. DOE requests comment on 

operating the LED sources at the in-situ 

case temperature and drive current as 

well as the ambient conditions for 

testing. DOE also requests comment on 

whether the measurement location for 

air temperature near the LED source and 

airflow around the LED source should 

be further specified. See section III.C.4 

for further detail. 

14. DOE requests comment on 

whether the operating orientation of 

LED sources affects the lumen 

depreciation over time. See section 

III.C.5.a for further detail. 

15. DOE requests comment on 

whether the requirement that the 

external driver used for testing LED 

sources be as specified by the 

manufacturer needs further clarification. 

See section III.C.5.b for further detail. 

16. DOE requests comment on using 

a sphere-photometer system or a 

goniophotometer for measuring the 

lumen output of LED sources in 

addition to the spherespectroradiometer system specified in 

section 6.2 of IES LM–80–2008. See 

section III.C.5.d for further detail. 

17. DOE requests comment on 

adopting sections 8.5, 8.13, 8.14, 8.15, 

and 9 of UL 1993–2009 and the 

practicality of the thermocouple 

attachment requirements for performing 

the ISTMT. See section III.C.6.a for 

further detail. 

18. DOE requests comment on 

adopting relevant guidelines from the 

ENERGY STAR® guidance document for 

measuring lumen maintenance. See 

section III.C.6.b for further detail. 

19. DOE requests comment on 

adopting section 5.0 of IES TM–21–2011 

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Federal Register / Vol. 77, No. 68 / Monday, April 9, 2012 / Proposed Rules 21055 

for projecting the lifetime of the LED 

sources with a maximum projection of 

25,000 hours. See section III.C.7 for 

further detail. 

20. DOE requests comment on the 

proposed rounding requirement for 

rated lifetime. See section III.C.7 for 

further detail. 

21. DOE requests comment on the 

proposed sample size requirements for 

testing LED lamps and LED sources. See 

section III.D for further detail. 

22. DOE requests comment on its 

estimated number of small businesses 

impacted by this rulemaking as well as 

its estimated cost and associated burden 

to small businesses. See section IV.B for 

further detail. 

23. DOE requests comment on its 

estimate of costs and associated burden 

under the Paperwork Reduction Act. 

See section IV.C for further detail. 

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 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 April 3, 2012. 

Kathleen B. Hogan, 

Deputy Assistant Secretary of Energy, Energy 

Efficiency and Renewable Energy. 

For the reasons stated in the 

preamble, DOE is proposing to amend 

parts 429 and 430 of Chapter II of Title 

10, Subchapter D of the Code of Federal 

Regulations as set forth below: 

PART 429—CERTIFICATION, 

COMPLIANCE, AND ENFORCEMENT 

FOR CONSUMER PRODUCTS AND 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

1. The authority citation for part 429 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317. 

2. Section 429.55 is added to read as 

follows: 

§ 429.55 Light-emitting diode lamps. 

(a) Sampling plan for selection of 

units for testing. (1) The requirements of 

§ 429.11 are applicable to light-emitting 

diode lamps; and 

(2)(i) For determining input power, 

lumen output, and correlated color 

temperature, for each basic model of 

light-emitting diode lamp, units shall be 

obtained from a 12-month period, 

tested, and the results averaged. A 

minimum sample size of 21 lamps shall 

be tested. The manufacturer shall 

randomly select a minimum of three 

lamps from each month of production 

for a minimum of seven out of the 12 

month period. In the instance where 

production occurs during fewer than 

seven of such 12 months, the 

manufacturer shall randomly select 

three or more lamps from each month of 

production, where the number of lamps 

selected for each month shall be 

distributed as evenly as practicable 

among the months of production to 

attain a minimum sample size of 21 

lamps. Sample sizes greater than 21 

shall be a multiple of three. The value 

of input power, lumen output, and 

correlated color temperature shall be 

based on the sample and shall be equal 

to the mean of the sample, where: 

(ii) For measurements of rated 

lifetime, for each basic model of lightemitting diode lamp, the sample size of 

the light-emitting diode source 

packaged in the LED lamp shall be as 

specified in section 4.2 of IES TM–21 

(incorporated by reference; see § 430.3). 

(b) Reserved. 

PART 430—ENERGY CONSERVATION 

PROGRAM FOR CONSUMER 

PRODUCTS 

3. The authority citation for part 430 

continues to read as follows: 

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

2461 note. 

4. Section 430.2 is amended by 

adding in alphabetical order the 

definition of ‘‘light-emitting diode 

lamp’’ to read as follows: 

§ 430.2 Definitions. 

* * * * * 

Light-emitting diode lamp means an 

integrated LED lamp as defined in 

ANSI/IESNA RP–16 (incorporated by 

reference; see § 430.3). 

* * * * * 

5. Section 430.3 is amended by: 

a. Adding paragraphs (k)(8) through 

(k)(11). 

b. Redesignating paragraph (o) as 

paragraph (p) and adding a new 

paragraph (o). 

The additions read as follows: 

§ 430.3 Materials incorporated by 

reference. 

* * * * * 

(k) IESNA. *** 

(8) ANSI/IESNA RP–16–10, 

Nomenclature and Definitions for 

Illuminating Engineering, approved 

October 15, 2005; IBR approved for 

Appendix AA to Subpart B. 

(9) IES LM–79–08 (‘‘IES LM–79’’), 

Approved Method: Electrical and 

Photometric Measurements of SolidState Lighting Products, approved 

December 31, 2007; IBR approved for 

Appendix AA to Subpart B. 

(10) IES LM–80–08 (‘‘IES LM–80’’), 

Approved Method: Measuring Lumen 

Maintenance of LED Light Sources, 

approved September 22, 2008; IBR 

approved for Appendix AA to Subpart 

B. 

(11) IES TM–21–11 (‘‘IES TM–21’’), 

Projecting Long Term Lumen 

Maintenance of LED Light Sources, 

approved on July 25, 2011; IBR 

approved for Appendix AA to Subpart 

B. 

* * * * * 

(o) UL. Underwriters Laboratories 

Inc., 333 Pfingsten Road, Northbrook, IL 

60062–2096, 847–272–8800, or go to 

http://www.ul.com/. 

(1) UL 1993–2009 (‘‘UL 1993’’), 

Standard for Safety, Self-Ballasted 

Lamps and Lamp Adapters, approved 

August 28, 2009; IBR approved for 

Appendix AA to Subpart B. 

(2) Reserved. 

* * * * * 

6. Section 430.23 is amended by 

adding paragraph (cc) to read as follows: 

§ 430.23 Test procedures for the 

measurement of energy and water 

consumption. 

* * * * * 

(cc) Light-emitting diode lamp. (1) 

The input power and lumen output for 

a light-emitting diode lamp shall be 

tested and determined in accordance 

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21056 Federal Register / Vol. 77, No. 68 / Monday, April 9, 2012 / Proposed Rules 

with section 3 of appendix AA of this 

subpart. The average measured input 

power shall be rounded to the nearest 

tenths of a watt. The average lumen 

output shall be rounded to the nearest 

10 lumens. 

(2) The correlated color temperature 

of a light-emitting diode lamp shall be 

tested and determined in accordance 

with section 3 of appendix AA of this 

subpart. The resulting correlated color 

temperature shall be averaged over all 

units tested and rounded to the nearest 

10 Kelvin. 

(3) The rated lifetime of a lightemitting diode lamp shall be equal to 

the time at which the lumen output of 

the light-emitting diode sources within 

the lamp has fallen below 70 percent of 

the average initial lumen output with a 

maximum limit of 25,000 hours as 

determined in section 4 of appendix AA 

of this subpart. The rated lifetime shall 

be determined in number of years based 

on an estimated three hours of use per 

day of the light-emitting diode lamp. 

The resulting rated lifetime shall be 

rounded to the nearest tenth of a year. 

(4) The estimated annual energy cost 

for a light-emitting diode lamp, 

expressed in dollars per year, shall be 

the product of the average input power 

in kilowatts as determined in 

accordance with appendix AA to this 

subpart, an electricity cost rate of 11 

cents per kilo-watt hour, and an 

estimated average annual use of three 

hours per day (that is, 1,095 hours per 

year). The resulting estimated annual 

energy cost shall be rounded to the 

nearest cent per year. 

7. Appendix AA to subpart B of part 

430 is added to read as follows: 

Appendix AA to Subpart B of Part 

430—Uniform Test Method for 

Measuring the Input Power, Lumen 

Output, Correlated Color Temperature 

(CCT), and Rated Lifetime of LightEmitting Diode (LED) Lamps 

1. Scope: This appendix applies to the 

measurement of lumen output, input power, 

and CCT for LED lamps, and to the 

measurement of lumen maintenance of LED 

sources for the projection of rated LED lamp 

lifetime. 

2. Definitions 

2.1. To the extent that definitions in the 

referenced IES standards do not conflict with 

the DOE definitions, the definitions specified 

in section 1.3 of IES LM–79 except section 

1.3(f) (incorporated by reference; see § 430.3), 

section 3.0 of IES LM–80 except section 3.5 

(incorporated by reference; see § 430.3), and 

section 3.0 of IES TM–21 (incorporated by 

reference; see § 430.3) shall be included. 

2.2. IES means the Illuminating 

Engineering Society of North America. 

2.3. Lamp lumen output means the total 

luminous flux produced by the lamp, in units 

of lumens. 

2.4. LED source means within an LED 

lamp, the assembly of components or dies, 

including the electrical connections, printed 

on a circuit board or substrate. The LED 

source does not include the power source or 

base, but possibly incorporates optical 

elements and additional thermal, 

mechanical, and electrical interfaces that are 

intended to connect to the load side of an 

LED driver. 

2.5. Rated lifetime means the time when 

the lumen output of the LED source has 

fallen below 70 percent of the average initial 

lumen output. 

3. Test Method for Determining Lumen 

Output, Input Power, and CCT 

3.1. Test Conditions and Setup 

3.1.1. The ambient conditions, power 

supply, electrical settings, and instruments 

required shall be as described in sections 2.0, 

3.0, 7.0, and 8.0 of IES LM–79 (incorporated 

by reference; see § 430.3) respectively. 

3.1.2. An equal number of LED lamps shall 

be set up in the base up, base down, and 

horizontal orientations throughout testing. 

3.1.3. For an LED lamp with multiple 

operating voltages, the lamp shall be 

operated at 120 volts throughout testing. If 

the lamp is not rated for 120 volts, it shall 

be operated at the highest rated voltage. 

3.2. Test Method and Measurements 

3.2.1. The LED lamp shall be seasoned for 

1,000 hours prior to stabilizing the lamp and 

collecting photometric data. 

3.2.2. The LED lamp shall be stabilized as 

described in section 5.0 of IES LM–79 

(incorporated by reference; see § 430.3). The 

lamp reaches stabilization when the variation 

[(maximum—minimum)/minimum] of at 

least three readings of input power and 

lumen output over a period of 30 minutes, 

taken 15 minutes apart, is less than 0.5 

percent. 

3.2.3. The input power in watts shall be 

measured and recorded as specified in 

section 8.0 of IES LM–79 (incorporated by 

reference; see § 430.3). 

3.2.4. The measurement of lumen output of 

the LED lamp shall conform to section 9.0 of 

IES LM–79 (incorporated by reference; see 

§ 430.3). 

3.2.5. CCT shall be determined according 

to the method specified in section 12.0 of IES 

LM–79 (incorporated by reference; see 

§ 430.3). 

4. Test Method for Projecting Rated 

Lifetime 

4.1. Overview of the Method to Project 

Rated Lifetime 

4.1.1. Determine the in-situ case 

temperature of the LED source when it is 

operated within the lamp by performing the 

in-situ temperature measurement test 

(ISTMT) as described in section 4.3.1 below. 

4.1.2. Obtain LED source lumen 

maintenance data per IES LM–80 

(incorporated by reference; see § 430.3) from 

the LED source manufacturer. 

4.1.2.1. If lumen maintenance data for the 

LED source is available from the LED source 

manufacturer at the in-situ temperature, use 

this data to project the rated lifetime as 

described in section 4.1.3. 

4.1.2.2. If the in-situ temperature of the 

LED source falls between the case 

temperatures associated with the lumen 

maintenance data available from the LED 

source manufacturer, lumen maintenance 

data for the LED source can be interpolated 

as described in section 6.0 of IES TM–21 

(incorporated by reference; see § 430.3). 

4.1.2.3. If lumen maintenance data for the 

LED source cannot be obtained through the 

methods outlined in section 4.1.2.1 or section 

4.1.2.2, it must be obtained by testing the 

LED source directly. The test conditions, test 

setup, and test measurements for measuring 

lumen maintenance are described in section 

4.2 through section 4.3. 

4.1.3. The time required to reach 70 

percent lumen maintenance (70 percent of 

light output after 1,000 hours of testing) of 

the LED source shall be projected as specified 

in section 5.0 of IES TM–21 (incorporated by 

reference; see § 430.3) using the sample size 

specified in section 4.2 of IES TM–21. This 

duration shall be the rated lifetime of the 

LED lamp. However, the maximum 

projection of rated lifetime shall be limited 

to 25,000 hours. If the projection of rated 

lifetime as calculated by IES TM–21 is less 

than 25,000 hours, the rated lifetime shall be 

the projected rated lifetime. If the projection 

of rated lifetime as calculated by IES TM–21 

is more than 25,000 hours, the rated lifetime 

shall be 25,000 hours. 

4.1.3.1. If an LED source itself fails during 

lifetime testing for reasons other than 

auxiliary equipment failure or human error, 

the data of such an LED source shall be 

included while averaging the normalized 

values as explained in section 5.2 of IES TM– 

21 (incorporated by reference; see § 430.3) for 

projecting the rated lifetime of the lamp. 

4.2. Test Conditions and Setup 

4.2.1. The acceptable vibration, humidity, 

and airflow around the LED source shall be 

as described in section 4.4 of IES LM–80 

(incorporated by reference; see § 430.3). 

4.2.2. The case temperature and drive 

current at which the LED source must be 

operated shall be the in-situ temperature (as 

defined in section 4.3.1) of the LED source 

when it is operated within the LED lamp. 

Lumen maintenance data shall be measured 

at the in-situ temperature of the LED source 

as described in section 4.3. 

4.2.3. The operating orientation, electrical 

setup, thermal setup, and instrumentation 

required for recording the time elapsed for 

measuring the lumen maintenance of LED 

sources shall be as described in sections 

4.4.4, 5.0, 5.5, and 6.1 of IES LM–80 

(incorporated by reference; see § 430.3) 

respectively. 

4.2.4. The instrumentation required for 

measuring the lumen output of the LED 

sources shall be as described in section 9.0 

of IES LM–79 (incorporated by reference; see 

§ 430.3). 

4.3. Test Method and Measurements 

4.3.1. The ISTMT shall be performed to 

determine the case temperature of the hottest 

LED source within the LED lamp. The test 

setup and conditions for the ISTMT shall be 

as specified in sections 8.5, 8.13, 8.14, 8.15, 

and 9 of UL 1993 (incorporated by reference; 

see § 430.3). The test is performed by 

attaching a thermocouple to specific 

locations designated by the LED source 

manufacturer that act as surrogate points for 

measuring junction temperature (Tj). The 

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temperature measurement point (TMP) on 

the LED source shall be such that it has the 

highest temperature in the LED lamp. In 

general, the individual LED in the middle of 

symmetric arrays is the hottest. For square, 

rectangular, or circular arrays, the LED 

closest to the center is typically the hottest. 

For other configurations, manufacturers shall 

sample several LEDs within the lamp to 

identify the source with highest temperature. 

The temporary hole for inserting the 

thermocouple shall be tightly resealed during 

testing with putty or other flexible sealant. 

The temperature probes shall be in contact 

with the TMP and permanently adhered. The 

steady-state temperature shall be recorded 

after the test has been running for at least 

three hours, and three successive readings 

taken at 15 minute intervals are within 1 °C 

of one another and are still not rising. The 

temperature measured during the ISTMT 

should be the temperature at which lumen 

maintenance data of the LED source is 

obtained. 

4.3.2. The lumen maintenance of the LED 

sources shall be determined as specified in 

section 7.0 of IES LM–80 (incorporated by 

reference; see § 430.3) and section 4.3 of IES 

TM–21 (incorporated by reference; see 

§ 430.3). Additionally, the following 

conditions shall be adhered to: 

4.3.2.1. All case temperature (Ts) subsets of 

the sample used for IES LM–80 (incorporated 

by reference; see § 430.3) testing shall be of 

the same CCT. 

4.3.2.2. The drive current flowing through 

the LED source during IES LM–80 

(incorporated by reference; see § 430.3) 

testing shall be greater than or equal to the 

subcomponent drive current employed in the 

LED lamp. 

4.3.2.3. For an LED lamp employing both 

phosphor-converted white and single-color 

LED packages, the lumen maintenance shall 

be measured for a sample of LED arrays 

incorporating both types of LED packages. 

4.3.2.4. For LED arrays constructed as an 

assembly of LED dies on a printed circuit 

board or substrate (a.k.a. chip-on-board) with 

one common phosphor layer overlaying all 

dies, or with phosphor layers overlaying 

individual dies with or without single-color 

dies incorporated, a single IES LM–80 

(incorporated by reference; see § 430.3) test 

shall represent the performance of a range of 

LED array sizes, if all of the following are 

satisfied: 

4.3.2.4.1. IES LM–80 (incorporated by 

reference; see § 430.3) testing has been 

conducted on the largest LED array that the 

manufacturer believes will be used in a 

qualified product; and, 

4.3.2.4.2. The average calculated currentper-die in the tested LED array is greater than 

or equal to the average calculated currentper-die employed in the LED lamp. 

4.3.2.5. For LED arrays constructed as an 

assembly of LED packages on a printed 

circuit board, each with their own phosphor 

layer, the TMP temperature of the hottest 

package in the array shall be used for lumen 

maintenance projection purposes. 

[FR Doc. 2012–8469 Filed 4–6–12; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF THE TREASURY 

Office of the Comptroller of the 

Currency 

12 CFR Part 9 

[Docket No. OCC–2011–0023] 

RIN 1557–AD37 

Short-Term Investment Funds 

AGENCY: Office of the Comptroller of the 


Currency, Treasury (OCC). 


ACTION: Notice of proposed rulemaking. 


SUMMARY: The OCC is requesting 

comment on a proposal that would 

revise the requirements imposed on 

banks pursuant to 12 CFR 

9.18(b)(4)(ii)(B), the short-term 

investment fund (STIF) rule (STIF Rule). 

The proposal would add safeguards 

designed to address the risk of loss to a 

STIF’s principal, including measures 

governing the nature of a STIF’s 

investments, ongoing monitoring of its 

mark-to-market value and forecasting of 

potential changes in its mark-to-market 

value under adverse market conditions, 

greater transparency and regulatory 

reporting about a STIF’s holdings, and 

procedures to protect fiduciary accounts 

from undue dilution of their 

participating interests in the event that 

the STIF loses the ability to maintain a 

stable net asset value (NAV). 

DATES: Comments should be received on 

or before June 8, 2012. 

ADDRESSES: Because paper mail in the 

Washington, DC area and at the OCC is 

subject to delay, commenters are 

encouraged to submit comments by the 

Federal eRulemaking Portal or email, if 

possible. Please use the title ‘‘ShortTerm Investment Funds’’ to facilitate 

the organization and distribution of the 

comments. You may submit comments 

by any of the following methods: 

• Federal eRulemaking Portal— 

‘‘regulations.gov’’: Go to http:// 

www.regulations.gov. Click ‘‘Advanced 

Search’’. Select ‘‘Document Type’’ of 

‘‘Proposed Rule’’, and in ‘‘By Keyword 

or ID’’ box, enter Docket ID ‘‘OCC– 

2011–0023’’, and click ‘‘Search’’. If 

proposed rules for more than one 

agency are listed, in the ‘‘Agency’’ 

column, locate the notice of proposed 

rulemaking for the OCC. Comments can 

be filtered by Agency using the filtering 

tools on the left side of the screen. In the 

‘‘Actions’’ column, click on ‘‘Submit a 

Comment’’ or ‘‘Open Docket Folder’’ to 

submit or view public comments and to 

view supporting and related materials 

for this rulemaking action. 

• Click on the ‘‘Help’’ tab on the 

Regulations.gov home page to get 

information on using Regulations.gov, 

including instructions for submitting or 

viewing public comments, viewing 

other supporting and related materials, 

and viewing the docket after the close 

of the comment period. 

• Email: 

regs.comments@occ.treas.gov. 

• Mail: Office of the Comptroller of 

the Currency, 250 E Street SW., Mail 

Stop 2–3, Washington, DC 20219. 

• Fax: (202) 874–5274. 

• Hand Delivery/Courier: 250 E Street 

SW., Mail Stop 2–3, Washington, DC 

20219. 

Instructions: You must include 

‘‘OCC’’ as the agency name and ‘‘Docket 

ID OCC–2011–0023’’ in your comment. 

In general, OCC will enter all comments 

received into the docket and publish 

them on the Regulations.gov Web site 

without change, including any business 

or personal information that you 

provide such as name and address 

information, email addresses, or phone 

numbers. Comments received, including 

attachments and other supporting 

materials, are part of the public record 

and subject to public disclosure. Do not 

enclose any information in your 

comment or supporting materials that 

you consider confidential or 

inappropriate for public disclosure. 

You may review comments and other 

related materials that pertain to this 

notice of proposed rulemaking by any of 

the following methods: 

• Viewing Comments Electronically: 

Go to http://www.regulations.gov. Click 

‘‘Advanced Search’’. Select ‘‘Document 

Type’’ of ‘‘Public Submission’’, and in 

‘‘By Keyword or ID’’ box enter Docket ID 

‘‘OCC–2011–0023’’, and click ‘‘Search’’. 

If comments from more than one agency 

are listed, the ‘‘Agency’’ column will 

indicate which comments were received 

by the OCC. Comments can be filtered 

by Agency using the filtering tools on 

the left side of the screen. 

• Viewing Comments Personally: You 

may personally inspect and photocopy 

comments at the OCC, 250 E Street SW., 

Washington, DC. For security reasons, 

the OCC requires that visitors make an 

appointment to inspect comments. You 

may do so by calling (202) 874–4700. 

Upon arrival, visitors will be required to 

present valid government-issued photo 

identification and to submit to security 

screening in order to inspect and 

photocopy comments. 

• Docket: You may also view or 

request available background 

documents and project summaries using 

the methods described above. 

FOR FURTHER INFORMATION CONTACT: 

OCC: Joel Miller, Group Leader, Asset 

Management (202) 874–4493, David