```

[Federal Register Volume 79, Number 106 (Tuesday, June 3, 2014)]
[Proposed Rules]
[Pages 32019-32048]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-12127]

[[Page 32019]]

Vol. 79

Tuesday,

No. 106

June 3, 2014

Part II

 Department of Energy

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10 CFR Parts 429 and 430

 Energy Conservation Program: Test Procedures for Integrated Light-
Emitting Diode Lamps; Proposed Rule

Federal Register / Vol. 79 , No. 106 / Tuesday, June 3, 2014 / 
Proposed Rules

[[Page 32020]]

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket No. EERE-2011-BT-TP-0071]
RIN 1904-AC67

Energy Conservation Program: Test Procedures for Integrated 
Light-Emitting Diode Lamps

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

ACTION: Supplemental notice of proposed rulemaking.

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SUMMARY: On April 9, 2012, the U.S. Department of Energy (DOE) 
published a notice of proposed rulemaking (NOPR) in which DOE proposed 
a test procedure for light-emitting diode (LED) lamps (hereafter 
referred to as LED lamps). This supplemental notice of proposed 
rulemaking (SNOPR), revises DOE's proposal for a new test procedure for 
LED lamps. This SNOPR supports implementation of labeling provisions by 
the Federal Trade Commission (FTC) and implementation of DOE's energy 
conservation standards for general service lamps that includes general 
service LED lamps. The SNOPR continues to define methods for measuring 
the lumen output, input power, and relative spectral distribution (to 
determine correlated color temperature, or CCT). Further, the SNOPR 
revises the method for calculating the lifetime of LED lamps, and 
defines the lifetime as the time required for the LED lamp to reach a 
lumen maintenance of 70 percent (that is, 70 percent of initial light 
output). Additionally, the SNOPR adds calculations for lamp efficacy as 
well as the color rendering index (CRI) of LED lamps, which were not 
proposed in the test procedure NOPR.

DATES: DOE will accept comments, data, and information regarding this 
SNOPR, but no later than August 4, 2014. See section V, ``Public 
Participation,'' for details.

ADDRESSES: Any comments submitted must identify the SNOPR for Test 
Procedures for LED lamps, and provide docket number EE-2011-BT-TP-0071 
and/or regulatory information number (RIN) number 1904-AC67. Comments 
may be submitted using any of the following methods:
    1. Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    2. Email: LEDLamps-2011-TP-0071@ee.doe.gov. Include the docket 
number and/or RIN in the subject line of the message.
    3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building 
Technologies Office, Mailstop EE-5B, 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 regulations.gov, 
including Federal Register notices, public meeting attendee lists and 
transcripts, comments, and other supporting documents/materials. All 
documents in the docket are listed in the regulations.gov index. 
However, not all documents listed in the index may be publicly 
available, such as information that is exempt from public disclosure.
    A link to the docket Web page can be found at: 
www1.eere.energy.gov/buildings/appliance_standards/rulemaking.aspx/ruleid/18. This Web page will contain a link to the docket for this 
notice on the regulations.gov site. The regulations.gov Web page 
contains simple instructions on how to access all documents, including 
public comments, in the docket. See section V for information on how to 
submit comments through regulations.gov.
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the public meeting, 
contact Ms. Brenda Edwards at (202) 586-2945 or by email: 
Brenda.Edwards@ee.doe.gov.

FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-5B, 1000 Independence Avenue SW., Washington, 
DC, 20585-0121. Telephone: (202) 287-1604. Email: light_emitting_diodes@ee.doe.gov.
    Ms. Celia Sher, U.S. Department of Energy, Office of the General 
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC, 20585-
0121. Telephone: (202) 287-6122. Email: Celia.Sher@hq.doe.gov.

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Authority and Background
II. Summary of the Supplemental Notice of Proposed Rulemaking
III. Discussion
    A. Scope of Applicability
    B. Standby and Off-Mode
    C. Proposed Approach for Determining Lumen Output, Input Power, 
Lamp Efficacy, Correlated Color Temperature, and Color Rendering 
Index
    1. NOPR Proposals
    2. Test Conditions
    3. Test Setup
    4. Test Method
    D. Proposed Approach for Lifetime Measurements
    1. LED Lamp Lifetime Definition
    2. NOPR Proposals
    3. SNOPR Proposed Lifetime Method
    E. Proposed Approach for Standby Mode Power
    F. Basic Model, Sampling Plan, and Reported Value
    1. Basic Model
    2. Sampling Plan
    3. Reported Value
    G. Rounding Requirements
    1. Lumen Output
    2. Input Power
    3. Lamp Efficacy
    4. Correlated Color Temperature
    5. Color Rendering Index
    6. Annual Energy Cost
    7. Lifetime
    8. Life
    9. Standby Mode Power
    H. Acceptable Methods for Initial Certification or Labeling
    I. Laboratory Accreditation
    J. State Preemption for Efficiency Metrics
    K. Effective and Compliance Date
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review under the Regulatory Flexibility Act
    1. Estimated Small Business Burden
    2. Duplication, Overlap, and Conflict With Other Rules and 
Regulations
    3. Significant Alternatives to the Proposed Rule
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
V. Public Participation
    A. Submission of Comments
    B. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    Title III of the Energy Policy and Conservation Act of 1975 (42 
U.S.C. 6291, et seq.; ``EPCA'') sets forth a variety of provisions 
designed to improve energy efficiency. (All

[[Page 32021]]

references to EPCA refer to the statute as amended through the American 
Energy Manufacturing Technical Corrections Act (AEMTCA), Public Law 
112-210 (Dec. 18, 2012)). Part B of title III, which for editorial 
reasons was redesignated as Part A upon incorporation into the U.S. 
Code (42 U.S.C. 6291-6309, as codified), establishes the ``Energy 
Conservation Program for Consumer Products Other Than Automobiles.''
    Under EPCA, this program consists of four parts: (1) testing, (2) 
labeling, (3) Federal energy conservation standards, and (4) 
certification and enforcement procedures. This SNOPR proposes test 
procedures that manufacturers of integrated LED lamps (hereafter 
referred to as ``LED lamps'') would use to meet two requirements, 
namely, to: (1) satisfy any future energy conservation standards for 
general service LED lamps, and (2) meet obligations under labeling 
requirements for LED lamps promulgated by the Federal Trade Commission 
(FTC).
    First, this SNOPR would be used to assess the performance of LED 
lamps relative to any potential energy conservation standards in a 
future rulemaking that includes general service LED lamps. DOE is 
currently developing energy conservation standards for general service 
lamps (GSLs), a category of lamps that includes general service LED 
lamps. See 78 FR 73737 (Dec. 9, 2013).
    Second, the LED lamp SNOPR supports obligations under labeling 
requirements promulgated by FTC under section 324(a)(6) of EPCA (42 
U.S.C. 6294(a)(6)). The Energy Independence and Security Act of 2007 
(EISA 2007) section 321(b) amended EPCA (42 U.S.C. 6294(a)(2)(D)) to 
direct FTC to consider the effectiveness of lamp labeling for power 
levels or watts, light output or lumens, and lamp lifetime. This SNOPR 
supports FTC's determination that LED lamps, which had previously not 
been labeled, require labels under EISA section 321(b) and 42 U.S.C. 
6294(a)(6) in order to assist consumers in making purchasing decisions. 
75 FR 41696, 41698 (July 19, 2010).
    FTC published a final rule for light bulb \1\ labeling (Lighting 
Facts) that required compliance 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 information about the lamp's 
brightness \3\ (lumen output), estimated annual energy cost, life \4\ 
(lifetime), light appearance (CCT), and energy use (input power). FTC 
requires manufacturers to calculate the estimated annual energy cost by 
multiplying together the energy used, annual operating hours, and an 
estimate for energy cost per kilowatt-hour. FTC references DOE test 
procedures, when available, for testing lamps for the FTC Lighting 
Facts label. See 42 U.S.C. 6294(c). This SNOPR would enable FTC to 
reference a DOE test procedure for LED lamps. DOE invites comments on 
all aspects of the SNOPR for LED lamps.
---------------------------------------------------------------------------

    \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 lumens; and is capable 
of being operated at a voltage range at least partially within 110 
and 130 volts. This proposed 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 0 of this 
SNOPR.
    \3\ Although `light output' is the technically correct term, FTC 
uses the term `brightness' on the Lighting Facts label 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 `lifetime.' 
Life and lifetime have the same meaning.
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II. Summary of the Supplemental Notice of Proposed Rulemaking

    In this SNOPR, DOE proposes test procedures for determining the 
lumen output, input power, lamp efficacy, CCT, CRI, lifetime, and 
standby mode power of an LED lamp. DOE proposes to define an LED lamp 
using the ANSI \5\/IESNA \6\ RP-16-2010 \7\ definition of an integrated 
LED lamp. DOE pursued an SNOPR for two main reasons: (1) to revise the 
method of measuring lifetime based on public comment and (2) to add 
directions for calculating the metrics lamp efficacy and CRI and 
standby mode power to support the ongoing general service lamp 
rulemaking. To determine lumen output, input power, CCT, and CRI, DOE 
proposes to incorporate by reference IES LM-79-2008.\8\ DOE reviewed 
several potential approaches to testing lamp lumen output, input power, 
CCT, and CRI, and determined that this IES standard is the most 
appropriate based on discussions with industry experts. IES LM-79-2008 
appears to yield reliable results, and industry generally uses it to 
measure photometric characteristics of LED lamps. To determine the 
standby mode power, DOE proposes to incorporate by reference 
International Electrotechnical Commission (IEC) 62301.\9\ In addition, 
DOE proposes to calculate the efficacy of an LED lamp in units of 
lumens per watt by dividing the measured initial lamp lumen output in 
lumens by the measured lamp input power in watts. Lastly, no industry 
standards are available for determining the lifetime of LED lamps. 
Therefore, the SNOPR proposes a method for measuring and projecting LED 
lamp lifetime that uses a continuous equation based on the underlying 
exponential decay function in the ENERGY STAR Program Requirements for 
Lamps (Light Bulbs): Eligibility Criteria--Version 1.0.\10\
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    \5\ American National Standards Institute.
    \6\ Illuminating Engineering Society of North America (also 
abbreviated as IES).
    \7\ ``Nomenclature and Definitions for Illuminating 
Engineering.'' Approved by ANSI on October 16, 2009. Approved by IES 
on November 15, 2009.
    \8\ ``Approved Method: Electrical and Photometric Measurements 
of Solid-State Lighting Products.'' Approved by IES on December 31, 
2007.
    \9\ ``Household electrical appliances--Measurement of standby 
power.'' Edition 2.0 2011-01.
    \10\ ``ENERGY STAR Program Requirements for Lamps (Light Bulbs): 
Eligibility Criteria--Version 1.0.'' U.S. Environmental Protection 
Agency, August 28, 2013.
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III. Discussion

A. Scope of Applicability

    EISA 2007 section 321(a)(1)(B) added the definition for LED as a p-
n junction \11\ 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 \12\ of the device. (42 U.S.C. 6291(30)(CC)) In the 
NOPR, published on April 9, 2012, DOE stated that this rulemaking 
applies to LED lamps that meet DOE's proposed definition of an LED 
lamp, which is based on the term as defined by ANSI/IESNA RP-16-2010, 
``Nomenclature and Definitions for Illuminating Engineering.'' This 
standard defines integrated LED lamps as an integrated assembly that 
comprises LED packages (components) or LED arrays (modules) 
(collectively referred to as an LED source), LED driver, ANSI standard 
base, and other optical, thermal, mechanical and electrical components 
(such as phosphor layers, insulating materials, fasteners to hold 
components within the lamp together, and electrical wiring). The LED 
lamp is intended to connect directly to a branch circuit through a 
corresponding ANSI standard

[[Page 32022]]

socket. 77 FR 21038, 21041 (April 9, 2012)
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    \11\ 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.
    \12\ Exciting current is the current passing through an LED chip 
during steady state operation.
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    The National Electrical Manufacturers Association (hereafter 
referred to as NEMA) agreed with the proposed scope and incorporation 
of ANSI/IESNA RP-16-2010 for the definition of LED lamps. (NEMA, Public 
Meeting Transcript, No. 7 at p. 2 \13\) DOE received no adverse comment 
on this proposal. Thus, in this SNOPR, DOE proposes to maintain the 
scope and definition of LED lamps.
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    \13\ A notation in the form ``NEMA, Public Meeting Transcript, 
No. 7 at p. 2'' identifies a statement made in a public meeting that 
DOE has received and has included in the docket of this rulemaking. 
This particular notation refers to a comment: (1) submitted during 
the public meeting on May 3, 2012; (2) in document number 7 in the 
docket of this rulemaking; and (3) appearing on page 2 of the 
transcript.
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B. Standby and Off-Mode

    EPCA directs DOE to amend test procedures ``to include standby mode 
and off mode energy consumption . . . with such energy consumption 
integrated into the overall energy efficiency, energy consumption, or 
other energy descriptor for each covered product, unless the Secretary 
determines that--(i) the current test procedures for a covered product 
already fully account for and incorporate the standby and off mode 
energy consumption of the covered product . . .'' 42 U.S.C. 
6295(gg)(2)(A(i) Because LED lamps are placed in Part A of EPCA, they 
are covered consumer products, and thus the standby and off mode 
applicability of these products must be reviewed.
    First, to provide context for standby and off-modes, active mode is 
defined as the condition in which an energy-using product--is connected 
to a main power source; has been activated; and provides one or more 
main functions.10 CFR 430.2 DOE's proposals for active mode test 
metrics include lumen output, input power, lamp efficacy, CCT, CRI, and 
lifetime.
    Standby mode is defined as the condition in which energy-using 
product--is connected to a main power source; and offers one or more of 
the following user-oriented or protective functions: to facilitate the 
activation or deactivation of other functions (including active mode) 
by remote switch (including remote control), internal sensor, or timer; 
or continuous functions, including information or status displays 
(including clocks) or sensor-based functions.10 CFR 430.2 Some LED 
lamps can be operated by a remote control to activate active mode or to 
change the appearance of the light (color or dimming). Therefore, 
standby mode applies to LED lamps.
    Off mode is defined as the condition in which an energy using 
product--is connected to a main power source; and is not providing any 
standby or active mode function.10 CFR 430.2 LED lamps do not operate 
in off mode because when connected to a main power source, the LED lamp 
is either in active mode or standby mode. No other modes of operation 
exist for LED lamps beyond active and standby mode.
    EPCA directs DOE to amend its test procedures for all covered 
products to integrate measures of standby mode and off mode energy 
consumption, if technically feasible. (42 U.S.C. 6295(gg)(2)(A)) 
Standby mode and off mode energy must be incorporated into the overall 
energy efficiency, energy consumption, or other energy descriptor for 
each covered product unless the current test procedures already account 
for and incorporate standby and off mode energy consumption or such 
integration is technically infeasible. If an integrated test procedure 
is technically infeasible, DOE must prescribe a separate standby mode 
and off mode energy use test procedure for the covered product, if 
technically feasible. Id. Any such amendment must consider the most 
current versions of IEC Standard 62301, ``Household electrical 
appliances--measurement of standby power,'' and IEC Standard 62087, 
``Methods of measurements for the power consumption of audio, video, 
and related equipment,'' \14\ as applicable.
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    \14\ IEC standards are available online at www.iec.ch.
---------------------------------------------------------------------------

    DOE proposes separate test methods for standby and active mode 
metrics. This proposal is consistent with other lighting products 
(fluorescent lamp ballasts and metal halide ballasts) which use 
separate test methods for active and standby modes. Any future energy 
conservation standards that cover LED lamps will consider the most 
effective method of addressing both active and standby mode energy use. 
DOE proposes a method of measuring standby mode power in section III.E.
    DOE requests comment on its characterization of the modes of 
operation that apply to LED lamps.

C. Proposed Approach for Determining Lumen Output, Input Power, Lamp 
Efficacy, Correlated Color Temperature, and Color Rendering Index

1. NOPR Proposals
    The NOPR proposed to incorporate IES LM-79-2008 for determining 
lumen output, input power, and CCT, with some modifications. 77 FR at 
21041 (April 9, 2012) 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, and stabilization methods for LED 
lamps, and instrumentation and electrical settings. These requirements, 
and any related comments, are further discussed in the sections III.C.1 
through III.C.4.
    Kristopher Kritzer (hereafter referred to as Kritzer) expressed 
support for adopting the complete NOPR test method and backed DOE's 
efforts to adopt industry practices for testing LED lamps. (Kritzer, 
No. 3 at p. 1) Lutron Electronics Company, Inc. (hereafter referred to 
as Lutron) and NEMA did not support all test methods proposed in the 
NOPR, but did agree that IES LM-79-2008 should be used to determine 
lumen output, input power, and CCT. (Lutron, Public Meeting Transcript, 
No. 7 at p. 25; NEMA, Public Meeting Transcript, No. 7 at p. 2) 
However, several interested parties expressed concern with the overall 
proposal. Delft University of Technology (which refers to itself as 
TUD) and an anonymous commenter had reservations about adopting the 
test methods proposed in the NOPR. TUD indicated that the NOPR proposal 
will not guarantee tested LED products are well-qualified. (Anonymous, 
No. 8 at p. 1; TUD, No. 15 at p. 1) NEMA, the California Investor Owned 
Utilities (hereafter referred to as CA IOUs), and Philips Lighting 
Electronics N.A. (hereafter referred to as Philips) urged that DOE not 
modify or supplement any industry standard. (NEMA, No. 16 at p. 2, 7; 
CA IOUs, No. 19 at p. 5, 6; Philips, Public Meeting Transcript, No. 7 
at p. 114) Finally, the Appliance Standards Awareness Project, the 
American Council for an Energy Efficient Economy, and the Natural 
Resources Defense Council (hereafter referred to as the Joint Comment) 
stated that test procedures need to mimic real world installations 
whenever possible and, when knowledge of real world installations is 
not available, the test method needs to approximate a worst-case 
installation scenario. (Joint Comment, No. 18 at p. 1)
    IES is the recognized technical authority on illumination, and the 
IES LM-79-2008 standard was prepared by the IES subcommittee on Solid-
State Lighting Sources of the IESNA Testing Procedure Committee. IES 
LM-79-2008 was also developed in collaboration with the ANSI Solid 
State Lighting Joint Working Group C78-09 and C82-09 comprising 
individuals from several

[[Page 32023]]

organizations. DOE believes that the committee members who worked on 
developing the IES LM-79-2008 standard represent relevant industry 
groups and interested parties. Based on an independent review by DOE 
and general acceptance by industry, DOE proposes that IES LM-79-2008 
specifies much of the information that is required for providing a 
complete test procedure for determining lumen output, input power, CCT, 
and CRI of LED lamps. DOE agrees that the LED lamp test procedure needs 
to mimic real world installations and believes that the procedures 
described in the IES LM-79-2008 standard are representative of such 
conditions. IES LM-79-2008 specifies the test conditions and setup at 
which the measurements and calculations must be performed. However, DOE 
proposes some clarifications to establish a repeatable procedure for 
all LED lamp testing. These clarifications to IES LM-79-2008 include 
mounting orientation and electrical setting requirements. These 
requirements, and any clarifications proposed by DOE, are further 
discussed in the sections III.C.2 through III.C.4.
2. Test Conditions
    In the NOPR, DOE proposed that the ambient conditions for testing 
LED lamps be as specified in section 2.0 \15\ of IES LM-79-2008. 77 FR 
at 21041. These conditions include setup and ambient temperature 
control, as well as air movement requirements. Both are discussed in 
further detail below.
---------------------------------------------------------------------------

    \15\ IES standards use the reference 2.0, 3.0, etc. for each 
primary section heading. Sub-sections under each of these sections 
are referenced as 2.1, 2.2, 3.1, 3.2, etc. This SNOPR refers to each 
IES section exactly as it is referenced in the standard.
---------------------------------------------------------------------------

    Section 2.2 of IES LM-79-2008 specifies that photometric 
measurements shall be taken at an ambient temperature of 25 degrees 
Celsius ([deg]C) 1 [deg]C. In the NOPR, DOE indicated that 
a tolerance of 1[deg]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 greater accuracy than required, allowing the test laboratories 
to maintain the temperature within the required tolerance for testing. 
Id. Section 2.2 of IES LM-79-2008 further specifies that the 
temperature shall be measured at a point not more than one meter from 
the LED lamp and at the same height as the lamp. The standard requires 
that the temperature sensor that is used for measurements be shielded 
from direct optical radiation from the lamp or any other source to 
reduce the impact of radiated heat on the ambient temperature 
measurement. The NOPR stated that this setup for measuring and 
controlling ambient temperature is appropriate for testing because it 
requires that the lamp be tested at room temperature and in an 
environment that is commonly used for testing other lighting 
technologies. Id. DOE did not receive adverse comments, and therefore 
maintains this proposal for ambient temperature conditions in the 
SNOPR.
    In the NOPR, DOE proposed that the requirement for air movement 
around the LED lamp be as specified in section 2.4 of IES LM-79-2008, 
which requires that the air flow around the LED lamp be such that it 
does not affect the lumen output measurements of the tested lamp. Id. 
DOE also considered specifying a method for determination of a draft-
free environment, such as that in section 4.3 of IES LM-9-2009,\16\ 
which requires that a single ply tissue paper be held in place of the 
lamp to allow for visual observation of any drafts.
---------------------------------------------------------------------------

    \16\ ``IES Approved Method for the Electrical and Photometric 
Measurement of Fluorescent Lamps.'' Approved January 31, 2009.
---------------------------------------------------------------------------

    Philips, Osram Sylvania, Inc. (hereafter referred to as OSI), and 
NEMA all indicated that the surrounding air temperature and airflow for 
LED lamps does not have a noticeable impact on long-term lumen 
degradation. Based on this, DOE believes that the IES LM-79-2008 air 
movement requirements proposed in the NOPR are more than adequate to 
ensure the accuracy of test data. (Philips, Public Meeting Transcript, 
No. 7 at p. 27; OSI, Public Meeting Transcript, No. 7 at pp. 27-28; 
NEMA, Public Meeting Transcript, No. 7 at pp. 2-3; NEMA, No. 16 at p. 
2-3) However, other stakeholders suggested adding quantitative 
requirements for air movement. The People's Republic of China 
(hereafter referred to as P.R. China) suggested that air movement in 
the vicinity of the luminaire not exceed 0.2 m/s. For lamps designed 
with a larger tolerance for ambient temperature changes, faster air 
movement may be acceptable. (P.R. China, No. 12 at p. 3) The Joint 
Comment noted that the air movement procedures in IES LM-79-2008 are 
informative, but not very specific. Therefore, they recommended that 
DOE investigate a quantitative approach so that air flow around the 
device is better understood. However, the Joint Comment expressed 
concern that direct measurement of the airflow (anemometry) would 
increase the testing burden to manufacturers substantially; instead, 
they recommended DOE investigate a suitable proxy measure to judge the 
stability of the airflow around the lamp. As an example, they suggested 
DOE may want to consider stability criteria on a measurement of the 
case temperature. The Joint Comment noted that it is likely that other 
parameters may also provide valuable information about the airflow 
while minimizing testing burden. (Joint Comment, No. 18 at p. 3)
    Although DOE agrees that the air movement requirement in IES LM-79-
2008 could be more precise, DOE is maintaining its proposal from the 
NOPR not to modify the surrounding air temperature and airflow 
specifications provided in IES LM-79-2008. DOE does not believe that 
additional requirements to establish a draft-free environment would 
improve measurement accuracy relative to current industry practice. 
Furthermore, specifying a quantitative procedure for measuring air 
movement would result in an unnecessary increase to testing burden. 
Therefore, in this SNOPR, DOE maintains its proposal to retain the 
requirements in IES LM-79-2008 to ensure that air movement is minimized 
to acceptable levels. These requirements would apply to lamps measured 
in both active mode and standby mode.
3. Test Setup
a. Power Supply
    In the NOPR, DOE proposed that section 3.1 and 3.2 of IES LM-79-
2008 be incorporated by reference to specify requirements for both 
alternating current (AC) and direct current (DC) power supplies. 77 FR 
at 21042. Section 3.1 specifies that an AC power supply shall have a 
sinusoidal voltage waveshape at the input frequency required by an LED 
lamp such that the root mean square (RMS) \17\ summation of the 
harmonic components does not exceed three percent of the fundamental 
frequency \18\ 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 be 
within 0.2 percent of the specified lamp input voltage (see 
section III.C.3.d for discussion of the proposed electrical settings, 
including input voltage). These requirements are achievable with

[[Page 32024]]

minimal testing burden and provide reasonable stringency in terms of 
power quality based on their similarity to voltage tolerance 
requirements for testing of other lighting technologies. DOE did not 
receive adverse comment on this proposal and, therefore, this proposal 
remains unchanged for the SNOPR. These power supply requirements would 
apply to lamps measured in both active mode and standby mode.
---------------------------------------------------------------------------

    \17\ 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.
    \18\ Fundamental frequency, often referred to as fundamental, is 
defined as the lowest frequency of a periodic waveform.
---------------------------------------------------------------------------

b. Instrumentation
    In the NOPR, DOE proposed that 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 
8.0 of IES LM-79-2008. Id. Section 8.1 of IES LM-79-2008 specifies that 
for DC-input LED lamps, a DC voltmeter and DC ammeter shall be 
connected between the DC power supply and the LED lamp under test. The 
DC voltmeter shall be connected across the electrical power input of 
the LED lamp, and the input electrical power shall 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 shall be 0.1 percent. For AC-input 
LED lamps, section 8.1 of IES LM-79-2008 further specifies that an AC 
power meter shall be connected between the AC power supply and the LED 
lamp under test. The AC power, input voltage, and current shall be 
measured. Section 8.2 of IES LM-79-2008 specifies that the tolerance of 
the AC voltage and current measurement instruments shall be 0.2 percent and the tolerance of the AC power meter shall be 
0.5 percent. In the NOPR, DOE concluded that the electrical 
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 lighting technologies. Id. DOE did 
not receive adverse comment on these electrical instrumentation 
requirements and, therefore, this proposal remains unchanged for the 
SNOPR.
    Regarding photometric instrumentation used for measuring lumen 
output, CCT, and CRI, DOE proposed in the NOPR that either a sphere-
spectroradiometer, sphere-photometer, or goniophotometer system be used 
for lumen output measurement of the LED lamp as specified in IES LM-79-
2008. DOE requested comment on the differences in values measured by an 
integrating sphere (via photometer or spectroradiometer) versus a 
goniophotometer. 77 FR at 21042 NEMA commented that both systems are 
appropriate for lumen determination, but acknowledged that a perfect 
correlation between the two techniques is not possible. (NEMA, No. 16 
at p. 3)
    While DOE recognizes that the integrating sphere and 
goniophotometer (a goniometer fitted with a photometer as the light 
detector) are both valid means of photometric measurement, DOE is 
concerned about the potential for a difference in the measured values. 
A test procedure that yields more than one possible value depending on 
instrumentation presents problems for certification and enforcement. If 
DOE and the manufacturer use different test methods, DOE could find 
that a lamp certified as compliant could be tested as non-compliant 
during a verification or enforcement proceeding. IES LM-79-2008 does 
not explicitly specify the scanning resolution (i.e., quantity and 
location of measurements around the lamp), and instead provides 
guidance that must be implemented differently for each lamp. DOE also 
determined that further specification of the goniophotometer method is 
unreasonable, because the scanning resolution specification would need 
to be adequate for the lamp that requires the finest resolution. This 
would likely present an overly burdensome test method for many other 
lamps that could be measured at a lower resolution. In contrast, use of 
an integrating sphere enables photometric characteristics of the LED 
lamp to be determined with a single measurement. Therefore, integrating 
spheres are the preferred method for photometric measurement due to the 
reduction in time required for testing.
    In consideration of the lack of measurement correlation between 
integrating spheres and goniophotometers and the reduced burden and 
much higher incidence of use of integrating spheres, DOE proposes in 
the SNOPR to require all photometric measurements, including lumen 
output, CCT, and CRI to be carried out in an integrating sphere and 
that goniometer systems must not be used. Therefore, DOE proposes that 
the instrumentation used for lumen output measurements be as described 
in sections 9.1 and 9.2 of IES LM-79-2008, and CCT and CRI measurements 
be as described in section 12.0 of IES LM-79-2008 with the exclusion of 
section 12.2 of IES LM-79-2008, as goniometers must not be used. DOE 
invites interested parties to comment on the proposal to require all 
photometric values be measured by an integrating sphere (via photometer 
or spectroradiometer). These instrumentation requirements would apply 
to lamps measured in both active mode and standby mode.
c. Lamp Mounting and Orientation
    In the NOPR, DOE considered testing LED lamps as specified in 
section 6.0 of IES LM-79-2008, which states that LED lamps shall be 
tested in the operating orientation recommended by the lamp 
manufacturer for the intended use of the LED lamp. Id. As discussed in 
the NOPR, DOE determined that manufacturers do not typically specify 
the operating orientation for an LED lamp in their product literature. 
Further, DOE indicated that it is possible 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, the NOPR proposed that an 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.
    Numerous commenters raised concerns about DOE's proposal. General 
Electric Lighting (hereafter referred to as GE), Philips, NEMA, Samsung 
Electronics (hereafter referred to as Samsung), and P.R. China 
commented that the base-up and base-down orientations constitute the 
best and worst-case scenarios. (GE, Public Meeting Transcript, No. 7 at 
p. 29; Philips, Public Meeting Transcript, No. 7 at pp. 29-30; NEMA, 
No. 16 at p. 3; Samsung, No. 14 at p. 1; China, No. 12 at p. 3) Samsung 
stated that testing in the base up and base down positions is also 
consistent with ENERGY STAR test procedures. (Samsung, No. 14 at p. 1) 
In addition, GE and NEMA commented that testing in the horizontal 
position with either type of sphere will add uncertainty to the lumen 
output measurement, and that testing in the horizontal position with a 
goniophotometer is very difficult or even impossible. (GE, Public 
Meeting Transcript, No. 7 at pp. 42-43; NEMA, No. 16 at p. 3) 
Underwriter Laboratories (hereafter referred to as UL) indicated that 
shadowing is an issue with testing in the horizontal position. Lamps 
are usually supported from above or below, and if tested horizontally 
the support structure could interfere with the light measurement. (UL, 
Public Meeting Transcript, No. 7 at p. 54) NEMA commented that current 
FTC instruction for CFLs does not require testing in multiple 
orientations, only that the manufacturer specify if an orientation

[[Page 32025]]

change will result in a greater than five percent difference in 
measured performance. (NEMA, No. 16 at p. 6) The Republic of Korea 
(hereafter referred to as South Korea) suggested that DOE be consistent 
with both International Electrotechnical Commission (IEC) 62612 \19\ 
and IES LM-79-2008, which require that the orientation of lamps during 
testing follow the manufacturer's recommendations. (South Korea, No. 17 
at p. 2) Finally, P.R. China noted that testing in the horizontal 
position will increase the cost of the testing as well as the total 
time required for testing. (P.R. China, No. 12 at p. 3)
---------------------------------------------------------------------------

    \19\ IEC/PAS 62612: Self-ballasted LED-lamps for general 
lighting services--Performance requirements.
---------------------------------------------------------------------------

    Other commenters supported DOE's proposals and suggested further 
research. The Joint Comment and the CA IOUs agreed with DOE's proposal 
to include the horizontal position for lumen output testing because it 
is likely a worst-case condition. This is because heat sink fins are 
most effective at dissipating heat when air flow is parallel to the 
direction of the fins, rather than when air flow is perpendicular to 
the fins. Because most heat sink fins are parallel to the body of the 
lamp, they are likely to dissipate heat differently when the lamp is 
oriented vertically than when oriented horizontally. When heat is not 
dissipated effectively in a lamp, lumen output generally decreases. 
(Joint Comment, No. 18 at p. 4; CA IOUs, No. 19 at p. 6) In addition, 
the CA IOUs indicated that they expect to have LED lamp performance 
data collected in all three orientations by the end of 2012 
(subsequently published in February 2013).\20\ The CA IOUs further 
commented that manufacturer concerns about testing in the horizontal 
position are not an issue for testing in a sphere-spectroradiometer or 
sphere-photometer. The CA IOUs stated that accurate horizontal 
measurements are regularly taken for other lamp technologies, and they 
do not believe any unique challenge exists for measuring LED lamps that 
do not exist for other lamps of similar shapes and base types. (CA 
IOUs, No. 19 at p. 6) The Joint Comment suggested that DOE investigate 
whether shadowing is a significant concern in a goniophotometer when 
the lamp is configured horizontally. (Joint Comment, No. 18 at p. 4) 
The Joint Comment also suggested that DOE consider the appropriateness 
of testing at intermediate angles for certain types of lamps that 
contain heat pipes, noting that heat pipes often have the best heat 
transfer performance at inclinations of 60-70 degrees. (Joint Comment, 
No. 18 at p. 4)
---------------------------------------------------------------------------

    \20\ CLTC, ``Omni-Directional Lamp Testing'' Prepared for PG&E 
and CLASP, February 25th, 2013. http://www.energy.ca.gov/appliances/2013rulemaking/documents/responses/Lighting_12-AAER-2B/California_IOUs_Response_to_the_Invitation_to_Participate_for_LED_Lamps_REFERENCE/PGandE_2013a_Omni-Directional_Lamp_Testing-Report_Draft.pdf.
---------------------------------------------------------------------------

    In light of commenters' varying opinions about the impact of lamp 
orientation on lamp performance, DOE collected test data for several 
LED lamps tested in each of the three orientations. DOE investigated 
two sets of photometric test data, the first provided by ENERGY STAR 
and the second (mentioned by the CA IOUs in the previous paragraph) 
from a collaborative testing effort between the Pacific Gas and 
Electric Company (hereafter referred to as PG&E), California Lighting 
Technology Center (hereafter referred to as CLTC), and the 
Collaborative Labeling and Appliance Standards Program (hereafter 
referred to as CLASP). Id. These test data represent 10 samples each of 
47 different LED lamp products. Of the 47 lamp products tested, 36 were 
mounted in base-up, base-down, and horizontal configurations, and 11 
were mounted in base-up and base-down configurations. DOE analyzed the 
data to determine the variation of input power, lumen output, CCT, and 
CRI in each of the three orientations. The analysis of the test data 
revealed that some lamp models exhibited variation between the three 
orientations. Of the three orientations, analysis indicated that the 
base-up and base-down orientations represent the best (highest lumen 
output) and worst (lowest lumen output) case scenarios. Therefore, DOE 
believes that there is no need to test horizontally.
    The Joint Comment stated that other lamp orientations may represent 
the best-case scenario and suggested that DOE investigate testing at 
intermediate angles, such as 60 to 70 degrees. DOE notes that 
intermediate angles could represent a best-case scenario for some 
lamps; however, testing LED lamps at these angles is not common 
industry practice. Although there is no data available for testing LED 
lamps at intermediate angles, DOE consulted an LED lamp manufacturer as 
to whether intermediate angle testing could be a best-case scenario for 
some LED lamps. The manufacturer indicated that this could improve 
efficiency theoretically; however, this possible improvement would be 
negligible and likely within the measurement error of the lumen output 
measuring equipment. From this, DOE has determined that these 
performance gains would not be measureable. Therefore, DOE is not 
proposing testing of LED lamps at intermediate angles.
    As mentioned above, DOE also received comments about whether it was 
possible to test LED lamps in all potential orientations. GE, NEMA, and 
UL indicated that testing in the horizontal position could interfere 
with the lumen output measurement. (GE, Public Meeting Transcript, No. 
7 at pp. 42-43; NEMA, No. 16 at p. 3; UL, Public Meeting Transcript, 
No. 7 at p. 54) DOE researched this concern by consulting with the 
Lighting Research Center (LRC), which has extensive lamp testing 
experience, and believes that testing lumen output in the horizontal 
position does not lead to significant measurement error when using the 
majority of sphere-spectroradiometer, sphere-photometer, and 
goniophotometer systems. For either a sphere-spectroradiometer or 
sphere-photometer system, the bracket, which secures the lamp in place, 
can be designed and configured to eliminate any significant measurement 
error due to shadowing. For large goniophotometer systems, there would 
be sufficient space to make a bracket to hold the lamp in any 
orientation without risk of significant shadowing. It is possible that 
smaller goniophotometer systems could have mounting and bracket 
limitations that result in error when testing in the horizontal 
orientation due to shadowing. However, as discussed in section 
III.C.3.b, DOE proposes in the SNOPR to require all photometric 
measurements to be carried out in an integrating sphere and that 
goniometer systems must not be used.
    In the SNOPR, DOE proposes that LED lamps be positioned such that 
an equal number of units are oriented in the base-up and base-down 
orientations. This proposal specifies two commonly used orientations 
for LED lamps that span the highest and lowest light-output scenarios, 
creating a dataset that represents average performance in practice. 
These lamp mounting and orientation requirements would apply to lamps 
measured in both active mode and standby mode. DOE requests comment on 
the proposal for an equal number of lamps to be operated in the base-up 
and base-down orientations during lumen output, input power, CCT, and 
CRI testing.
d. Electrical Settings
    In the NOPR, DOE proposed requiring testing of LED lamps at the 
rated voltage as specified in IES LM-79-2008. For lamps with multiple 
operating voltages, DOE proposed that lamps be tested at

[[Page 32026]]

120 volts because 120 volts is the most common operating voltage of 
available lamps. However, if the lamp is not rated at 120 volts, DOE 
proposed that it be tested at the highest rated voltage. Id. NEMA 
disagreed with DOE's proposal to test at rated voltage only, arguing 
the proposal was in conflict with FTC regulations that require testing 
lamps at 120 volts and the rated voltage. (NEMA, No. 16 at p. 3)
    In this SNOPR, DOE maintains the NOPR proposal but, in addition, 
indicates that manufacturers may also test at other operating voltages 
as long as the final DOE test procedure is used for making energy 
representations. These electrical settings would apply to lamps 
measured in both active mode and standby mode. To ensure the SNOPR 
proposal is not in conflict with the FTC Lighting Facts label 
requirements, as was suggested by NEMA, DOE reviewed the FTC 
regulations detailed in 16 CFR 305.15. The FTC regulation states that a 
general service lamp shall be measured at 120 volts, regardless of the 
lamp's design or rated voltage. If a lamp's design voltage is 125 volts 
or 130 volts, the disclosures of the wattage, light output, energy 
cost, and lifetime must disclose the voltage at which these metrics 
were measured. DOE's proposal is not in conflict with FTC's Lighting 
Facts requirements because manufacturers must test at 120 volts as 
required by FTC and, if the LED lamp is rated for additional voltages, 
the lamp may also be tested at the highest rated voltage. This supports 
FTC's program and does not provide conflicting instructions.
    In the NOPR, DOE proposed incorporating section 7.0 of IES LM-79-
2008, which specifies electrical settings for LED lamps with multiple 
modes of operation, such as variable CCT and dimmable lamps. 77 FR at 
21043. Section 7.0 of IES LM-79-2008 indicates LED lamps with variable 
CCT shall be tested in each mode of operation, and for dimmable lamps, 
directs that they be tested at the maximum input power.
    Philips commented that when specifying electrical settings for 
variable CCT lamps it is important that DOE consider the scenario that 
the testing is intended to reflect (i.e., worst-case versus most common 
operating conditions) because lumen output can change based on the CCT 
mode. (Philips, Public Meeting Transcript, No. 7 at p. 32) OSI agreed 
with this point and indicated that in the future it is foreseeable that 
LED lamps with variable CCT, CRI, and lumen output will be available. 
(OSI, Public Meeting Transcript, No. 7 at pp. 32-33) Both P.R. China 
and Samsung stated that LED lamps with multiple modes of operation are 
currently available. (P.R. China, No. 12 at p. 4; Samsung, No. 14 at p. 
1) GE and Samsung indicated that multiple mode lamps in the future 
could operate at continuously variable CCT making testing at a distinct 
CCT impossible. (GE, Public Meeting Transcript, No. 7 at p. 32; 
Samsung, No. 14 at p. 1) OSI commented that testing at the worst-case 
scenario could be a possible option for LED lamps with variable CCT, 
while Samsung suggested requiring both a best- and worst-case scenario. 
(OSI, Public Meeting Transcript, No. 7 at pp. 33; Samsung, No. 14 at p. 
1) P.R. China suggested DOE follow international standard IEC/PAS 
62717-2011,\21\ which states that LED modules with adjustable color 
point must be adjusted/set to one fixed value as indicated by the 
manufacturer or responsible vendor. (P.R. China, No. 12 at p. 3) At the 
May 3, 2012 NOPR public meeting (hereafter the May 2012 public 
meeting), NEMA argued against testing at a CCT, CRI, or lumen output 
setting that would rarely be used in the field. For lamps that can vary 
CCT over the power range, NEMA suggested testing the lamps only at the 
CCT that occurs at full power. (NEMA, Public Meeting Transcript, No. 7 
at p. 33; NEMA, No. 16 at p. 3) Finally, regarding dimming, NEMA agreed 
with DOE's proposal to measure dimmable lamps at full power as this 
will reflect the rating on the packaging. (NEMA, No. 16 at p. 3)
---------------------------------------------------------------------------

    \21\ IEC/PAS 62717: LED modules for general lighting--
Performance requirements.
---------------------------------------------------------------------------

    DOE believes that LED lamps with multiple modes of operation, 
including variable CCT and CRI as well as dimmable lamps, should be 
tested at maximum input power because this is the highest energy 
consuming state. Therefore, DOE proposes to require testing for such 
lamps at the mode that occurs at maximum input power, since this is the 
highest energy consuming state. When multiple modes (such as multiple 
CCTs and CRIs) occur at the same maximum input power, the manufacturer 
can select any of these modes for testing. Manufacturers may also test 
at other modes as long as the final DOE test procedure is used for 
making representations about the energy consumption of an LED lamp. All 
measurements (lumen output, input power, efficacy, CCT, CRI, lifetime, 
and standby mode power) must be conducted at the same mode of 
operation. DOE invites comment on its proposals for testing lamps for 
which multiple modes (such as multiple CCTs and CRIs) can occur at the 
same maximum input power.
4. Test Method
a. Lamp Seasoning
    In the NOPR, DOE proposed requiring energizing and operating LED 
lamps for 1,000 hours to season them before beginning photometric 
measurements. 77 FR at 21043. DOE proposed a 1,000 hour seasoning time 
because it has been indicated by industry \22\ \23\ that light output 
of an LED source (and therefore, potentially the lamp) can change 
during the first 1,000 hours of operation. DOE also noted that IES TM-
21-2011 \24\ specifies that the data obtained from the first 1,000 
hours of operating an LED source shall not be used to project the 
lifetime of an LED source.
---------------------------------------------------------------------------

    \22\ Cheong, Kuan Yew. ``LED Lighting Standards Update.'' CREE, 
August 5, 2011. Page 31. www.nmc.a-star.edu.sg/LED_050811/Kuan_
CREE.pdf
    \23\ 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
    \24\ ``Projecting Long Term Lumen Maintenance of LED Light 
Sources.'' Approved by IES on July 25, 2011.
---------------------------------------------------------------------------

    Cree, Philips, Feit Electric Company, NEMA, P.R. China, the Joint 
Comment, CA IOUs, Northwest Energy Efficiency Alliance (hereafter 
referred to as NEEA), and South Korea all commented that LED lamps not 
be seasoned for 1,000 hours prior to collecting lumen output data. They 
argued that due to the evolving nature of these products, there is no 
common seasoning time. (Cree, Public Meeting Transcript, No. 7 at pp. 
34-35; Philips, Public Meeting Transcript, No. 7 at p. 35, 36; Feit, 
Public Meeting Transcript, No. 7 at p. 45; NEMA, Public Meeting 
Transcript, No. 7 at p. 36; P.R. China, No. 12 at p. 4; NEMA, No. 16 at 
p. 3; Joint Comment, No. 18 at pp. 5-6; CA IOUs, No. 19 at p. 5; NEEA, 
No. 20 at p. 2; South Korea, No. 17 at p. 2) Cree indicated that sudden 
increases or decreases in light output in the first 1,000 hours of 
operation depend on several factors in the construction of the LED 
lamp. (Cree, Public Meeting Transcript, No. 7 at pp. 36-37) P.R. China, 
NEEA, and the CA IOUs stated that DOE should remain consistent with the 
specifications of IES LM-79-2008, and require no seasoning prior to 
photometric measurements. (P.R. China, No. 12 at p. 4; NEEA, No. 20 at 
p. 2; CA IOUs, No. 19 at p. 5)
    The Joint Comment indicated that when taking photometric 
measurements, it is not obvious if seasoning is necessary. They 
suggested that DOE investigate and report on the

[[Page 32027]]

necessity of seasoning lamps prior to photometric measurements, as this 
seasoning is in direct conflict with procedures established in IES LM-
79-2008. Should DOE decide that there is sufficient variability in 
devices that can be mitigated by seasoning; they recommend that DOE 
collaborate with industry to minimize testing burden and potential re-
testing of current LED sources/lamps. (Joint Comment, No. 18 at pp. 5-
6) The National Institute of Standards and Technology (hereafter 
referred to as NIST) and Samsung, however, commented that seasoning LED 
lamps for 1,000 hours prior to collecting lumen output data is 
reasonable. (NIST, Public Meeting Transcript, No. 7 at p. 47; Samsung, 
No. 14 at p. 1) NIST argued that including a seasoning time of 1,000 
hours would help identify faulty products. (NIST, Public Meeting 
Transcript, No. 7 at p. 47)
    In the SNOPR, DOE proposes to eliminate the requirement to season 
lamps for 1,000 hours prior to taking photometric measurements. 
Although some LED lamps do experience changes in light output during 
the first 1,000 hours of operation, independent research and 
manufacturer comments indicate that this is not true for all LED lamps. 
Each LED lamp is unique, and as a result, initial trends in light 
output are not consistent from lamp to lamp. Therefore, seasoning all 
lamps for a predetermined duration does not provide a more accurate 
initial test measurement, though it does increase testing burden. The 
current industry-accepted test procedure, IES-79-2008, reflects this 
understanding by not allowing lamp seasoning. Therefore, the SNOPR 
proposes to remain consistent with section 4.0 of IES LM-79-2008, which 
indicates LED lamps shall not be seasoned before beginning photometric 
measurements. These seasoning requirements would apply to lamps 
measured in both active mode and standby mode. DOE requests comment on 
this proposal.
b. Lamp Stabilization
    In the NOPR, DOE proposed stabilizing lamps for the time specified 
in section 5.0 of IES LM-79-2008. DOE further proposed 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. 77 FR at 21043. This calculation was 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 \25\ 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.
---------------------------------------------------------------------------

    \25\ 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.
---------------------------------------------------------------------------

    NEMA agreed that the lamp stabilization method in IES LM-79-2008 be 
used for the LED lamp test procedure but argued that the standard did 
not need further clarification. (NEMA, Public Meeting Transcript, No. 7 
at pp. 38-39; NEMA, No. 16 at p. 3) However, GE advocated for 
presenting the lamp stabilization equation as a percent. (GE, Public 
Meeting Transcript, No. 7 at p. 39)
    DOE reconsidered its NOPR proposal, but came to the same conclusion 
for the SNOPR. IES LM-79-2008 does not clearly specify the calculation 
for determining the stabilization value, leaving this requirement open 
to interpretation. Therefore, DOE continues to propose in the SNOPR 
that variation of at least three readings of light output and 
electrical power over a period of 30 minutes, taken 15 minutes apart is 
calculated as [maximum--minimum]/minimum. DOE expects this proposal is 
the same or very similar to the stabilization calculation methods 
already used in practice. As in the NOPR, DOE continues to propose in 
this SNOPR that stabilization of multiple products of the same model 
can be carried out as specified in section 5.0 of IES LM-79-2008. These 
stabilization requirements would apply to lamps measured in both active 
mode and standby mode.
c. Lumen Output Metric
    In the NOPR, DOE proposed that the test method for measuring the 
lumen output of an LED lamp be as specified in section 9.0 of IES LM-
79-2008 and proposed the same lumen output measurement method for all 
LED lamps, including directional \26\ LED lamps. Id. For directional 
LED lamps, DOE suggested measuring total lumen output from the lamp 
rather than beam lumens \27\ because other directional lamp 
technologies currently measure and report total lumen output on the FTC 
Lighting Facts label.
---------------------------------------------------------------------------

    \26\ 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.
    \27\ Please refer to the NOPR Test Procedures for Light-Emitting 
Diode Lamps (Docket No. EERE-2011-BT-TP-0071) for a detailed 
explanation of why DOE is not proposing to measure beam lumens for 
directional LED lamps (77 FR at 21043; April 9, 2012).
---------------------------------------------------------------------------

    As discussed in section III.C.3.b, DOE proposes in the SNOPR that 
goniometers may not be used for photometric measurements. As a result, 
DOE proposes that the method for measuring lumen output in the SNOPR be 
as specified in sections 9.1 and 9.2 of IES LM-79-2008. Section 9.3 of 
IES LM-79-2008 discusses usage of goniometers, and DOE is not including 
that method in the SNOPR proposal.
    Regarding directional lamps, NEMA commented that industry has not 
yet reached consensus regarding a light output metric for directional 
lamps. (NEMA, Public Meeting Transcript, No. 7 at p. 43; NEMA, No. 16 
at p. 4) Furthermore, NEMA highlighted that DOE has other rulemakings 
specifically for reflector lamps that specify the use of total lumens. 
Therefore, a deviation from measuring total lumens in the LED lamp test 
procedure would have a significant impact on all types of directional 
lamps. (NEMA, Public Meeting Transcript, No. 7 at p. 44) The CA IOUs 
commented that if measuring beam lumens is only required for the LED 
lamp test procedure and not all general service reflector lamps, this 
could hinder the industry's ability to compare lamps across 
technologies. (CA IOUs, No. 19 at p. 7) However, the CA IOUs supported 
DOE's efforts to develop a beam efficacy metric and recommended that 
this metric be applied to all directional lamp technologies. (CA IOUs, 
No. 19 at p. 7) In contrast, P.R. China argued that testing total lumen 
output instead of the beam lumen output and center-beam candle power 
might bring inconsistency and confusion to the industry. Therefore, 
they recommended that DOE reference the Energy Star Program 
Requirements for Integral LED Lamps: Eligibility Criteria--Version 1.4 
\28\ which specifies that the center-beam candle power and beam angle 
be tested for directional lamps. (P.R. China, No. 12 at p. 4)
---------------------------------------------------------------------------

    \28\ ``Energy Star Program Requirements for Integral LED Lamps: 
Eligibility Criteria--Version 1.4.'' U.S. Environmental Protection 
Agency, August 28, 2013.
---------------------------------------------------------------------------

    Because total lumen output is the measurement reported on the FTC 
Lighting Facts label for other directional lamp technologies, DOE 
agrees with NEMA and the CA IOUs comments not to include measurements 
for beam lumens in this test procedure. Therefore, DOE maintains its 
proposal from the NOPR to measure the total lumen output for LED lamps. 
Measuring the total lumen output for LED lamps

[[Page 32028]]

will enable industry and consumers to compare general service lamp 
products across different technologies.
d. Input Power
    Following seasoning and stabilization, input power to the LED lamp 
is measured using the instrumentation specified in section III.C.3.b. 
All test conditions and test setup requirements from sections III.C.2 
and III.C.3 should also be followed.
e. Lamp Efficacy Metric
    In the NOPR, DOE proposed test procedures for measuring lumen 
output and input power, and also specified testing dimmable lamps at 
full light output. 77 FR at 21041. However, commenters noted that 
efficacy may appear in future mandates, and therefore recommended it be 
included in DOE's test procedure for LED lamps. The CA IOUs commented 
that a test procedure with an efficacy metric would be needed in the 
future to comply with federal legislative mandates, and for this reason 
they urged DOE to include an efficacy metric in the test procedure. 
Both the CA IOUs and NEEA recommended that DOE adopt IES LM-79-2008, 
which defines luminous efficacy as the quotient of the measured total 
luminous flux (in lumens) and the measured electrical input power (in 
watts), or lumens per watt. (CA IOUs, No. 19 at p. 3; NEEA, No. 20 at 
p. 1)
    As discussed in section I, this proposed test procedure will 
support any potential future energy conservation standards for general 
service LED lamps, which may include efficacy as a metric for setting 
standards. Accordingly, for the SNOPR, DOE proposes that the efficacy 
of an LED lamp be calculated by dividing measured initial lamp lumen 
output in lumens by the measured lamp input power in watts, in units of 
lumens per watt. DOE believes that providing a calculation for efficacy 
of an LED lamp does not increase testing burden because the test 
procedure already includes metrics for input power and lumen output. 
DOE requests comment on the proposal to add a calculation for efficacy 
of an LED lamp.
f. Measuring Correlated Color Temperature
    In the NOPR, DOE proposed that the CCT of an LED lamp be calculated 
as specified in section 12.4 of IES LM-79-2008. 77 FR at 21044. 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, shall be as specified in 
section 12.0 of IES LM-79-2008. That section describes the test method 
to calculate CCT using a sphere-spectroradiometer system and a 
spectroradiometer or colorimeter system. 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.
    South Korea disagreed with the proposal in the NOPR and recommended 
that DOE follow industry standard IEC/PAS 62612 which states that 
nominal CCT values shall be reported (South Korea, No. 17 at pp. 3-4). 
Nominal CCT values are defined by a region of the chromaticity diagram 
and any lamp that falls in a certain region is assigned a single CCT 
value. However, nominal CCT values do not address all regions of the 
chromaticity diagram. Although manufacturers in the marketplace may 
choose to design lamps that fall within regions defined by nominal CCT, 
DOE's goal is to establish one test method that applies to all LED 
lamps. Therefore, DOE is not proposing to follow a nominal CCT 
methodology and maintains its proposal in the NOPR regarding the method 
to calculate the CCT of an LED lamp. Furthermore, as discussed in 
section III.C.3.b, DOE also proposes in the SNOPR to require all 
photometric measurements (including CCT) be carried out in an 
integrating sphere, and that goniometer systems must not be used. 
Therefore, DOE proposes that the instrumentation used for CCT 
measurements be as described in section 12.0 of IES LM-79-2008 with the 
exclusion of section 12.2 of IES LM-79-2008.
g. Measuring Color Rendering Index
    In the SNOPR, DOE proposes to add a requirement that the CRI of an 
LED lamp be determined as specified in section 12.4 of IES LM-79-2008. 
As discussed in section III.C.3.b, DOE also proposes in the SNOPR to 
require all photometric measurements (including CRI) be carried out in 
an integrating sphere. Therefore, the setup for measuring the relative 
spectral distribution, which is required to calculate the CRI of the 
LED lamp, must be as specified in section 12.0 of IES LM-79-2008 with 
the exclusion of section 12.2 of IES LM-79-2008, as goniometer systems 
must not be used. Section 12.4 of IES LM-79-2008 also specifies that 
CRI be calculated according to the method defined in the International 
Commission on Illumination (CIE) 13.3-1995.\29\ DOE proposes that the 
test procedure for LED lamps include measurement methods for CRI in 
order to support the upcoming general service lamps energy conservation 
standard rulemaking. DOE requests comment on the proposal to add CRI to 
the test procedure for LED lamps.
---------------------------------------------------------------------------

    \29\ ``Method of Measuring and Specifying Colour Rendering 
Properties of Light Sources.'' Approved by CIE in 1995.
---------------------------------------------------------------------------

D. Proposed Approach for Lifetime Measurements

1. LED Lamp Lifetime Definition
    There are currently no industry standards that define or provide 
instructions for measuring the lifetime \30\ of LED lamps. Thus, for 
the NOPR, DOE conducted literature research and interviewed several 
subject matter experts to understand how industry characterized 
lifetime for these products. Based on the information gathered, DOE 
proposed to measure lumen maintenance to determine the lifetime of LED 
lamps. Although other lighting technologies define lamp lifetime as the 
time at which 50 percent of tested samples stop producing light, 
industry believes that an LED lamp has reached the end of its useful 
life when it achieves a lumen maintenance of 70 percent (i.e. 70 
percent of initial lumen output, or L70). 77 FR at 21046.
---------------------------------------------------------------------------

    \30\ In the NOPR, DOE used the term ``rated lifetime.'' For the 
SNOPR, DOE replaces the term ``rated lifetime'' with ``lifetime'' to 
refer to the same parameter.
---------------------------------------------------------------------------

    Philips, OSI, and Cree agreed that currently no industry accepted 
procedure exists for measuring the lifetime of LED-based lighting 
products. (Philips, Public Meeting Transcript, No. 7 at p. 64; OSI, 
Public Meeting Transcript, No. 7 at pp. 74-75; Cree, Public Meeting 
Transcript, No. 7 at p. 65) However, Litecontrol and NEMA disagreed 
with DOE's proposal, stating that the report LED Luminaire Lifetime: 
Recommendation for Testing and Reporting \31\ explicitly argues that 
lumen maintenance alone cannot be used as a proxy for the lifetime of 
LED-based lighting products. (Litecontrol, No. 11 at p. 1; NEMA, No. 16 
at p. 5) Radcliffe Advisors and the CA IOUs emphasized that color shift 
be considered when determining the lifetime because this could also 
render a lamp un-usable or undesirable to a consumer before the lamp 
reaches L70. (Radcliffe Advisors,

[[Page 32029]]

No. 13 at p. 1; CA IOUs, No. 19 at p. 4)
---------------------------------------------------------------------------

    \31\ U.S. Department of Energy, ``LED Luminaire Lifetime: 
Recommendation for Testing and Reporting,'' June 2011. http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/led_luminaire-lifetime-guide_june2011.pdf.
---------------------------------------------------------------------------

    In the absence of industry consensus regarding a definition or test 
procedure for lifetime, NEMA, Lutron, the CA IOUs, and Radcliffe 
Advisors emphasized that DOE should wait for industry to develop new 
and revised standards that address lifetime and then reference them for 
the purposes of the FTC Lighting Facts label. (NEMA, No. 16 at p. 2; 
Lutron, Public Meeting Transcript, No. 7 at p. 80; CA IOUs, No. 19 at 
p. 5; Radcliffe Advisors, No. 13 at p. 1) NEMA indicated that this 
includes revisions of IES LM-79-2008, IES LM-80-2008,\32\ and emerging 
standards IES LM-84 \33\ and IES TM-26.\34\ (NEMA, No. 16 at p. 2, 5, 
7) The Joint Comment, NEMA, NEEA, and the CA IOUs encouraged DOE to 
work with industry to develop a test procedure that would quantify the 
lifetime of an LED lamp system. (Joint Comment, No. 18 at p. 1; NEMA, 
No. 16 at p. 4; NEEA, No. 20 at pp. 2-3; CA IOUs, No. 19 at p. 5) NEMA, 
Philips, and Radcliffe Advisors pointed out that there are several 
industry groups working on this issue, such as the LED Systems 
Reliability Consortium. (NEMA, No. 16 at p. 4; Philips, Public Meeting 
Transcript, No. 7 at p. 64; Radcliffe Advisors, No. 13 at p. 1) Other 
interested parties cited additional efforts; the CA IOUs commented that 
DOE should coordinate efforts with ENERGY STAR while the Joint Comment 
recommended that DOE coordinate test procedure development with work in 
the European Union. (CA IOUs, No. 19 at p. 5; Joint Comment, No. 18 at 
p. 5)
---------------------------------------------------------------------------

    \32\ ``Measuring Lumen Maintenance of LED Light Sources.'' 
Approved by IES on September 22, 2008.
    \33\ LM-84 ``IES Approved Method for Measuring Lumen and Color 
Maintenance LED Lamps, Lighting engines, and Luminaires,'' will 
provide the method for measurement of lumen and color maintenance of 
LED lamps, light engines, and LED luminaires.
    \34\ TM-26 ``Projecting Long-Term Lumen Maintenance for LED 
Lamps and Luminaires,'' will provide an LED lamp and luminaire level 
counterpart to IES TM-21-2011 using the IES LM-80-2008 (revision) 
and LM-84 testing data for projecting long-term lumen maintenance.
---------------------------------------------------------------------------

    DOE recognizes that there are degradation mechanisms other than 
lumen maintenance, such as color shift, that can affect the useful 
lifetime of LED lamps. However, color shift is not very well-
understood, well-studied, or commonly used even for traditional 
incandescent lamps and CFLs.\31\ After conducting thorough research of 
existing test procedures for all lighting products and industry 
literature regarding LED lamp lifetime, DOE has tentatively concluded 
that there is no industry consensus for how to characterize lifetime of 
LED lamps in terms of performance metrics other than lumen maintenance. 
Therefore, DOE is not proposing to use metrics such as color shift to 
determine the lifetime of LED lamps.
    Although industry may be working to develop new and revised 
standards to define lifetime and establish test procedures for 
measuring this quantity, the timeframe for their development is 
unknown. DOE reviewed the efforts of other working groups, as suggested 
by interested parties, but was unable to find any U.S. or international 
standard that provides a test procedure for measuring and/or projecting 
LED lamp lifetime. The only publicly available approach for measuring 
LED lamp lifetime is ENERGY STAR Program Requirements for Lamps (Light 
Bulbs): Eligibility Criteria--Version 1.0,\10\ which uses a lumen 
maintenance of 70 percent (i.e. 70 percent of initial lumen output, or 
L70) as an estimate for lifetime. Therefore, in this SNOPR, 
DOE proposes to continue to define lifetime as the time at which the 
lumen output of the LED lamp falls below 70 percent of the initial 
lumen output.
2. NOPR Proposals
    As mentioned above, there are currently no industry standards that 
address how to measure lifetime for LED lamps. Therefore, DOE reviewed 
methods to measure lifetime that were contained in industry standards 
for related components and also investigated recent efforts in DOE and 
ENERGY STAR working groups. In the NOPR, DOE presented four potential 
lifetime measurement approaches, all of which characterized the 
lifetime of LED lamps as the time required to reach a lumen maintenance 
of 70 percent. 77 FR at 21044-5. Three of these approaches tested an 
LED lamp to determine the lifetime and the fourth approach tested the 
LED source as a proxy for the lifetime of the lamp. Ultimately, DOE 
determines in this SNOPR that the test procedure for lifetime must 
directly measure the performance of an LED lamp and not the LED source, 
and proposes the revised lifetime measurement detailed in section 
III.D.3.
    Approach 1, based largely on the procedures in IES LM-79-2008, 
directed manufacturers to measure the lumen output of the LED lamp 
until it reaches 70 percent of its initial lumen output. In the NOPR, 
DOE stated that Approach 1 is advantageous because it does not project 
the time at which the lamp reaches L70 and therefore 
measures the actual performance of the lamp over its useful life. 
However, DOE determined that Approach 1 was not practical because it 
may require up to six years of testing, by which time the LED lamp may 
be obsolete. Id.
    Approach 2 called for measuring lumen output of the LED lamp for a 
specified period of time, 6,000 hours, and then projecting the time at 
which the lamp reached L70 based on the minimum lumen 
maintenance at 6,000 hours. This method was largely based on the ENERGY 
STAR Specification for Integral LED Lamps Version 1.4 (see supra note 
28). In addition, DOE proposed in the NOPR that a rapid-cycle stress 
test be performed to assess catastrophic lamp failure (e.g. when a lamp 
immediately ceases to emit light, rather than gradually decreasing in 
light output). Approach 2 also enabled lifetime claims to be based on 
the performance of an LED lamp, but was less time consuming than 
Approach 1 because it only required 6,000 hours of testing and then 
projected the lifetime based on the lumen maintenance at 6,000 hours. 
However, DOE noted in the NOPR that the method used to develop the 
ENERGY STAR lifetime projection is unverified and purely theoretical. 
Furthermore, Approach 2 did not account for catastrophic lamp failure 
beyond the 6,000 hour testing time. Id.
    Similar to Approach 2, Approach 3, based on IES LM-79-2008, 
directed measuring the lumen output of the LED lamp for a minimum of 
6,000 hours. In the NOPR, DOE stated that the collected lumen output 
data would then be used to project the L70 lifetime of the 
LED lamp using an alternative procedure that would be developed by DOE. 
This method would project lifetime based on the performance of an LED 
lamp, but would not necessarily be based on a standardized method for 
projecting lifetime. 77 FR at 21045.
    Finally, Approach 4 required measuring the lumen output of LED 
sources (the component of the LED lamp that produces light) at regular 
intervals for a minimum of 6,000 hours, based largely on the procedures 
in IES LM-80-2008. DOE would then project the time at which the lumen 
output of the source reached 70 percent of its initial lumen output 
using the projection method in IES TM-21-2011. In the NOPR, DOE 
indicated that, although the preferred methodology is to project the 
lifetime of an LED lamp rather than an LED source, an industry 
standardized method only exists for projecting the lifetime of an LED 
source and not an LED lamp. For this reason, DOE tentatively concluded 
in the NOPR that Approach 4 was the most appropriate and proposed that 
this method be used for estimating the lifetime of an LED lamp. Id.

[[Page 32030]]

    DOE received many comments regarding its proposal for measuring 
lifetime. Both Kritzer and Samsung agreed with NOPR Approach 4, as 
written, for measuring the lifetime of LED lamps. (Kritzer, No. 3 at p. 
1, Samsung, No. 14 at p. 1) Kritzer commented that it would be expected 
that the proposed method would reduce the amount of time needed for 
testing LED lamps and hence also reduce costs. (Kritzer, No. 3 at p. 1) 
However, NEMA, Radcliffe Advisors, and the Joint Comment disagreed with 
all suggested approaches within the NOPR document, including Approaches 
1, 2, and 3 which DOE did not adopt as its proposal. (NEMA, No. 16 at 
p. 4; Radcliffe Advisors, No. 13 at p. 1; Joint Comment, No. 18 at p. 
1)
    Despite their disagreement, NEMA did offer an interim solution to 
use until new and revised industry standards are released. Their 
proposal combined NOPR Approach 2 and 4. They indicated that NOPR 
Approach 2 could be used by those manufacturers who do not have IES LM-
80-2008 data for the LED source within the lamp and that NOPR Approach 
4 could be used for those products for which IES LM-80-2008 data does 
exist. (NEMA, No. 16 at p. 4, 8) In addition, they suggested that DOE 
not include the rapid cycle stress testing suggested in Approach 2. 
They indicated that rapid cycle stress testing is practiced for some 
lighting technologies; however, this technique is not widely practiced 
by the LED industry and has not been verified as relevant to LED 
lifetime and performance. (NEMA, No. 16 at p. 9)
    DOE appreciates NEMA's interim proposal, but notes that combining 
Approaches 2 and 4 would result in some manufacturers reporting 
lifetime based on testing of an LED lamp and others reporting lifetime 
based on testing of an LED source. The differences between Approaches 2 
and 4 would lead to different results for lifetime. DOE cannot adopt 
alternative test methods that yield different results as there would be 
no basis for establishing any future energy conservation standards. 
Furthermore, this combined approach still contains many of the 
drawbacks related to the individual approaches.
    Regarding Approach 4, DOE received several comments that outlined 
the disadvantages of the NOPR proposal for determining the lifetime of 
LED lamps. NEMA, Philips, OSI, TUD, the Joint Comment, the CA IOUs, 
NEEA, Radcliffe Advisors, the Appliance Standards Awareness Project 
(hereafter referred to as ASAP), and Litecontrol advocated basing the 
lifetime on measurements of the whole LED lamp and not the LED source 
component. They commented that it is undesirable for the lifetime of 
LED lamps to be approximated by the lumen maintenance of the LED source 
and stated that other components may cause lamp failure before the LED 
source falls below 70 percent of its initial light output. (NEMA, 
Public Meeting Transcript, No. 7 at p. 83, 84-85, 85; NEMA, No. 16 at 
p. 2, 4, 5, 8, 9; Philips, Public Meeting Transcript, No. 7 at pp. 63-
64, 83; OSI, Public Meeting Transcript, No. 7 at p. 69, 100-101; TUD, 
No. 15 at p. 1; Joint Comment, No. 18 at p. 1, 2, 4; CA IOUs, No. 19 at 
p. 4; NEEA, No. 20 at p. 2, 3; Radcliffe Advisors, No. 13 at p. 1; 
ASAP, Public Meeting Transcript, No. 7 at pp. 83-84; Litecontrol, No. 
11 at p. 1)
    Some interested parties suggested additional considerations for a 
procedure that measured the performance of an LED lamp rather than an 
LED source. The Joint Comment stated that the test procedure for LED 
lamp lifetime include measurements and projections of driver lifetime. 
They explained that industry has developed reliability models to 
predict theoretical failure rates of LED drivers, and DOE should 
investigate these models to determine if using them would help better 
capture system effects of an LED lamp. (Joint Comment, No. 18 at p. 1, 
4-5) The CA IOUs also suggested that DOE use accelerated testing based 
on elevated temperatures, such as the method being explored by the LRC. 
(CA IOUs, No. 19 at p. 5)
    DOE has considered all comments received about the four approaches 
discussed in the NOPR and has decided to significantly change its 
approach for determining the lifetime of LED lamps in this SNOPR. DOE 
agrees that there are several potential issues with requiring lumen 
maintenance testing of the LED source component, as proposed in 
Approach 4. DOE has preliminarily concluded in this SNOPR that the test 
procedure for lifetime must directly measure the performance of an LED 
lamp. DOE acknowledges that LED driver degradation and interactions 
between the LED sources and other components are known to affect the 
lifetime of integrated LED lamps. Regarding the proposal by the Joint 
Comment, DOE conducted research of existing driver reliability modeling 
and test procedures, including those specified in the military handbook 
MIL-HDBK-217F,\35\ to determine whether driver failure could be 
included in the projection of LED lamp lifetime. However, DOE 
determined that no test procedures are available that use the expected 
failure of the LED driver to predict the failure of the complete LED 
lamp system. The CA IOUs suggested that DOE consider accelerated 
testing based on elevated temperatures for the lifetime test procedure. 
However, DOE research of existing literature and industry test 
procedures indicates that accelerated test methods for LED lamp 
lifetime are not available, and therefore, are not ready for inclusion 
in the SNOPR.
---------------------------------------------------------------------------

    \35\ Society of Reliability Engineers, Reliability Prediction of 
Electronic Equipment, December 1991. http://www.sre.org/pubs/Mil-Hdbk-217F.pdf.
---------------------------------------------------------------------------

    As mentioned above, DOE has decided to measure directly the 
performance of an LED lamp and does not propose requiring testing of 
LED sources or any individual lamp component. The complete SNOPR method 
is described in section III.D.3. Although DOE has decided to make this 
change, DOE did receive comments on specific aspects of the NOPR 
proposal. These comments are discussed in further detail below.
a. Industry Standards
    In the NOPR, DOE proposed measuring the lumen output of LED sources 
based on IES LM-80-2008 and then projecting the time at which the lumen 
output of the source reached 70 percent of the initial lumen output 
based on IES TM-21-2011. 77 FR at 21045 NEMA, Cree, Radcliffe Advisors, 
the CA IOUs, and Philips commented that the NOPR proposal modifies and 
misapplies industry standards, and argued that both IES LM-80-2008 and 
IES TM-21-2011 provide procedures to measure lumen maintenance of the 
LED source and should not be used to estimate the lifetime of LED 
lamps. (NEMA, No. 16 at p. 2, 5, 7; Cree, Public Meeting Transcript, 
No. 7 at pp. 95-96, 109; Radcliffe Advisors, No. 13 at p. 1; CA IOUs, 
No. 19 at p. 5, 6; Philips, Public Meeting Transcript, No. 7 at p. 114) 
NEMA specified that DOE only reference IES LM-79-2008 because this 
standard applies to LED lamps, which are the subject of this 
rulemaking. (NEMA, No. 16 at p. 6)
    DOE understands that both IES LM-80-2008 and IES TM-21-2011 are 
industry standards for measuring and predicting the lumen maintenance 
of an LED source. In the NOPR, DOE proposed referencing these standards 
to measure the lumen maintenance of an LED source because DOE believed 
it would be an adequate approximation for determining the lifetime of 
LED lamps. However, based on the comments received in response to the 
NOPR, DOE has changed its proposed procedure to

[[Page 32031]]

measure the lifetime of LED lamps. In this SNOPR, DOE proposes 
assessing the lumen maintenance of an LED lamp and does not require 
testing of LED sources. DOE's lifetime proposal, described in section 
III.D.3, uses the procedures of IES LM-79-2008 to measure the lumen 
output of an LED lamp.
b. LED Source In-Situ Temperature
    In the NOPR, DOE proposed performing an in-situ temperature 
measurement test (ISTMT) to determine the case temperature at which the 
lumen maintenance data shall be obtained to project the lifetime of the 
LED source. 77 FR at 21047 DOE proposed that the test setup, 
conditions, test equipment, instrumentation, and test box material and 
construction for the ISTMT be as specified in UL 1993-2009.\36\ UL, GE, 
Cree, NEMA, and Feit argued that the test setup specified in UL 1993-
2009 is designed to represent a worst-case installation scenario. (UL, 
Public Meeting Transcript, No. 7 at p. 110; GE, Public Meeting 
Transcript, No. 7 at p. 91; Cree, Public Meeting Transcript, No. 7 at 
p. 93; NEMA, No. 16 at p. 5; Feit, Public Meeting Transcript, No. 7 at 
p. 93) Specifically, NEMA expressed concern that the test setup 
described in UL 1993-2009 would elevate the ambient air to a 
temperature greater than 25 [deg]C, which conflicts with the 
requirement to measure photometric characteristics at 25 [deg]C. This 
increase in temperature could also lead to changes in the photometric 
performance of the LED sources. Furthermore, NEMA commented that using 
UL 1993-2009 would force LED lamp manufacturers to increase design 
margins for lumens and other lamp characteristics to account for the 
temperature increase of the UL test conditions. This would lead to the 
over-design of LED lamps. (NEMA, No. 16 at p. 7) GE and NEMA concluded 
that UL 1993-2009 should not be used as part of the instruction for the 
ISTMT. (GE, Public Meeting Transcript, No. 7 at p. 91; NEMA, No. 16 at 
p. 5, 7) The Joint Comment indicated that DOE should carefully consider 
whether UL 1993-2009 represents an average installation or a worst-case 
scenario. (Joint Comment, No. 18 at p. 3) However, Intertek argued that 
UL 1993-2009 is designed to represent typical installation conditions. 
(Intertek, Public Meeting Transcript, No. 7 at p. 92, 93).
---------------------------------------------------------------------------

    \36\ ``Self-Ballasted Lamps and Lamp Adapters.'' Published by UL 
on August 28, 2009.
---------------------------------------------------------------------------

    The Joint Comment explained that temperature plays a critical role 
in the failure of LED lamps. They commented that an appropriate 
lifetime test method would take careful account of all the real-world 
installation parameters that could impact the natural operating 
temperature of the device. The Joint Comment indicated that this would 
include orientation, natural air circulation around the device, and all 
the effects from other physical connections/thermal pathways. In 
contrast with the manufacturers' recommendation, the Joint Comment 
supported a test procedure that approximates a worst-case installation 
scenario if knowledge about field installations is missing or 
insufficient. (Joint Comment, No. 18 at p. 2-3) The Joint Comment 
recommended that DOE carefully consider whether UL 1993-2009 represents 
an average U.S. installation or a worst-case scenario and provide 
justification as to why its use is appropriate. (Joint Comment, No. 18 
at p. 3)
    In this SNOPR, DOE has proposed a new test procedure for measuring 
the lifetime of LED lamps that does not require determining the in-situ 
temperature of the LED source. The test conditions for the new proposal 
are discussed in section III.D.3.b.
c. LED Source Lumen Maintenance
    IES LM-80-2008 requires manufacturers to test LED sources at three 
temperatures: 55 [deg]C, 85 [deg]C, and a third temperature suggested 
by the source manufacturer. A lamp manufacturer can then interpolate 
the performance of the source at any temperature bounded by those three 
temperatures, avoiding the need to conduct additional LED source 
testing for their specific LED lamp. However, IES LM-80-2008 does not 
provide a method for extrapolating LED source performance at an in-situ 
temperature that is not bounded by those three temperatures. In this 
case (an uncommon situation), DOE proposed in the NOPR that LED lamp 
manufacturers would need to test the LED sources at the in-situ 
temperature of their lamp to obtain the lumen maintenance data to 
project the lifetime. 77 FR at 21046 DOE's NOPR proposal did not modify 
IES LM-80-2008, instead it provided additional test methods for 
situations outside the applicability of IES LM-80-2008.
    DOE received several comments requesting that DOE not modify IES 
LM-80-2008 and stating that proposed testing of LED sources would be 
costly. NEMA, the CA IOUs, and NEEA commented that DOE should not 
modify the test procedures specified in IES LM-80-2008. (NEMA, No. 16 
at p. 5; CA IOUs, No. 19 at pp. 5-6; NEEA, No. 20 at p. 2). 
Furthermore, NEEA commented that aligning DOE's test procedure and IES 
LM-80-2008 will reduce the testing burden on manufacturers. (NEEA, No. 
20 at p. 2) The CA IOUs elaborated that LED source testing at the case 
temperature identified during the ISTMT would be impractical and/or 
costly for industry because LED sources are often brought to market 
with their IES LM-80-2008 testing already complete. (CA IOUs, No. 19 at 
pp. 5-6)
    Two commenters requested further clarification of IES LM-80-2008. 
Regarding the temperature requirements, South Korea commented that 
international standards do not prescribe any specific temperatures at 
which to measure the lumen maintenance of the LED source. If DOE 
determines it is important to test the sources at 55 [deg]C and 85 
[deg]C, DOE should seek scientific justification for these 
requirements. (South Korea, No. 17 at p. 3) Samsung also requested that 
DOE specify the location on the LED source where temperature is 
measured. (Samsung, No. 14 at p. 1)
    DOE also received several comments indicating that DOE's proposal 
for procurement of LED source lumen maintenance data could require 
disassembly of a lamp in some cases. GE, OSI, and NEMA commented that 
manufacturers would need to extract the LED source from the finished 
lamp product if IES LM-80-2008 data is unavailable. (GE, Public Meeting 
Transcript, No. 7 at p. 94, 95, 100; OSI, Public Meeting Transcript, 
No. 7 at pp. 100-101; NEMA, No. 16 at p. 6) To avoid extracting the LED 
source, GE recommended that DOE consider multiple lifetime measurement 
approaches depending on the availability of IES LM-80-2008 data. (GE, 
Public Meeting Transcript, No. 7 at pp. 78-79)
    In the NOPR, DOE also proposed using the relevant guidelines from 
an ENERGY STAR specification document to measure the lumen maintenance 
for LED sources.\37\ 77 FR at 21048 Cree commented that for lamps that 
use both white and red LED sources there is uncertainty as to whether 
the IES LM-80-2008 data from the individual sources can be added 
together to accurately represent their combined performance. Cree also 
noted ENERGY STAR is currently accepting this practice. (Cree, Public 
Meeting

[[Page 32032]]

Transcript, No. 7 at p. 106) Both NEMA and Radcliffe Advisors stated 
that this is not an issue because DOE's test procedure should not 
require testing of any individual component of an LED lamp. All testing 
procedures should measure performance of the complete lamp product. 
(NEMA, No. 16 at p. 4-5; Radcliffe Advisors, No. 13 at p. 1)
---------------------------------------------------------------------------

    \37\ ENERGY STAR Program Guidance Regarding LED Package, LED 
Array and LED Module Lumen Maintenance Performance Data Supporting 
Qualification of Lighting Products, September 9, 2011. 
www.energystar.gov/ia/partners/prod_development/new_specs/downloads/luminaires/ENERGY_STAR_Final_Lumen_Maintenance_Guidance.pdf.
---------------------------------------------------------------------------

    DOE agrees there are drawbacks (including disassembly of the lamp 
to extract an LED source) to testing the LED source component as a 
proxy for estimating the lifetime of an LED lamp as outlined in IES LM-
80-2008. Therefore, DOE has developed a new proposal that only requires 
testing of an LED lamp and is no longer using the test procedures in 
IES LM-80-2008 or IES TM-21-2011. The new test procedure for LED lamps 
indicates that after the test duration, lumen output must be measured 
as specified in IES LM-79-2008. The lifetime of the LED lamp can then 
be projected using an equation. The proposed method for lifetime 
testing is discussed in more detail in section III.D.3.
d. Test Conditions
    In the NOPR, DOE proposed that the temperature of the surrounding 
air during testing be maintained between the case temperature and 5 
[deg]C below the case temperature as specified in section 4.4.2 of IES 
LM-80-2008. DOE also proposed that airflow around the LED sources be as 
specified in section 4.4.3 of IES LM-80-2008, which states that the 
airflow shall be maintained to minimize air drafts but allow some 
movement of the air to avoid thermal stratification. 77 FR at 21046 
NEMA and Cree commented that the upcoming IES LM-80-2008 revisions will 
include recommendations on best practices for measuring and monitoring 
air flow through the test system. (NEMA, Public Meeting Transcript, No. 
7 at p. 97; Cree, Public Meeting Transcript, No. 7 at p. 97) However, 
NEMA indicated that current test methods have led industry to believe 
that the surrounding air temperature and airflow do not have noticeable 
impact on long-term LED lumen degradation. They suggested that current 
IES LM-79-2008 air movement requirements are more than adequate to 
ensure the accuracy of test data. (NEMA, No. 16 at p. 5) TUD disagreed 
with the specified test conditions, indicating that they cannot 
sufficiently simulate all real world conditions. (TUD, No. 15 at p. 1)
    As previously mentioned, for this SNOPR, DOE has developed a test 
procedure that only requires testing of an LED lamp. Therefore, DOE no 
longer references IES LM-80-2008, which applies to LED sources. The 
SNOPR has proposed less stringent ambient temperature and airflow 
conditions for periods when a lamp is operating but measurements are 
not being taken. These requirements are discussed in more detail in 
section III.D.3.b.
e. LED Source Orientation
    In the NOPR, DOE proposed that the LED sources be operated in 
accordance with section 4.4.4 of IES LM-80-2008, which requires 
operating LED sources in the orientation specified by the source 
manufacturer. Id. DOE noted that it is not specifying the orientation 
for testing LED sources and invited interested parties to comment on 
whether the operating orientation of the LED sources during testing 
affects the lumen depreciation over time. Cree, Samsung, and NEMA 
commented that DOE should not require additional marking or testing 
based on orientation. (Cree, Public Meeting Transcript, No. 7 at p. 98; 
Samsung, No. 14 at p. 1; NEMA, No. 16 at p. 6) NEMA stated that the 
orientation specified in IES LM-80-2008 is only provided to establish a 
common testing protocol, not because there is any evidence that 
orientation affects performance. In this SNOPR, DOE is not referencing 
the test procedures provided in IES LM-80-2008, which apply to LED 
sources. Instead, DOE is proposing a new test procedure for lifetime 
which measures the performance of LED lamps. Because DOE believes that 
orientation impacts the performance of LED lamps, DOE is proposing that 
lamps be tested in both the base-up and base-down positions. The 
orientation requirements for lifetime are discussed in section 
III.C.3.b.
f. External Driver Requirements
    As specified in IES LM-80-2008, in the NOPR, DOE proposed using an 
external driver that is compliant with manufacturer's guidance to drive 
the LED source. 77 FR at 21047 Both Cree and NEMA opposed using 
external drivers to test LED sources, while Samsung thought the use of 
an external driver was appropriate. (Cree, Public Meeting Transcript, 
No. 7 at p. 99; NEMA, No. 16 at p. 6; Samsung, No. 14 at p. 1) NEMA 
indicated that the FTC label only regulates medium screw-base products 
(as defined in CFR 430.2). Therefore, if the lamp is to connect to the 
power supply via an ANSI base, there must be an integrated driver 
rather than an external driver. (NEMA, No. 16 at p. 6) In this SNOPR, 
DOE is proposing a new test procedure that measures the performance of 
an LED lamp and is no longer utilizing the test procedures provided in 
IES LM-80-2008. The new proposal does not require the use of an 
external driver because an internal driver is included in an integrated 
LED lamp. The SNOPR proposal for determining the lifetime of LED lamps 
is detailed in section III.D.3.
g. Lumen Maintenance Measuring Equipment
    IES LM-80-2008 specifies using a spectroradiometer to measure the 
lumen output of an LED source. In the NOPR, DOE proposed using a 
sphere-spectroradiometer, sphere-photometer, or a goniophotometer to 
measure the lumen output of the LED source. 77 FR at 21043 Cree agreed 
that all three instruments are appropriate to measure the lumen output 
of LED sources. Cree indicated that IES LM-80-2008 does not specify the 
use of a goniophotometer because this equipment cannot be used to 
measure many of the other photometric and electrical characteristics 
that the standard requires. (Cree, Public Meeting Transcript, No. 7 at 
p. 103) NEMA disagreed with DOE's proposal and recommended that DOE not 
modify the IES LM-80-2008 procedures. (NEMA, Public Meeting Transcript, 
No. 7 at p. 104; NEMA, No. 16 at p. 6) Samsung commented that requiring 
only a sphere-spectroradiometer would be suitable. (Samsung, No. 14 at 
p. 1)
    For this SNOPR, DOE is no longer proposing to use the test 
procedures provided in IES LM-80-2008. Because DOE proposes to measure 
the lifetime of LED lamps rather than LED sources, the SNOPR proposes 
the use of the lumen output measuring equipment described in IES LM-79-
2008. As discussed in section III.C.3.b, DOE proposes that the 
instrumentation used for lumen output measurement of LED lamps be as 
described in sections 9.1 and 9.2 of IES LM-79-2008 and that goniometer 
systems not be used.
h. LED Source Seasoning
    Regarding seasoning of the LED source for lifetime measurements, 
the Joint Comment argued that if DOE proposes a lifetime test method 
that involves projection of the LED source using the Arrhenius equation 
as the functional form of lumen degradation, the proposal should 
include seasoning. (Joint Comment, No. 18 at pp. 5-6) DOE's proposal in 
the SNOPR (discussed in section III.D.3) involves measurements of the 
LED lamp, not the LED source. Therefore, DOE is not proposing a 
seasoning requirement for LED sources in the SNOPR.
i. Maximum Lifetime
    In the NOPR, DOE proposed projecting the lifetime as specified in

[[Page 32033]]

section 5.0 of IES TM-21-2011. DOE also proposed that if the projected 
rate lifetime is greater than 25,000 hours, the maximum lifetime is 
25,000 hours. If the projected lifetime is less than 25,000 hours, the 
lifetime is the projected value. 77 FR at 21048
    Litecontrol, Radcliffe Advisors, South Korea, Kritzer, an Anonymous 
commenter, the CA IOUs, NEMA, and Philips disagreed with the proposal 
to cap lifetime at 25,000 hours, stating that applying an arbitrary cap 
discourages manufacturer improvements to lifetime. (Litecontrol, No. 11 
at p. 1; Radcliffe Advisors, No. 13 at p. 2; South Korea, No. 17 at p. 
3; Kritzer, No. 8 at p. 1; Anonymous, No. 8 at p. 1; CA IOUs, No. 19 at 
p. 4; NEMA, Public Meeting Transcript, No. 7 at p. 65, 72-74; NEMA, No. 
16 at p. 5; Philips, Public Meeting Transcript, No. 7 at p. 111) NEMA 
commented that applying a cap of 25,000 hours is contrary to FTC 
instruction, contradicts the recent L-Prize winning lamp's lifetime 
rating,\38\ and limits payback analysis for rebate programs. (NEMA, No. 
16 at p. 5) The Joint Comment indicated that the lifetime cap leaves 
little incentive for manufacturers to test for longer periods of time 
with larger samples to reduce measurement uncertainty. (Joint Comment, 
No. 18 at p. 5) Kritzer pointed out that LED lamps are rapidly 
improving in performance and limiting these products to a lifetime of 
25,000 hours would affect their ability to compete with fluorescent 
technologies, which advertise lifetimes as long as 40,000 hours. 
(Kritzer, No. 8 at p. 1)
---------------------------------------------------------------------------

    \38\ The Philips L-Prize Winning LED Bulb is rated at 30,000 
hours and has undergone over 7,000 hours of lumen maintenance 
testing. www.lightingprize.org/60watttest.stm.
---------------------------------------------------------------------------

    Some interested parties suggested alternate proposals for limiting 
maximum lifetime claims. South Korea proposed that the lifetime cap be 
raised to 36,000 hours to be consistent with IES TM-21-2011, which 
specifies that if the LED sources are tested beyond 6,000 hours they 
can report up to 36,000 hours. (South Korea, No. 17 at p. 3) NIST 
commented that the lifetime cap should only be raised if manufacturers 
can provide statistics to prove their reported values. (NIST, Public 
Meeting Transcript, No. 7 at p. 78) Alternatively, NEMA suggested that 
methods for projecting lifetime beyond 25,000 hours could be drawn from 
the ENERGY STAR solid-state lighting (hereafter referred to as SSL) 
program and other products such as electronic fluorescent ballasts. 
(NEMA, No. 16 at p. 7) The ENERGY STAR test procedure for lifetime 
includes a projection method based on lumen maintenance testing of an 
integrated lamp and does not require testing of the embedded LED 
source. In addition, their projection method specifies that an LED lamp 
has the potential to be rated at a lifetime greater than 25,000 hours 
if additional testing beyond the minimum required 6,000 hours of lumen 
maintenance testing is conducted (see supra note 28). The Joint Comment 
agreed with the need to limit unreasonable lifetime claims and asked 
DOE to work with industry to investigate a set of confidence criteria 
to define a lifetime metric. (Joint Comment, No. 18 at p. 5) The Joint 
Comment argued that the goal of the FTC Lighting Facts label should be 
to give customers the most accurate information possible regarding the 
quality and lifetime of this product, and that establishing proper test 
procedures will help ensure this happens. (Joint Comment, No. 18 at p. 
5)
    After considering the comments about the NOPR lifetime cap 
proposal, DOE has removed the 25,000 hour lifetime cap and developed a 
proposal where the maximum lifetime of LED lamps depends on the test 
duration. To prevent unreasonable lifetime claims based on a limited 
amount of test data, DOE proposes that lifetime claims be limited to no 
more than four times the duration of the test period. This limit 
reflects ENERGY STAR's requirements to support lifetime claims beyond 
25,000 hours, which require a test duration that is 25 percent of the 
maximum projection. For example, to report a projected L70 
lifetime of 30,000 hours, at least 7,500 hours of testing (and a lumen 
maintenance of at least 70 percent at that time) would be required. 
Requiring four times the duration of the test period is more 
conservative than industry standard IES TM-21-2011 for LED sources, 
which limits the L70 projection to no more than 5.5 or 6 
times the testing time (depending on sample size). A more conservative 
approach is reasonable because this test procedure applies to 
integrated LED lamps rather than LED sources. DOE invites comment on 
the proposed requirement to limit lifetime claims to four times the 
duration of the test period.
j. Market Introduction
    TUD commented that requiring a minimum test duration of 6,000 hours 
could delay the market introduction of LED lamp products. (TUD, No. 15 
at p. 1) In this SNOPR, DOE is proposing a new test method which does 
not require a minimum duration of testing. Rather, DOE allows the 
manufacturer to determine the test duration and then limits lifetime 
claims to four times the test duration.
3. SNOPR Proposed Lifetime Method
    In this SNOPR, DOE proposes a new test procedure for lifetime that 
addresses many of the stakeholder concerns regarding the NOPR proposal 
for measuring the lifetime of LED lamps. This proposal is simple, 
straightforward, and allows significant flexibility if lifetimes of LED 
products change in the future. As stated in section III.D.1, DOE 
defines the lifetime of an LED lamp as the time at which a lamp reaches 
a lumen maintenance of 70 percent (i.e., 70 percent of initial lumen 
output, or L70). In this SNOPR, DOE proposes to measure the 
lumen output of an LED lamp rather than the LED source contained in the 
lamp. Thus, the test procedure directly measures the performance of the 
actual product rather than an internal component. This considerably 
simplifies compliance testing and provides a consistent procedure to be 
used for all products. The methodology proposed in the SNOPR consists 
of four main steps: (1) measuring the initial lumen output; (2) 
operating the lamp for a period of time (test duration); (3) measuring 
the lumen output at the end of the test duration; and (4) projecting 
L70 using an equation adapted from the underlying 
exponential decay function in ENERGY STAR's most recent specification 
for integrated LED lamps, Program Requirements for Lamps (Light Bulbs): 
Eligibility Criteria--Version 1.0. (see supra note 10) The equation 
projects lifetime using the test duration and the lumen maintenance at 
the end of the test duration as inputs. The following sections discuss 
the methodology in greater detail.
a. Initial Lumen Output
    Initial lumen output is the measured amount of light that a lamp 
provides at the beginning of its life, after it is initially energized 
and stabilized using the stabilization procedures in section III.C.4.b. 
An initial lumen output measurement is required to calculate lumen 
maintenance, which is an input for the lifetime projection. The test 
procedure for lumen output is described in section III.B. The 
methodology, test conditions, and setup requirements are unchanged when 
measuring initial lumen output for the lifetime test procedure.
b. Test Duration
    The period of time starting immediately after the initial lumen 
output measurement and ending when the final lumen output measurement 
is

[[Page 32034]]

recorded, is referred to as the ``test duration'' or time ``t.'' The 
test duration does not include any time when the lamp is not energized. 
If lamps are turned off (possibly for transport to another testing area 
or during a power outage), DOE proposes that the time spent in the off-
state not be included in the test duration. DOE does not specify a 
minimum test duration or measurement interval, so manufacturers can 
customize the test duration based on the expected lifetime of the LED 
lamp. During this time, the LED lamps are turned on (energized) and 
operated for a period of time determined by the manufacturer. To reduce 
test burden, the operating conditions required during the test duration 
while measurements are not being taken are less stringent than those 
required when taking photometric measurements (e.g., ambient 
temperature). The following sections discuss the required operating 
conditions for lamp operation between lumen output measurements in more 
detail.
Ambient Temperature and Air Flow
    DOE recognizes that while operating an LED lamp, lumen output can 
vary with changes in ambient temperature, air flow, vibration, and 
shock. For this reason, DOE proposes specific requirements for 
quantities such as ambient temperature and air flow for photometric 
measurements in section III.C.2. However, because lamps may need to be 
operated for an extended period of time for the purpose of lifetime 
testing, DOE proposes less stringent requirements when measurements are 
not being taken. DOE proposes that ambient temperature be maintained 
between 15 [deg]C and 40 [deg]C. DOE also proposes minimizing air 
movement surrounding the test racks, and that the LED lamps not be 
subject to excessive vibration or shock. These test conditions will 
enable reliable, repeatable, and consistent test results without 
significant test burden and are discussed in further detail below:
    To determine ambient temperature requirements, DOE reviewed 
industry standard IES LM-65-10 ``Approved Method Life Testing of 
Compact Fluorescent Lamps.'' \39\ Section 4.3 of IES LM-65-10 requires 
that ambient temperature be controlled between 15 [deg]C and 40 [deg]C. 
Although industry standard IES LM-65-10 is intended for compact 
fluorescent lamps, DOE proposes that this ambient temperature range is 
appropriate for the operation of LED lamps because NEMA commented that 
current test methods have led industry to believe that the surrounding 
air temperature and airflow does not have a noticeable impact on long-
term LED lumen degradation. (NEMA, Public Meeting Transcript, No. 7 at 
pp. 2-3; NEMA, No. 16 at p. 2-3) DOE believes that an ambient 
temperature range between 15 [deg]C and 40 [deg]C encompasses the 
majority of possible room temperature conditions while limiting test 
burden. Therefore, in this SNOPR, DOE proposes that ambient temperature 
be controlled between 15 [deg]C and 40 [deg]C. DOE requests comments on 
this proposal.
---------------------------------------------------------------------------

    \39\ ``Approved Method Life Testing of Compact Fluorescent 
Lamps.'' Approved by IES on December 13, 2010.
---------------------------------------------------------------------------

    DOE proposes that LED lamp testing racks be open and designed with 
adequate lamp spacing and minimal structural components to maintain 
ambient temperature conditions. Furthermore, similar to the 
requirements in section 4.2 of IES LM-65-10, DOE proposes minimizing 
airflow surrounding the LED lamp testing racks and that the lamps not 
be subjected to excessive vibration or shock. DOE believes that these 
requirements would minimize the impact of airflow and the physical 
environment while minimizing test burden. DOE invites comments on the 
minimization of vibration, shock, and air movement, as well as the 
requirement for adequate lamp spacing during lamp operation in order to 
maintain ambient temperature conditions.
Power Supply
    DOE proposes that section 3.1 of IES LM-79-2008 be incorporated by 
reference to specify requirements for both AC and DC power supplies. 
This section specifies that an AC power supply shall have a sinusoidal 
voltage waveshape at the input frequency required by the LED lamp such 
that the RMS summation of the harmonic components does not exceed three 
percent of the fundamental frequency 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 shall be within 0.2 percent of the 
specified lamp input voltage. However, DOE determined that the IES LM-
79-2008 voltage tolerances are too burdensome to maintain for the 
extended time period for which a lamp may need to be operated to 
determine lifetime. When not taking measurements, DOE proposes to adopt 
provisions similar to section 5.3 of IES LM-65-10 which requires that 
the input voltage be monitored and regulated to within 2.0 
percent of the rated RMS voltage. DOE believes that this requirement is 
achievable with minimal test burden and provides reasonable stringency 
in terms of power quality based on its similarity to voltage tolerance 
requirements for other lamp types. DOE invites comments on the proposal 
to adopt section 3.1 of IES LM-79-2008 requirements for both AC and DC 
power supplies. DOE also requests comment on the requirement that input 
voltage be monitored and regulated to within 2.0 percent of 
the rated RMS voltage as specified in section 5.3 of IES LM-65-2010.
Lamp Mounting and Orientation
    DOE proposes that the LED lamps be tested in the base-up and base-
down orientations for lumen maintenance testing. Section III.C.3.b 
notes that LED lamp test data provided by ENERGY STAR, as well as PG&E, 
CLASP, and CLTC, has revealed that there was variation between the 
base-up, base-down and horizontal orientations (see supra note 20). Of 
the three orientations, analysis revealed that the base-up and base-
down orientations represent the best (highest lumen output) and worst 
(lowest lumen output) case scenarios.
Electrical Settings
    DOE proposes adopting the electrical settings in section 7.0 of IES 
LM-79-2008. Section III.C.3.d details the required electrical settings 
for input voltage and how to operate lamps with multiple modes of 
operation, such as variable CCT and dimmable lamps.
Operating Cycle
    Lifetime test procedures for other lamp types sometimes require 
``cycling,'' which means turning the lamp on and off at specific 
intervals over the test period. However, industry has stated that 
unlike other lighting technologies, the lifetime of LED lamps is 
minimally affected by power cycling.\40\ Therefore, in this SNOPR, DOE 
proposes to operate the LED lamp continuously and requests feedback on 
the appropriateness of not requiring cycling in the test procedure for 
lifetime.
---------------------------------------------------------------------------

    \40\ NEMA Comments on ENERGY STAR Program Requirements Product 
Specification for Lamps (Light Bulbs) Version 1.0, Draft 2http://energystar.gov/products/specs/sites/products/files/NEMA.pdf.
---------------------------------------------------------------------------

c. Lumen Output at the End of the Test Duration
    Any lumen output measurement after the measurement of initial lumen 
output, including that at the end of the test duration, is measured 
under the

[[Page 32035]]

conditions and setup described in section III.B. DOE proposes 
stabilizing the LED lamp before measuring lumen output at the end of 
the test duration. Section III.C.4.b details the LED lamp stabilization 
procedure.
d. Lumen Maintenance Calculation and Lifetime Projection
    As discussed in section III.D.1, DOE proposes to define LED lamp 
lifetime as the time required to reach a lumen maintenance of 70 
percent (L70). Lumen maintenance is the measure of lumen 
output after an elapsed operating time, expressed as a percentage of 
the initial lumen output (the definition of initial lumen output is 
provided in section III.D.3.a). DOE proposes that the lumen maintenance 
at the end of the test duration equal the lumen output at the end of 
the test duration (see section III.D.3.c) divided by the initial lumen 
output.
    DOE developed an equation to project the time at which an LED lamp 
reaches L70 based on the underlying exponential decay 
function used in the ENERGY STAR Program Requirements for Lamps (Light 
Bulbs): Eligibility Criteria--Version 1.0 (see supra note 10). ENERGY 
STAR utilizes an exponential decay function to calculate maximum 
L70 life claims between 15,000 and 50,000 hours at 
increments of 5,000 hours. The ENERGY STAR procedure requires a 6,000 
hour test duration and provides lumen maintenance thresholds for each 
incremental L70 lifetime claim. Unlike ENERGY STAR, DOE does 
not have minimum lifetime requirements for LED lamps. Therefore, to 
enable reporting of lifetimes less than 15,000 hours and greater than 
50,000 hours, DOE has reorganized the underlying ENERGY STAR equation 
to calculate L70 given the initial lumen output ``x0'', the 
test duration ``t'', and the final lumen output at the end of the test 
duration ``xt'' as inputs. DOE's equation is detailed below.
[GRAPHIC] [TIFF OMITTED] TP03JN14.011

L70 = Time to Reach 70% Lumen Maintenance
t = Test Duration
x0 = Initial Lumen Output
xt = Final Lumen Output at time ``t''

    DOE requests comment on the proposed equation for projecting the 
L70 lifetime of LED lamps.
    DOE proposes that lifetime claims be limited to no more than four 
times the test duration ``t.'' For example, if an LED lamp is tested 
for 6,000 hours and has a lumen maintenance value of 93.1 percent at 
that time, the L70 projection equation indicates that the 
L70 lifetime is about 30,000 hours. However, the maximum 
that could be reported based on the DOE proposal is only 24,000 hours 
(four times the testing time of 6,000 hours). For lumen maintenance 
values less than 70 percent, including lamp failures that result in 
complete loss of light output, the SNOPR proposes that lifetime must 
not be projected; instead, the lumen maintenance is equal to the 
previously recorded lumen output measurement at the test duration where 
the lumen maintenance is greater than or equal to 70 percent. DOE also 
recognizes that it is possible that the calculated lumen maintenance at 
time ``t'' could be greater than or equal to 100 percent. When this 
occurs, DOE proposes that lifetime claims be determined by the maximum 
projection limit. Due to the similarity of the DOE and ENERGY STAR 
lifetime test procedures, manufacturers may choose to utilize lumen 
maintenance measurements collected for the ENERGY STAR specification. 
However, measurements must adhere to DOE's electrical setting 
requirements proposed in section III.C.3.d and manufacturers must 
include all LED lamps within the 10 lamp sample in the reported results 
including lamp failures. DOE requests comments on its proposal to limit 
the maximum lifetime to four times the test duration with no minimum 
test duration.
    Finally, DOE also notes that a manufacturer can report the test 
duration as measured without applying the projection equation. This 
approach applies to two scenarios. In the first scenario, a 
manufacturer can test the lamp until it reaches 70 percent lumen 
maintenance and use that test duration as the lifetime of the lamp. 
This is equivalent to using the projection equation, because the output 
of the projection equation would be the same as the test duration when 
lumen maintenance of 70 percent is reached. In the second scenario, a 
manufacturer can use the test duration associated with a lumen 
maintenance greater than 70 percent. This scenario is equivalent to a 
manufacturer using the projection equation, but electing to report a 
more conservative value for business reasons. Reporting of conservative 
values is permitted and is also discussed in section III.F.3.

E. Proposed Approach for Standby Mode Power

    EPCA section 325(gg)(2)(A) in part directs DOE to establish test 
procedures to include standby mode, ``taking into consideration the 
most current versions of Standards 62301 and 62087 of the International 
Electrotechnical Commission . . .'' (42 U.S.C. 6295(gg)(2)(A)) IEC 
Standard 62087 applies only to audio, video, and related equipment, but 
not to lighting equipment. Thus, IEC Standard 62087 does not apply to 
this rulemaking, so DOE developed this SNOPR consistent with procedures 
outlined in IEC Standard 62301, which applies generally to household 
electrical appliances. However, to (1) develop a test method that would 
be familiar to LED lamp manufacturers and (2) maintain consistent 
requirements to the active mode test procedure, DOE referenced language 
and methodologies presented in IES LM-79-2008 for test conditions and 
test setup requirements.
    A standby mode power measurement is an input power measurement made 
while the LED lamp is connected to the main power source, but not 
generating light (active mode). All test condition and test setup 
requirements used for active mode measurements (e.g., input power) (see 
sections III.C.2 and III.C.3) also apply to standby mode power 
measurements. Once the test conditions and setup have been implemented, 
the LED lamp should be seasoned and stabilized in accordance with the 
requirements in sections III.C.4.a and III.C.4.b of this SNOPR. After 
the lamp has stabilized, the technician should send a signal to the LED 
lamp instructing it to enter standby mode (which is defined as 
providing zero light output). Standby power is then measured in 
accordance with section 5 of IEC 62301.

F. Basic Model, Sampling Plan, and Reported Value

1. Basic Model
    In this SNOPR, DOE proposes amendments to the term ``basic model'' 
to include LED lamps. ``Basic model'' is currently defined (with some 
exceptions) to mean all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer, having the same 
primary energy source, and which have essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency; and with respect to general service fluorescent lamps, 
general service incandescent lamps, and reflector lamps: Lamps that 
have essentially identical light output and electrical 
characteristics--including lumens per

[[Page 32036]]

watt (lm/W) and color rendering index (CRI). 10 CFR 430.2
    DOE proposes to add a specification for LED lamps in the definition 
of basic model in order to provide further guidance on the electrical, 
physical, and functional characteristics that constitute a basic model. 
Specifically, DOE proposes that a basic model for an integrated LED 
lamp should represent lamps that have essentially identical light 
output and electrical characteristics including lumens per watt, CRI, 
CCT, and lifetime. Because these are the general characteristics by 
which manufacturers identify their lamps in catalogs and marketing 
material, DOE believes these parameters should be used to group lamps 
of the same type.
    DOE proposes to qualify the term ``basic model'' in 10 CFR 430.2 
for LED lamps as lamps that have essentially identical light output and 
electrical characteristics--including lumens per watt (lm/W), color 
rendering index (CRI), correlated color temperature (CCT), and 
lifetime.
    DOE requests comments on the revision to the definition of ``basic 
model'' to address LED lamps.
2. Sampling Plan
    In the NOPR, DOE proposed a sampling plan for LED lamps to 
determine input power, lumen output, and CCT, and a separate sampling 
plan for LED sources to determine lifetime. DOE proposed testing a 
minimum of 21 LED lamps to determine the input power, lumen output, and 
CCT. DOE proposed that manufacturers select a minimum of three lamps 
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 must be selected for each month that production occurs, 
distributed 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 must be multiples of three so that an equal number of lamps 
were tested in each orientation (based on the lamp orientation 
requirements in the NOPR). 77 FR at 21049 (April 9, 2012)
    To determine the lifetime of LED lamps, DOE proposed in the NOPR 
that the sample size for testing LED sources be as specified in section 
4.2 of IES TM-21-2011. The IES TM-21-2011 industry standard requires a 
minimum of ten units to be tested, but recommends a sample set of 20 
units for projecting the lifetime of the LED sources. The method of 
projection specified in IES TM-21-2011 cannot be used for less than ten 
units. 77 FR at 21049
    Regarding the sampling plan proposal for lumen output, CCT, and 
wattage testing, NEMA and P.R. China commented that the sampling plan 
should be based on the ENERGY STAR specification for integral LED 
lamps, which requires a sample size of 10: five base-up and five base-
down. (NEMA, Public Meeting Transcript, No. 7 at p. 49; NEMA, No. 16 at 
p. 8; P.R. China, No. 12 at pp. 4-5) In addition, ENERGY STAR has no 
requirements for how lamps are selected for testing. NEMA opposed 
gathering product samples over the course of a year because the 
associated time to gather and test samples is much greater than a year. 
(NEMA, No. 16 at p. 8) NEMA recommended that DOE not copy the sampling 
requirements from other lighting technology rules. (NEMA, No. 16 at p. 
9) In addition, NEMA, Cree, OSI, and South Korea commented that solid-
state lighting is still an emerging technology and requiring large test 
samples and long testing time will significantly delay market 
introduction. (NEMA, Public Meeting Transcript, No. 7 at p. 51; Cree, 
Public Meeting Transcript, No. 7 at p. 52; OSI, Public Meeting 
Transcript, No. 7 at p. 53; South Korea, No. 17 at pp. 2-3) Philips 
added that LED lamp designs are evolving rapidly and often product 
models are produced for less than a year before they are replaced by 
more efficient designs. (Philips, Public Meeting Transcript, No. 7 at 
p. 53) Lutron and Cree also commented that it is very important that 
the LED lamp test procedure comply with FTC labeling requirements, 
which allow for provisional labeling prior to completing all testing. 
(Lutron, Public Meeting Transcript, No. 7 at pp. 51-52; Cree, Public 
Meeting Transcript, No. 7 at p. 52) Alternatively, GE suggested that 
DOE could retain the 21 lamp sample size, remove the requirement to 
collect products for testing over the course of a year, and only test 
product samples from initial production. (GE, Public Meeting 
Transcript, No. 7 at pp. 52-53) Radcliffe Advisors commented that a 21 
lamp sample size is small and does not have a rational basis. They 
recommended that DOE give consideration to the relationship between 
accuracy and the choice of sample size. (Radcliffe Advisors, No. 13 at 
p. 1)
    In reference to the sampling plan for determining the lifetime of 
LED lamps, NEMA agreed with DOE's summary of IES TM-21-2011 stating 
that it recommends a minimum of 20 LED sources be used during IES LM-
80-2008 testing to allow for lifetime projections of up to 36,000 
hours. IES TM-21-2011 allows fewer LED sources to be used, but reduces 
the maximum projection value to 25,000 hours. (NEMA, Public Meeting 
Transcript, No. 7 at pp. 113-114) An Anonymous commenter suggested 
allowing manufacturers to exclude from the overall average one unit 
that fails during lifetime testing. (Anonymous, No. 8 at p. 1)
    In this SNOPR, DOE proposes a new test procedure for lifetime that 
measures the performance of an LED lamp and not its subcomponents 
(i.e., the LED source). Therefore, DOE determined it did not need 
different sampling requirements for lifetime relative to the non-
lifetime metrics. These sampling requirements proposed in the SNOPR for 
all metrics are described below.
    In order to address concerns regarding the sample size requirements 
in the NOPR proposal, DOE collected photometric test data from two 
sources, the first data set was provided by ENERGY STAR, and the second 
from a collaborative effort between PG&E, CLASP, and CLTC (see supra 
note 20). These test data, combined, represent 10 samples of 47 
different LED lamp products each. Statistical analysis of the LED lamp 
test data indicates that a minimum sample size of 10 lamps is 
appropriate to estimate the average input power, initial lumen output, 
efficacy, CCT, and CRI given the variation present in the data set. 
Standby mode power is assumed to vary to the same degree as input power 
(active mode). In addition, 37 LED lamps from the data set were tested 
for lumen output after 3,000 hours of operation. DOE used this data to 
help determine the sample size required for estimating the lifetime of 
the LED lamp. Analysis of the test data revealed that a minimum sample 
size of 10 should also be sufficient to estimate lumen output for the 
LED lamp after an elapsed operating time. In addition, requiring a 
minimum sample size of 10 LED lamps aligns with ENERGY STAR's sampling 
procedure. Therefore, the SNOPR proposes testing a minimum of 10 LED 
lamps to determine the input power, lumen output, efficacy, CCT, CRI, 
lifetime, and standby mode power. DOE also proposes that all LED lamps 
within the sample, including those that fail prematurely, be included 
in the reported results for input power, lumen output, efficacy, CCT, 
CRI, lifetime, and standby mode power. DOE's view is that LED lamp 
failure should not be exempt from reporting, because this would 
potentially mislead consumers, particularly with respect to lamp 
lifetime. Furthermore, DOE proposes

[[Page 32037]]

that no selection process be required for the LED lamp test procedure. 
Lamps for testing can be selected at any time from production units. 
DOE invites interested parties to comment on the appropriateness of 
adopting a minimum sample size of 10 LED lamps for input power, lumen 
output, efficacy, CCT, CRI, lifetime, and standby mode power.
3. Reported Value
    As in the NOPR (77 FR at 21049), DOE proposes that the CCT of the 
units be averaged and that average be rounded as specified in section 
III.G. The average CCT is calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TP03JN14.012

and, x is the sample mean; n is the number of units; and xi 
is the i\th\ unit.

    The LED lamp test data provided by ENERGY STAR as well as PG&E, 
CLASP, and CLTC (see supra note 20) indicates variability within a 
sample for measured lumen output, both at the initial lumen output 
reading and after an elapsed operating time. Therefore, DOE proposes 
that the reported value of lumen output as well as the reported value 
of lifetime be equal to the lower of the average lumen output of the 
sample set and the lower 99 percent confidence limit (LCL) of the 
sample mean divided by 0.97.\41\ Additionally, the LED lamp test data 
indicates that variability in the CRI and efficacy should be expected 
within a sample. Therefore, DOE proposes that the reported value of CRI 
be equal to the lower of the average CRI of the sample set and the 
lower 99 percent confidence limit of the sample mean divided by 0.99, 
and that the reported value of efficacy be equal to the lower of the 
average efficacy of the sample set and the lower 99 percent confidence 
limit of the sample mean divided by 0.98.\42\ DOE proposes the 
following equation to calculate LCL for lumen output, lifetime, CRI, 
and efficacy:
---------------------------------------------------------------------------

    \41\ Based on the collected LED lamp test data, provided by 
ENERGY STAR as well as PG&E, CLASP, and CLTC, DOE expects that the 
variability for measured lumen output is within a margin of 3 
percent. Thus, DOE proposes to divide the LCL value by 0.97 to 
adjust for this expected variation. For example, if the mean lumen 
output of 10 LED lamp units is 100 lumens with a standard deviation 
of three, the LCL value will be three percent lower than the mean, 
and dividing by 0.97 would result in a value that is equal to the 
lumen output mean of 100 lumens. In this case, the LCL divided by 
0.97 is equal to the sample mean, and 100 lumens would be reported. 
If the variation within a sample set exceeds DOE's expectation, the 
sample set would have a smaller LCL, such that a value less than 100 
lumens would be reported.
    \42\ Based on the collected LED lamp test data, provided by 
ENERGY STAR as well as PG&E, CLASP, and CLTC, DOE expects that 
variability for CRI is within a margin of 1 percent and for efficacy 
is within a margin of 2 percent. Thus, DOE proposes to divide the 
LCL value for CRI by 0.99 and the LCL value for efficacy by 0.98 to 
adjust for this expected variation.
[GRAPHIC] [TIFF OMITTED] TP03JN14.013

where, x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.99 is the t statistic for a 99 
percent one-tailed confidence interval with n - 1 degrees of freedom.
    Similarly, the LED lamp test data provided by ENERGY STAR as well 
as PG&E, CLASP, and CLTC (see supra note 20) indicates variability 
within a sample for measured input power. Therefore, DOE proposes that 
the reported value of input power and standby mode power be equal to 
the greater of the average lumen output of the sample set and the upper 
99 percent confidence limit (UCL) of the sample mean divided by 
1.01.\43\ DOE proposes the following equation to calculate UCL:
---------------------------------------------------------------------------

    \43\ Based on the collected LED lamp test data, provided by 
ENERGY STAR as well as PG&E, CLASP, and CLTC, DOE expects that the 
variability for measured input power is within a margin of 1 
percent. Thus, DOE proposes to divide the UCL value by 1.01 to 
adjust for this expected variation.
[GRAPHIC] [TIFF OMITTED] TP03JN14.014

where, x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.99 is the t statistic for a 99 
percent one-tailed confidence interval with n - 1 degrees of freedom.
    The proposed reported value requirements for lumen output, input 
power, CRI, lamp efficacy, lifetime, and standby mode power represent 
the ``best'' value that manufacturers may report. For lumen output, 
CRI, lamp efficacy, and lifetime, the reported value may be rounded to 
a lower value. For input power and standby mode power, the reported 
value may be rounded to higher values. CCT must be reported as 
calculated, as the concept of a conservative value does not apply to 
these metrics. If conservative rounding is used, manufacturers must 
report the conservatively rounded value to DOE so that values reported 
to DOE match those used in all representations.
    DOE invites interested parties to comment on the proposed reported 
value requirements.

G. Rounding Requirements

    In the SNOPR, DOE proposes rounding requirements for determining 
lumen output, input power, efficacy, CCT, CRI, estimated annual energy 
cost, lifetime, and standby mode power. Each of these is discussed in 
the following sections.
1. Lumen Output
    In the NOPR, DOE proposed that the lumen output of all units be 
averaged and the value be rounded to the nearest tens digit. 77 FR at 
21044 NEMA, OSI, and Cooper Lighting indicated that tight tolerances on 
rounding requirements are undesirable. (NEMA, No. 16 at p. 4; OSI, 
Public Meeting Transcript, No. 7 at pp. 55-56; Cooper, Public Meeting 
Transcript, No. 7 at p. 56) NEMA commented that this will only set up 
unrealistic expectations of accuracy and repeatability. (NEMA, No. 16 
at p. 4) In their written comment, NEMA suggested that for lumen output 
DOE round values of 0-499 to the nearest five lumens, 500-999 to the 
nearest ten lumens, and 1000-9999 lumens to three significant digits. 
If the lumen output is greater than or equal to 10,000, NEMA 
recommended that DOE round to two significant digits. (NEMA, No. 16 at 
p. 4) ASAP offered another solution, suggesting that DOE determine 
appropriate rounding requirements based on the resolution of the test 
measurement. (ASAP, Public Meeting Transcript, No. 7 at p. 56)
    DOE agrees that rounding requirements should reflect realistic 
expectations of accuracy and repeatability. Based on a review of 
commercially available LED lamp products as well as testing equipment 
measurement capabilities, DOE determined that three significant figures 
is an achievable level of accuracy for LED lamps. Therefore, for this 
SNOPR, DOE proposes rounding of three significant figures \44\ so that 
lumen outputs of all sizes are provided a similar level of specificity.
---------------------------------------------------------------------------

    \44\ If the number 3,563 is rounded to three significant digits 
it becomes 3,560--with the 3, 5, and 6 being the significant digits.
---------------------------------------------------------------------------

2. Input Power
    In the NOPR, DOE proposed that the input power of all test units be 
averaged and the average value be rounded to the nearest tenths digit. 
77 FR at 21044 NEMA agreed that this is acceptable. (NEMA, No. 16 at p. 
4) In the SNOPR, DOE maintains its proposal for the rounding 
requirements for input power.

[[Page 32038]]

3. Lamp Efficacy
    In the SNOPR, DOE proposes that the efficacy of LED lamps be 
rounded to the nearest tenth as this is consistent with rounding for 
other lighting technologies and is achievable with today's equipment.
4. Correlated Color Temperature
    In the NOPR, DOE proposed that the CCT of all units be averaged and 
the value be rounded to the tens digit. 77 FR at 21044 However, NEMA 
argued that most consumers can only distinguish lamp color temperature 
variations on the order of 100 K. Therefore, NEMA suggested that any 
CCT rating be rounded to the nearest hundreds digit. They stated that 
DOE's proposal of rounding CCT values to the nearest tens digit would 
cause undue consumer confusion when comparing products. (NEMA, No. 16 
at p. 4)
    In rulemakings for other lamp types, DOE established CCT rounding 
requirements to the nearest tens place based on the precision of the 
test procedure. In a rulemaking for general service fluorescent lamps, 
DOE consulted with NIST and concluded that, because all laboratories 
are able to measure CCT to three significant figures (a typical value 
is four digits), DOE should require manufacturers to round CCT to the 
nearest ten kelvin. 74 FR 31829, 31835 (July 6, 2009). In this SNOPR, 
DOE continues this requirement and proposes rounding to the nearest 
tens digit for measurements of individual lamp units.
    However, DOE also recognizes NEMA's comment that consumers may not 
be able to distinguish changes in CCT as small as 10 K. By using CCT 
values rounded to the nearest 10 K, consumers could be confused, since 
products with different CCT values may not have a perceptible 
difference in appearance. DOE does not have data or market studies 
quantifying the smallest difference in CCT that can be perceived by 
consumers, but welcomes comment on this topic. DOE has observed that 
the vast majority of CCT values provided in LED product literature are 
rounded to the nearest hundreds place. DOE proposes to round the 
reported value (i.e., certified or rated value) of the entire sample 
(all lamp units collectively) to the nearest hundreds place to avoid 
consumer confusion around any representations of CCT. DOE seeks comment 
on this proposal.
5. Color Rendering Index
    In the SNOPR, DOE proposes that the CRI of LED lamps be rounded to 
the nearest whole number as this is consistent with rounding for other 
lighting technologies.
6. Annual Energy Cost
    Consistent with FTC's final rule that established the Lighting 
Facts label (75 FR 41702 (July 19, 2010)), in the NOPR DOE proposed 
calculating the estimated annual energy cost for LED lamps, expressed 
in dollars per year, 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. 77 FR at 21044 DOE proposed that the estimated annual 
energy cost be rounded to the nearest cent because the cost of 
electricity is specified to the nearest cent.
    Although NEMA pointed out that the usage patterns and associated 
hours used in the NOPR do not agree with DOE's 2010 U.S. Lighting 
Market Characterization,\45\ NEMA agreed with DOE's proposed formula to 
calculate annual energy cost and the associated rounding to the nearest 
cent. (NEMA, No. 16 at p. 4) For consistency with FTC's calculations 
for other lamp types, DOE proposes to maintain the rounding 
requirements for estimated annual energy cost.
---------------------------------------------------------------------------

    \45\ Navigant Consulting, Inc., ``2010 U.S. Lighting Market 
Characterization'' Prepared for the DOE Solid-State Lighting 
Program, January, 2012. http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/2010-lmc-final-jan-2012.pdf.
---------------------------------------------------------------------------

7. Lifetime
    In the SNOPR, DOE proposes that lifetime be rounded to the nearest 
whole hour. This is consistent with the unit of time used for lifetime 
metrics for other lamp technologies and is a level of accuracy a 
laboratory is capable of measuring with a standard time-keeping device.
8. Life
    In the NOPR, DOE proposed that the life of LED lamps be calculated 
in terms of years based on three hours per day of operation. 77 FR at 
21048 This is consistent with the FTC Lighting Facts label requirements 
for other lamp technologies. DOE also proposed that the resulting value 
be rounded to the nearest tenth of a year. Cooper Lighting recommended 
that DOE consider rounding to two significant digits rather than to 
tenths of a year to better capture the range in product lifetimes 
across the different lighting technologies. (Cooper, Public Meeting 
Transcript, No. 7 at p. 109) NEMA stated that tight rounding tolerances 
only set up unrealistic expectations for the performance of LED lamps 
and indicated that rounding the lifetime to the nearest tenth of a year 
can be confusing to customers if they do not realize that the lifetime 
values are based on three hours of use per day. (NEMA, No. 16 at p. 4, 
8) Furthermore, both NEMA and the CA IOUs argued that lifetime be 
reported in hours, because year-ratings are confusing to consumers, who 
might assume a calendar lifetime rather than a lifetime based on hourly 
use. (NEMA, No. 16 at p. 8; CA IOUs, No. 19 at p. 4) DOE proposes to 
retain the rounding requirements provided in the NOPR which states that 
the life of LED lamps be calculated in terms of years based on three 
hours per day of operation and that the resulting value be rounded to 
the nearest tenth of a year. As stated previously, this is consistent 
with the FTC Lighting Facts label requirements for other lamp 
technologies. FTC determines how the prescribed metrics appear on its 
Lighting Facts label, as well as the overall format of the label. 
Interested parties may contact FTC for concerns regarding the Lighting 
Facts label.
9. Standby Mode Power
    In the SNOPR, DOE proposes rounding standby mode power to the 
nearest tenths place, consistent with its proposal for rounding input 
power for active mode in section III.G.2.

H. Acceptable Methods for Initial Certification or Labeling

    Because testing for lifetime could require six months or more from 
start to finish, DOE anticipates the potential need for initial 
certification requirements (such as those currently provided in 10 CFR 
429.12(e)(2)) or early or interim labeling requirements. Any initial 
certification requirements, if adopted, would be established by the 
ongoing general service lamp energy conservation standard rulemaking. 
See 78 FR 73737 (Dec. 9, 2013) Early labeling requirements, if adopted, 
would be established by FTC. However, to support these potential needs, 
DOE considered acceptable methods for use with initial certification or 
labeling.
    Test methods with shorter overall start to finish time requirements 
are not available for measuring or projecting lifetime. Therefore, 
initial certification and labeling is best substantiated by comparisons 
to similarly designed lamps produced by the same manufacturer. A future 
rulemaking addressing standards for LED lamps could require 
manufacturers to provide a description of why the comparison to another 
lamp is valid, including a description of the expected impact of design 
differences on lifetime (if any).

[[Page 32039]]

DOE requests comment on the notion of early certification and labeling, 
and the acceptable methods for substantiating those claims.

I. Laboratory Accreditation

    In the NOPR, DOE did not require testing LED lamps by an accredited 
laboratory. DOE received several comments during the May 2012 public 
meeting as well as written comment submissions inquiring whether DOE 
plans to require using accredited laboratory facilities.
    Cree commented that DOE should consider requiring certification of 
laboratories that are performing these tests as this is a requirement 
for the ENERGY STAR program. (Cree, Public Meeting Transcript, No. 7 at 
p. 57) OSI clarified that DOE should consider laboratory accreditation, 
and not a certification program. Accreditation is the process by which 
an authoritative third party gives formal recognition that a body or 
person is competent to carry out specific testing. Certification is a 
procedure by which a third party gives written assurance (certificate 
of conformity) that a product, process, or service conforms to 
specified requirements. (OSI, Public Meeting Transcript, No. 7 at pp. 
60-61) NIST commented that laboratories are accredited for industry 
standards. If testing in accredited laboratories is required for the 
DOE's LED test procedure, this could confuse clients expecting industry 
standards to be followed without modification. (NIST, Public Meeting 
Transcript, No. 7 at p. 104) South Korea requested that in the final 
rule DOE detail its certification procedures, its requirements for 
testing laboratories, its designation process for testing laboratories, 
and future prospects concerning these matters. (South Korea, No. 17 at 
p. 4) Finally, Samsung suggested that DOE accept testing by existing 
laboratories that have received accreditation from the International 
Laboratory Accreditation Cooperation (ILAC). They argued that the ILAC 
promotes international acceptance of test results and inspection 
reports. (Samsung, No. 14 at p. 2)
    Regarding the National Voluntary Laboratory Accreditation Program 
(NVLAP) accreditation, DOE proposes in the SNOPR to require lumen 
output, input power, lamp efficacy, CCT, CRI, lifetime, and standby 
mode power (if applicable) testing be conducted by test laboratories 
accredited by NVLAP or an accrediting organization recognized by ILAC. 
NVLAP is a member of the ILAC organization, so test data collected by 
any laboratory accredited by an accrediting body recognized by ILAC 
would be acceptable. DOE requests comment on its proposal to require 
accreditation by NVLAP or an entity recognized by ILAC, and on the 
costs and benefits associated with such a requirement.
    The FTC has developed a Lighting Facts Label to help inform 
consumers about the efficiency and performance attributes of general 
service lamp products. The label became effective January 1, 2012, and 
requires that a lamp's lumen output, energy cost, lifetime, CCT and 
wattage appear on the product packaging. Concerns regarding the FTC 
Lighting Facts Label requirements were raised at the May 2012 NOPR 
public meeting and in several comment submissions. These comments 
pertained to the physical appearance and content displayed on the FTC 
Lighting Facts Label, the time it would take for FTC to certify LED 
lamp testing results, and whether using lumen maintenance as a proxy 
for lifetime could confuse or mislead consumers. The comments received 
are highlighted below:
     OSI commented that FTC needs to take into account that 
product information on small packages is often printed too small, 
making the information illegible and/or difficult to identify. (OSI, 
Public Meeting Transcript, No. 7 at p. 81)
     An Anonymous commenter asked for DOE to indicate how long 
it would take FTC to certify the results and grant permission to 
advertise the lifetime values required for the FTC Lighting Facts 
label. (Anonymous, No. 8 at p. 1)
     NEMA, Radcliffe Advisors, OSI, Cooper Lighting, NEEA, the 
Joint Comment, and the CA IOUs commented that the proposed definition 
of lifetime would not be directly comparable to other general service 
lamp products, which could mislead or confuse consumers. (NEMA, Public 
Meeting Transcript, No. 7 at pp. 76-77; NEMA, No. 16 at p. 2; Radcliffe 
Advisors, No. 13 at p. 1; OSI, Public Meeting Transcript, No. 7 at pp. 
74-75; Cooper Lighting, Public Meeting Transcript, No. 7 at p. 77; 
NEEA, No. 20 at p. 2; Joint Comment, No. 18 at pp. 1-2; CA IOUs, No. 19 
at p. 4) Cree, Radcliffe Advisors, and the CA IOUs recommend that for 
LED lamps, FTC consider changing its label to ``lumen maintenance'' 
rather than ``lifetime,'' or not provide a lifetime value at all. 
(Cree, Public Meeting Transcript, No. 7 at p. 66, 67; Radcliffe 
Advisors, No. 13 at p. 1; CA IOUs, No. 19 at p. 4, 5) OSI pointed out 
that the FTC Lighting Facts label provides the opportunity to educate 
consumers on the meaning of lumen maintenance and how this differs from 
metrics used to define lifetime for other lighting products. (OSI, 
Public Meeting Transcript, No. 7 at pp. 74-75)
    DOE recognizes these concerns about the FTC Lighting Facts label. 
However, DOE does not have authority over how to display metrics on the 
FTC Lighting Facts label or the format of the label. Interested parties 
may contact FTC about these issues.

J. State Preemption for Efficiency Metrics

    In the NOPR, DOE proposed test procedures for measuring lumen 
output and input power, and also specified testing dimmable lamps at 
full light output. 77 FR 21028 (April 9, 2012) Only those metrics 
required for the FTC Lighting Facts label were included in the NOPR 
test procedure. The FTC Lighting Facts label does not require reporting 
of metrics such as power factor, total harmonic distortion (THD), and 
dimming; therefore none were included in the NOPR test procedure for 
LED lamps. However, commenters noted that these metrics may appear in 
state mandates in the future, and therefore recommended they be 
included in DOE's test procedure for LED lamps in order to avoid state 
preemption.
    The CA IOUs commented that DOE not preempt California from 
developing test procedures for other performance metrics such as 
efficacy, power factor, THD, and dimming. The CA IOUs commented that 
including in DOE's proposal test methods for power factor, THD, and 
dimming would likely require significant additional time and industry 
coordination. They asked that DOE specifically identify these metrics 
and procedures as exempt from preemption. (CA IOUs, No. 19 at p. 2, 3)
    Representations about the energy consumption of an LED lamp must 
fairly disclose the results of testing in accordance with the DOE test 
procedure. See 42 U.S.C. 6293(c). The DOE test procedure for LED lamps 
will preempt any state regulation regarding the testing of the energy 
efficiency of LED lamps. See 42 U.S.C. 6297(a)(1). States that have 
regulations mandating efficiency standards for LED lamps must therefore 
use the DOE test procedure when providing for the disclosure of 
information with respect to any measure of LED lamp energy consumption. 
To support the general service lamp rulemaking, DOE proposes to define 
a calculation for the efficacy of an LED lamp as measured initial lamp 
lumen output in lumens divided by measured lamp input power in watts. 
See section III.C.4.d for details regarding the calculation for 
efficacy of an LED lamp.

[[Page 32040]]

K. Effective and Compliance Date

    If adopted, the effective date for this test procedure would be 30 
days after publication of the test procedure final rule in the Federal 
Register. Pursuant to EPCA, manufacturers of covered products must use 
the applicable test procedure as the basis for determining that their 
products comply with the applicable energy conservation standards 
adopted pursuant to EPCA and for making representations about the 
efficiency of those products. (42 U.S.C. 6293(c); 42 U.S.C. 6295(s)) 
For those energy efficiency or consumption metrics covered by the DOE 
test procedures, manufacturers must make representations in accordance 
with the DOE test procedure methodology and sampling plan beginning 180 
days after publication of the final rule in the Federal Register.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (OMB) has determined that test 
procedure rulemakings do not constitute ``significant regulatory 
actions'' under section 3(f) of Executive Order 12866, Regulatory 
Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this 
action was not subject to review under the Executive Order by the 
Office of Information and Regulatory Affairs (OIRA) in the Office of 
Management and Budget.

B. Review under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IRFA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site: http://energy.gov/gc/office-general-counsel.
    DOE reviewed the test procedures considered in this SNOPR under the 
provisions of the Regulatory Flexibility Act (RFA) and the policies and 
procedures published on February 19, 2003. As discussed in more detail 
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 
associated with this new testing requirement. While examining this 
issue, DOE determined that it could not certify that the proposed rule, 
if promulgated, would not have a significant impact on a substantial 
number of small entities. Therefore, DOE has prepared an IRFA for this 
rulemaking. The IRFA describes the potential impacts on small 
businesses associated with LED lamp testing 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. Estimated Small Business Burden
    SBA has set a size threshold for electric lamp manufacturers to 
describe those entities that are classified as ``small businesses'' for 
the purposes of the RFA. DOE used the SBA's small business size 
standards to determine whether any small manufacturers of LED lamps 
would be subject to the requirements of the rule. 65 FR 30836, 30849 
(May 15, 2000), as amended at 65 FR 53533, 53545 (Sept. 5, 2000) and 
codified at 13 CFR part 121. The size standards are listed by North 
American Industry Classification System (NAICS) code and industry 
description and are available at www.sba.gov/sites/default/files/Size_Standards_Table.pdf. LED lamp manufacturing is classified under NAICS 
335110, ``Electric Lamp Bulb and Part Manufacturing.'' The SBA sets a 
threshold of 1,000 employees or less for an entity to be considered as 
a small business for this category.
    In the NOPR, DOE identified 17 potential small businesses that 
manufacture LED lamps. In total, DOE estimated that the use of the NOPR 
test method for determining light output, input power, and CCT would 
result in testing-related labor costs of $57,000 for each of the 
identified small businesses. In addition, DOE estimated that the test 
method described in the NOPR for determining lifetime would result in 
related labor costs of $11,000 for each manufacturer. Finally, in the 
NOPR, DOE estimated initial setup costs of $12,000. DOE also indicated 
that the setup cost would be a one-time cost to manufacturers and that 
the labor costs to perform testing would be smaller than $68,000 after 
the first year of testing. 77 FR at 21050-1 (April 9, 2012)
    OSI indicated that they believe the number of impacted small 
businesses is greater than DOE's estimate of 17 and speculated that the 
actual number could be between two and ten times greater. (OSI, Public 
Meeting Transcript, No. 7 at pp. 117-118) NEMA suggested that DOE 
contact Jim Brodrick, Program Manager of the U.S. DOE SSL program, to 
help determine a better estimate for the total number of small 
businesses that will likely be affected by implementing this test 
procedure. (NEMA, Public Meeting Transcript, No. 7 at p. 119)
    For this SNOPR, DOE reexamined the number of small businesses that 
will potentially be affected by the LED lamps test procedure. This 
reevaluation indicated that the test procedure requirements proposed in 
this SNOPR will apply to about 41 small business manufacturers of LED 
lamps. DOE compiled this revised list of manufacturers by reviewing the 
DOE LED Lighting Facts label list of partner manufacturers,\46\ the SBA 
database, ENERGY STAR's list of qualified products,\47\ and performing 
a general search for LED manufacturers. DOE determined which companies 
manufacture LED lamps by reviewing company Web sites, the SBA Web site 
when applicable, calling companies directly, and/or reviewing the 
Hoovers Inc. company profile database. Through this revised process, 
DOE identified 41 small businesses that manufacture LED lamps. DOE was 
also able to collect annual revenue estimates for several of the small 
business LED lamp manufacturers using the Hoovers.com company profile 
database. DOE determined that the median revenue of the identified 
small business manufacturers is $890,000.\48\ DOE requests comment on 
the estimated number of small businesses that would be impacted by the 
proposed rulemaking.
---------------------------------------------------------------------------

    \46\ DOE LED Lighting Facts Partner List, http://www.lightingfacts.com/Partners/Manufacturer.
    \47\ ENERGY STAR Qualified Lamps Product List, http://downloads.energystar.gov/bi/qplist/Lamps_Qualified_Product_List.xls?dee3-e997.
    \48\ According to Hoovers.com, there are some small business LED 
lamp manufacturers with revenue as little as $120,000 per year.
---------------------------------------------------------------------------

    DOE also received several comments about the estimate of testing 
burden. GE, Feit, and OSI expressed concern that DOE was 
underestimating the cost burden to small manufacturers because the 
costs associated with NOPR Approach 4 for lifetime testing would be 
significant if IES LM-80-2008 data were unavailable. (GE, Public 
Meeting Transcript, No. 7 at p. 117; Feit, Public Meeting Transcript, 
No. 7 at p. 120; OSI,

[[Page 32041]]

Public Meeting Transcript, No. 7 at p. 117) ICF International commented 
that DOE's estimate for the cost of initial setup was low. ICF 
International estimated that if a manufacturer were to purchase all 
required testing equipment, train personnel to operate it, and then go 
through the accreditation process, it could cost more than $100,000. 
(ICF International, Public Meeting Transcript, No. 7 at p. 119, 120) 
Cree and Intertek also commented that instrumentation costs could be 
significant, pointing out that a Type C goniophotometer could cost as 
much as $200,000 and that a two meter integrating sphere with 
accessories could cost about $60,000. (Cree, Public Meeting Transcript, 
No. 7 at p. 120; Intertek, Public Meeting Transcript, No. 7 at pp. 121-
122) In addition to instrumentation costs, an anonymous commenter also 
indicated that the cost of storing inventory during lifetime testing 
would be significant and should be included in the cost burden 
estimate. (Anonymous, No. 8 at p. 1) When estimating the burden to 
small manufacturers, NEMA suggested that DOE also include FICA taxes, 
unemployment taxes, workman's compensation, health care insurance, 
holiday and vacation time, and retirement benefits in addition to the 
office, laboratory, equipment, and other overhead costs for the 
engineers and their support staff. (NEMA, No. 16 at p. 8) Finally, GE 
commented that it would be unlikely that small business manufacturers 
would want to set up an accredited laboratory for testing. They 
speculated that small manufacturers would likely send their LED lamps 
out for third party testing. (GE, Public Meeting Transcript, No. 7 at 
p. 115)
    In the NOPR, DOE determined that the labor rate to create the 
initial setup and conduct the testing for input power, lumen output, 
CCT, and lifetime of LED lamps would be $39.79 per hour.\49\ 77 FR at 
21050 However, in its analysis for the SNOPR, DOE determined that an 
electrical engineer is likely over qualified, and would not be hired by 
manufacturers to conduct these required tasks. DOE's view is that an 
electrical engineering technician is a better representation of the 
personnel likely to perform the initial setup and required tests for 
LED lamps. DOE estimated that the wages for an electrical engineering 
technician are $24.18 per hour.\49\ This cost is only representative of 
the hourly billing rate for an electrical engineering technician and 
does not include any other compensation costs. DOE estimated that 
providing additional benefits \50\ would add 31 percent \51\ to the 
overall cost to the manufacturer, increasing the cost of employing an 
electrical engineering technician to $31.68 per hour. For the SNOPR, 
DOE also applied this labor rate to measurement of standby mode power.
---------------------------------------------------------------------------

    \49\ 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.
    \50\ Additional benefits include; paid leave, supplemental pay, 
insurance, retirement and savings, Social Security, Medicare, 
unemployment insurance and workers compensation.
    \51\ Obtained from the Bureau of Labor Statistics (News Release: 
Employer Cost For Employee Compensation--December 2012, U.S. 
Department of Labor (December 2012), www.bls.gov/news.release/ecec.nr0.htm.
---------------------------------------------------------------------------

    DOE estimates that the labor costs associated with conducting the 
input power, lumen output, CCT, CRI, and standby mode power testing 
contribute to overall burden. However, DOE believes that calculating 
the efficacy of an LED lamp does not result in any incremental testing 
burden beyond the cost of carrying out lumen output and input power 
testing. DOE estimates that testing for input power, lumen output, CCT, 
CRI, and standby mode would require approximately four hours per lamp 
by an electrical engineering technician. DOE expects standby mode power 
testing to require a negligible incremental amount of time in addition 
to the time required for the other metrics. Therefore, DOE maintained 
its estimate of four hours per lamp used in the NOPR (77 FR at 21050) 
for testing for input power, lumen output, CCT, and CRI. DOE estimates 
about 41 small business manufacturers of LEDs would be impacted, each 
offering about 23 different basic models. In total, using the DOE test 
method to determine light output, input power, CCT, CRI, and standby 
mode power would result in an estimated incremental labor burden of 
$29,140 for each manufacturer. DOE expects that the majority of 
manufacturers are already testing for lumen output, input power, CCT, 
and CRI as these metrics are well established and required within the 
industry standard IES LM-79-2008. However, DOE's sample size, input 
power, and orientation settings may differ from those selected for a 
manufacturer's existing data. Therefore, DOE included the cost of 
carrying out these tests in its assessment of testing burden.
    In addition, DOE estimates that lifetime testing would also 
contribute to overall cost burden. The initial setup would require a 
custom-built rack to mount up to 120 lamps for testing, which may 
require up to 120 hours of labor to build. The cost for an electrical 
engineering technician to build such a rack would be approximately 
$3,800. Similar to the NOPR analysis, DOE estimated that the material 
cost to build a custom-built rack holding 120 sockets would be $3,600, 
and the power supply and regulator costs would be $4,000 and $1,500 
respectively. Therefore, the revised SNOPR estimate for the total cost 
to build one rack is approximately $12,900. DOE estimated that a total 
of two racks would be needed to hold about 23 different LED lamp 
models, each tested in sample sets of 10 lamps (a total of 230 LED 
lamps). Therefore, DOE estimates the total cost to build two test racks 
to be $25,800. However, DOE notes that LED lamp manufacturers may 
already have sufficient testing racks for their own internal uses and 
for FTC labeling requirement testing. 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. The labor cost for lifetime 
testing also contributes to overall burden. DOE estimates that the 
combination of monitoring the lamps during the test duration, measuring 
lumen maintenance, and calculating lifetime at the end of the test 
duration would require approximately four hours per lamp by an 
electrical engineering technician. This estimate does not include the 
initial lumen output measurement required for the lifetime test 
procedure, because the testing burden for that measurement is already 
included in the estimate for input power, lumen output, CCT, and CRI 
testing. DOE estimates about 41 small business manufacturers of LEDs, 
each offering about 23 different basic models, would be affected. In 
total, DOE expects that using this test method to determine lifetime 
would result in testing-related labor costs of $29,140 for each 
manufacturer.
    As discussed in section III.I, DOE is also proposing to require 
test facilities conducting LED lamp light output, input power, CCT, 
CRI, lifetime, and standby mode power (if applicable) testing to be 
NVLAP-accredited or accredited by an organization recognized by NVLAP. 
However, NVLAP imposes a variety of fees during the accreditation 
process including fixed administrative fees, variable assessment fees, 
and proficiency testing fees. If a laboratory already has NVLAP 
accreditation for other industry standards, there would be no

[[Page 32042]]

incremental administrative fees associated with the SNOPR proposal. 
However, if a laboratory does not already have NVLAP accreditation for 
other industry standards, there would be an administrative fee of 
$5,050 assessed annually. NVLAP also collects an assessment fee 
corresponding to the amount of time the assessor requires to complete 
evaluation of the laboratory. A laboratory seeking to expand its scope 
of accreditation to include IES LM-79-2008 as well as DOE's lifetime 
test procedure for LED lamps would most likely not experience an 
increase in cost. However, a laboratory with no existing NVLAP 
accreditations would likely require two full days of an assessor's time 
at the cost of $7,470 per assessment. Assessments are required during 
the initial accreditation, on the first anniversary (year 1), and then 
every other year following the first anniversary (year 3, 5, 7, etc.). 
Finally, every laboratory seeking accreditation to IES LM-79-2008 is 
required to participate in SSL proficiency testing. A $2,800 fee is 
involved with this proficiency testing.
    For each manufacturer producing 23 basic models, assuming testing 
instrumentation is already available, DOE's estimate of the first year 
NVLAP accreditation cost would be $15,320, initial setup cost would be 
$25,800, and the labor costs to carry out testing would be 
approximately $58,280. Therefore, in the first year, for manufacturers 
without testing racks or NVLAP accreditation who choose to test in-
house, DOE estimates a total cost burden of $99,400 or about $432 per 
LED lamp tested. 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 $58,280 after the first year because only 
new products or redesigned products would need to be tested. 
Alternatively, if a manufacturer opts to send lamps to a third-party 
test facility, DOE estimates testing of lumen output, input power, CCT, 
CRI, lifetime, and standby mode power to cost $500 per lamp. In total, 
the LED lamp test procedure would result in expected third party 
testing costs of $115,000 for each manufacturer of 23 basic models.
    DOE was able to collect annual revenue estimates for several of the 
small business LED lamp manufacturers using the Hoovers.com company 
profile database. DOE determined that the median revenue of the 
identified small business manufacturers is $890,000, therefore, initial 
testing costs would represent about 11.2 percent of revenue when 
completed in a manufacturer's own laboratory, and 12.9 percent when 
completed through a third-party test facility. As mentioned earlier, 
the setup cost would be a one-time cost to manufacturers, and the labor 
costs to perform testing would be smaller after the first year of 
testing. Furthermore, when amortized over subsequent years, testing 
costs would be significantly less. 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.
2. Duplication, Overlap, and Conflict With Other Rules and Regulations
    DOE is not aware of any rules or regulations that duplicate, 
overlap, or conflict with the proposed rule being considered today.
3. Significant Alternatives to the Proposed Rule
    DOE tentatively determined that there are no alternatives to the 
proposed test procedure, including test procedures that incorporate 
industry test standards other than the proposed standards. IES LM-79-
2008, the test procedure referenced in this SNOPR, is the most commonly 
used industry standard that provides instructions for the electrical 
and photometric measurement of LED lamps. DOE also reviewed the efforts 
of other working groups, as suggested by interested parties, but was 
unable to find any U.S. or international standard that provides a test 
procedure for measuring and/or projecting LED lamp lifetime. The only 
publicly available approach for measuring LED lamp lifetime is the 
ENERGY STAR Program Requirements for Lamps (Light Bulbs): Eligibility 
Criteria--Version 1.0 (see supra note 10).

C. Review Under the Paperwork Reduction Act of 1995

    DOE established regulations for the certification and recordkeeping 
requirements for certain covered consumer products and commercial 
equipment. 76 FR 12422 (March 7, 2011). The collection-of-information 
requirement for the certification and recordkeeping was subject to 
review and approval by OMB under the Paperwork Reduction Act (PRA). 
This requirement was approved by OMB under OMB Control Number 1910-
1400. 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.
    There is currently no information collection requirement related to 
certifying compliance for LED lamps. Notwithstanding any other 
provision of the law, no person is required to respond to, nor must any 
person be subject to a penalty for failure to comply with, a collection 
of information subject to the requirements of the PRA, unless that 
collection of information displays a currently valid OMB Control 
Number.

D. Review Under the National Environmental Policy Act of 1969

    In this proposed rule, DOE is proposing a test procedure for LED 
lamps that will be used to support the upcoming general service lamps 
energy conservation standard rulemaking as well as FTC's Lighting Facts 
labeling program. DOE has determined that this rule falls into a class 
of actions that are categorically excluded from review under the 
National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and 
DOE's implementing regulations at 10 CFR part 1021. Specifically, this 
proposed rule would adopt existing industry test procedures for LED 
lamps, so it would not affect the amount, quality or distribution of 
energy usage, and, therefore, would not result in any environmental 
impacts. Thus, this rulemaking is covered by Categorical Exclusion A5 
under 10 CFR part 1021, subpart D. Accordingly, neither an 
environmental assessment nor an environmental impact statement is 
required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have Federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have Federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined this proposed rule and has 
determined that it would not have a substantial direct effect on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various

[[Page 32043]]

levels of government. EPCA governs and prescribes Federal preemption of 
State regulations as to energy conservation for the products that are 
the subject of this proposed rule. States can petition DOE for 
exemption from such preemption to the extent, and based on criteria, 
set forth in EPCA. (42 U.S.C. 6297(d)) No further action is required by 
Executive Order 13132.

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal 
agencies the general duty to adhere to the following requirements: (1) 
eliminate drafting errors and ambiguity; (2) write regulations to 
minimize litigation; (3) provide a clear legal standard for affected 
conduct rather than a general standard; and (4) promote simplification 
and burden reduction. Section 3(b) of Executive Order 12988 
specifically requires that Executive agencies make every reasonable 
effort to ensure that the regulation: (1) clearly specifies the 
preemptive effect, if any; (2) clearly specifies any effect on existing 
Federal law or regulation; (3) provides a clear legal standard for 
affected conduct while promoting simplification and burden reduction; 
(4) specifies the retroactive effect, if any; (5) adequately defines 
key terms; and (6) addresses other important issues affecting clarity 
and general draftsmanship under any guidelines issued by the Attorney 
General. Section 3(c) of Executive Order 12988 requires Executive 
agencies to review regulations in light of applicable standards in 
sections 3(a) and 3(b) to determine whether they are met or it is 
unreasonable to meet one or more of them. DOE has completed the 
required review and determined that, to the extent permitted by law, 
the proposed rule meets the relevant standards of Executive Order 
12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a proposed regulatory action likely to result in a rule that may 
cause the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820; also available 
at http://energy.gov/gc/office-general-counsel. DOE examined this 
proposed rule according to UMRA and its statement of policy and 
determined that the rule contains neither an intergovernmental mandate, 
nor a mandate that may result in the expenditure of $100 million or 
more in any year, so these requirements do not apply.

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This rule would not have any impact on the autonomy or integrity of the 
family as an institution. Accordingly, DOE has concluded that it is not 
necessary to prepare a Family Policymaking Assessment.

I. Review Under Executive Order 12630

    DOE has determined, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights'' 53 FR 8859 (March 18, 1988), that this regulation would not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

J. Review Under Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed this proposed rule under the OMB and DOE guidelines and has 
concluded that it is consistent with applicable policies in those 
guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated or is expected to lead to promulgation of a 
final rule, and that: (1) is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    This proposed regulatory action to establish a test procedure for 
measuring the lumen output, input power, efficacy, CCT, CRI, lifetime, 
and standby mode power of LED lamps is not a significant regulatory 
action under Executive Order 12866. Moreover, it would not have a 
significant adverse effect on the supply, distribution, or use of 
energy, nor has it been designated as a significant energy action by 
the Administrator of OIRA. Therefore, it is not a significant energy 
action, and, accordingly, DOE has not prepared a Statement of Energy 
Effects.

L. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the

[[Page 32044]]

Attorney General and the Chairman of the FTC concerning the impact of 
the commercial or industry standards on competition.
    The proposed rule incorporates test methods contained in the 
following commercial standards: ANSI/IESNA RP-16-2010 ``Nomenclature 
and Definitions for Illuminating Engineering'' and IES LM-79-2008 
``Approved Method: Electrical and Photometric Measurements of Solid-
State Lighting Products.'' The Department has evaluated these standards 
and is unable to conclude whether they fully comply with the 
requirements of section 32(b) of the FEAA, (i.e., that they were 
developed in a manner that fully provides for public participation, 
comment, and review). DOE will consult with the Attorney General and 
the Chairman of the FTC concerning the impact of these test procedures 
on competition prior to prescribing a final rule.

V. Public Participation

A. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this proposed rule. Interested parties may submit 
comments using any of the methods described in the ADDRESSES section at 
the beginning of this notice.
    Submitting comments via regulations.gov. The regulations.gov Web 
page will require you to provide your name and contact information. 
Your contact information will be viewable to DOE Building Technologies 
staff only. Your contact information will not be publicly viewable 
except for your first and last names, organization name (if any), and 
submitter representative name (if any). If your comment is not 
processed properly because of technical difficulties, DOE will use this 
information to contact you. If DOE cannot read your comment due to 
technical difficulties and cannot contact you for clarification, DOE 
may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be 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.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery, please provide all items on a CD, if feasible. It is not 
necessary to submit printed copies. No facsimiles (faxes) will be 
accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are written in English, free of any defects or viruses, and not 
secured. Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 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).

B. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    1. DOE requests comment on its characterization of the modes of 
operation (active, standby, and off modes) that apply to LED lamps.
    2. DOE requests comment on the proposal for an equal number of 
lamps to be operated in the base-up and base-down orientations during 
lumen output, input power, CCT, CRI, lifetime, and standby mode 
testing.
    3. DOE invites interested parties to comment on the proposal to 
require all photometric values, including lumen output, CCT, and CRI, 
be measured by an integrating sphere (via photometer or 
spectroradiometer) and that goniometer systems must not be used.

[[Page 32045]]

    4. DOE invites interested parties to comment on the proposal to 
remain consistent with section 4.0 of IES LM-79-2008, which indicates 
no seasoning is required for LED lamps before beginning photometric 
measurements.
    5. DOE requests comments on the test conditions when lamps are 
operating but no measurements are being taken. Specifically, DOE 
requests comment on requiring ambient temperature to be controlled 
between 15 [deg]C and 40 [deg]C; the minimization of vibration, shock, 
and air movement, as well as the requirement for adequate lamp spacing; 
the proposal to adopt the section 3.1 of IES LM-79-2008 requirements 
for both AC and DC power supplies; and the requirement that input 
voltage be monitored and regulated to within 2.0 percent of 
the rated RMS voltage as specified in section 5.3 of IES LM-65-2010.
    6. DOE requests comment on the proposed test method for CRI.
    7. DOE requests comment on the proposed calculation for lamp 
efficacy.
    8. For lifetime testing, DOE proposes to continuously operate the 
LED lamp and requests feedback on the appropriateness of not requiring 
an operating cycle during lumen maintenance testing.
    9. DOE requests comment on the proposed equation to project the 
L70 lifetime of LED lamps.
    10. DOE requests comment on the revision to the definition of 
``basic model'' to address LED lamps.
    11. DOE requests comment on the appropriateness of adopting a 
minimum sample size of 10 LED lamps for input power, lumen output, CCT, 
CRI, lifetime, and standby mode.
    12. DOE requests comment on the proposal to allow measurements 
collected for the ENERGY STAR Program Requirements for Lamps (Light 
Bulbs): Eligibility Criteria--Version 1.0 to be used for calculating 
reported values of lumen output, input power, lamp efficacy, CCT, CRI, 
and lifetime.
    13. DOE requests comment on the proposal to round CCT values for 
individual units to the tens place; and the proposal to round the 
certified CCT values for the sample to the hundreds place.
    14. DOE requests comment on its proposal to require accreditation 
by NVLAP or an entity recognized by ILAC, and on the costs and benefits 
associated with laboratory accreditation.
    15. DOE requests comment on the estimated number of entities that 
would be affected by the proposed rulemaking and the number of these 
companies that are ``small businesses.''
    16. 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.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this proposed 
rule.

List of Subjects

10 CFR Part 429

    Confidential business information, Energy conservation, Household 
appliances, Imports, Reporting and recordkeeping requirements.

10 CFR Part 430

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Imports, 
Incorporation by reference, Intergovernmental relations, Small 
businesses.

    Issued in Washington, DC, on May 16, 2014.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 430 of Chapter II of Title 10, Subchapter D of the Code 
of Federal Regulations to read as set forth below:

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

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

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

Sec.  429.12  [Amended]

0
2. Section 429.12(b)(13) is amended by removing ``429.54'' and adding 
``429.69'' in its place.
0
3. Section 429.56 is added to read as follows:

Sec.  429.56  Integrated light-emitting diode lamps.

    (a) Determination of Represented Value. (1) Manufacturers must 
determine the represented value, which includes the certified rating, 
for each basic model of integrated light-emitting diode lamps by 
testing, in conjunction with the following sampling provisions:
    (i) Units to be tested. (A) The general requirements of Sec.  
429.11(a) are applicable except that the sample must be comprised of 
production units; and
    (B) For each basic model of integrated light-emitting diode lamp, 
the minimum number of units tested shall be no less than 10 and the 
same units must be used for testing all metrics. If more than 10 units 
are tested as part of the sample, the total number of units must be a 
multiple of two. For each basic model, a sample of sufficient size 
shall be randomly selected and tested to ensure that:
    (1) Represented values of initial lumen output, lifetime, lamp 
efficacy, and color rendering index (CRI) of a basic model for which 
consumers would favor higher values must be less than or equal to the 
lower of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP03JN14.015
    

and, x is the sample mean; n is the number of units; and xi 
is the i\th\ unit;
    Or,
    (ii) The lower 99 percent confidence limit (LCL) of the true mean 
divided by 0.97 for initial lumen output, life, and lifetime; the lower 
99 percent confidence limit (LCL) of the true mean divided by 0.98 for 
lamp efficacy; and the lower 99 percent confidence limit (LCL) of the 
true mean divided by 0.99 for CRI, where:
[GRAPHIC] [TIFF OMITTED] TP03JN14.016

and, x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.99 is the t statistic for a 99 
percent one-tailed confidence interval with n -1 degrees of freedom 
(from Appendix A of this part).
    (2) Represented values of input power and standby mode power of a 
basic model for which consumers would favor lower values must be 
greater than or equal to the higher of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP03JN14.017
    

and, x is the sample mean; n is the number of units; and xi 
is the i\th\ unit;
    Or,
    (ii) The upper 99 percent confidence limit (UCL) of the true mean 
divided by 1.01, where:
[GRAPHIC] [TIFF OMITTED] TP03JN14.018

and, x is the sample mean; s is the sample standard deviation; n is the 
number of samples; and t0.99 is the t statistic for a 99 
percent one-tailed confidence interval with n - 1 degrees

[[Page 32046]]

of freedom (from Appendix A of this part);
    (3) Represented values of correlated color temperature (CCT) of a 
basic model must be equal to the mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TP03JN14.019

and, x is the sample mean; n is the number of units; and xi 
is the i\th\ unit.

    (ii) [Reserved]
    (2) [Reserved]
    (b) [Reserved]
    (c) Rounding requirements for representative values, including 
certified and rated values, of lumen output, input power, efficacy, 
CCT, CRI, lifetime, standby mode power, and estimated annual energy 
cost. (1) The represented value of input power must be rounded to the 
nearest tenth of a watt.
    (2) The represented value of lumen output must be rounded to three 
significant digits.
    (3) The represented value of lamp efficacy must be rounded to the 
nearest tenths place.
    (4) The represented value of correlated color temperature must be 
rounded to the nearest 100 Kelvin.
    (5) The represented value of color rendering index must be rounded 
to the nearest whole number.
    (6) The represented value of lifetime must be rounded to the 
nearest whole hour.
    (7) The represented value of standby mode power must be rounded to 
the nearest tenth of a watt.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
4. The authority citation for part 430 continues to read as follows:

    Authority:  42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.

0
5. Section 430.2 is amended by revising the definition of ``Basic 
model'' and adding in alphabetical order the definition of ``Integrated 
light-emitting diode lamp'' to read as follows:

Sec.  430.2  Definitions.

* * * * *
    Basic model means all units of a given type of covered product (or 
class thereof) manufactured by one manufacturer, having the same 
primary energy source, and which have essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency; and
    (1) With respect to general service fluorescent lamps, general 
service incandescent lamps, and incandescent reflector lamps: Lamps 
that have essentially identical light output and electrical 
characteristics--including lumens per watt (lm/W) and color rendering 
index (CRI).
    (2) With respect to integrated light-emitting diode lamps: Lamps 
that have essentially identical light output and electrical 
characteristics--including lumens per watt (lm/W), color rendering 
index (CRI), correlated color temperature (CCT), and lifetime.
    (3) With respect to faucets and showerheads: Have the identical 
flow control mechanism attached to or installed within the fixture 
fittings, or the identical water-passage design features that use the 
same path of water in the highest flow mode.
    (4) With respect to furnace fans: Are marketed and/or designed to 
be installed in the same type of installation.
* * * * *
    Integrated light-emitting diode lamp means an integrated LED lamp 
as defined in ANSI/IESNA RP-16 (incorporated by reference; see Sec.  
430.3).
* * * * *
0
6. Section 430.3 is amended by:
0
a. Adding paragraphs (n)(8) and (n)(9); and
0
b. Removing ``and X'' in paragraph (o)(4) and adding in its place, ``X 
and BB'' .
    The additions read as follows:

Sec.  430.3  Materials incorporated by reference.

* * * * *
    (n) IESNA. * * *
    (8) ANSI/IESNA RP-16-2010, Nomenclature and Definitions for 
Illuminating Engineering, approved October 15, 2005; IBR approved for 
Sec.  430.2.
    (9) IES LM-79-2008 (``IES LM-79''), Approved Method: Electrical and 
Photometric Measurements of Solid-State Lighting Products, approved 
December 31, 2007; IBR approved for Appendix BB to subpart B of this 
part.
* * * * *
0
7. Section 430.23 is amended by adding paragraph (dd) to read as 
follows:

Sec.  430.23  Test procedures for the measurement of energy and water 
consumption.

* * * * *
    (dd) Integrated light-emitting diode lamp. (1) The input power of 
an integrated light-emitting diode lamp must be measured in accordance 
with section 3 of Appendix BB of this subpart. Individual unit input 
power must be rounded to the nearest tenth of a watt.
    (2) The lumen output of an integrated light-emitting diode lamp 
must be measured in accordance with section 3 of Appendix BB of this 
subpart. Individual unit lumen output must be rounded to three 
significant digits.
    (3) The lamp efficacy of an integrated light-emitting diode lamp 
must be calculated in accordance with section 3 of Appendix BB of this 
subpart. Individual unit lamp efficacy must be rounded to the nearest 
tenths place.
    (4) The correlated color temperature of an integrated light-
emitting diode lamp must be measured in accordance with section 3 of 
Appendix BB of this subpart. Individual unit correlated color 
temperature must be rounded to the nearest 10 Kelvin.
    (5) The color rendering index of an integrated light-emitting diode 
lamp must be measured in accordance with section 3 of Appendix BB of 
this subpart. Individual unit color rendering index must be rounded to 
the nearest whole number.
    (6) The lifetime of an integrated light-emitting diode lamp must be 
measured in accordance with section 5 of Appendix BB of this subpart. 
Individual unit lifetime must be rounded to the nearest hour.
    (7) The life of an integrated light-emitting diode lamp must be 
calculated by dividing the represented rated lifetime (see 10 CFR 
429.56) by the estimated annual operating hours as specified in 16 CFR 
305.15(b)(3)(iii). The life must be rounded to the nearest tenth of a 
year.
    (8) The estimated annual energy cost for an integrated light-
emitting diode lamp, expressed in dollars per year, must be the product 
of the average input power in kilowatts as determined in accordance 
with Appendix BB to this subpart, an electricity cost rate as specified 
in 16 CFR 305.15(b)(1)(ii), and an estimated average annual use as 
specified in 16 CFR 305.15(b)(1)(ii). The resulting estimated annual 
energy cost for an individual unit must be rounded to the nearest cent 
per year.
    (9) The standby mode power must be measured in accordance with 
section 5 of Appendix BB of this subpart. Individual unit standby mode 
power must be rounded to the nearest tenth of a watt.
0
8. Section 430.25 is revised to read as follows:

Sec.  430.25  Laboratory Accreditation Program.

    (a) Testing for general service fluorescent lamps, general service

[[Page 32047]]

incandescent lamps, and incandescent reflector lamps must be performed 
in accordance with Appendix R to this subpart. Testing for medium base 
compact fluorescent lamps must be performed in accordance with Appendix 
W to this subpart. Testing for fluorescent lamp ballasts must be 
performed in accordance with Appendix Q1 to this subpart. This testing, 
with the exception of lifetime testing of general service incandescent 
lamps, must be conducted by test laboratories accredited by the 
National Voluntary Laboratory Accreditation Program (NVLAP) or an 
accrediting organization recognized by International Laboratory 
Accreditation Cooperation (ILAC). NVLAP is a program of the National 
Institute of Standards and Technology, U.S. Department of Commerce. 
NVLAP standards for accreditation of laboratories that test are set 
forth in 15 CFR part 285. The following metrics should be measured by 
test laboratories accredited by NVLAP or an accrediting organization 
recognized by International Laboratory Accreditation Cooperation 
(ILAC):
    (1) Fluorescent lamp ballasts: ballast luminous efficiency (BLE);
    (2) General service fluorescent lamps: lamp efficacy, color 
rendering index;
    (3) General service incandescent reflector lamps: lamp efficacy;
    (4) General service incandescent lamps: lamp efficacy; and
    (5) Medium base compact fluorescent lamps: initial efficacy, lamp 
life. Testing for BLE may also be conducted by laboratories accredited 
by Underwriters Laboratories or Council of Canada. Testing for 
fluorescent lamp ballasts performed in accordance with Appendix Q to 
this subpart is not required to be conducted by test laboratories 
accredited by NVLAP or an accrediting organization recognized by NVLAP.
    (b) Testing of integrated light-emitting diode lamps must be 
performed in accordance with Appendix BB of this subpart. Testing must 
be conducted in test laboratories accredited by NVLAP or an accrediting 
organization recognized by International Laboratory Accreditation 
Cooperation (ILAC) for the following metrics: input power, lumen 
output, lamp efficacy, correlated color temperature, color rendering 
index, lifetime, and standby mode power. A manufacturer's own 
laboratory, if accredited, may conduct the testing.
0
9. Appendix BB to subpart B of part 430 is added to read as follows:

Appendix BB to Subpart B of Part 430--Uniform Test Method for Measuring 
the Input Power, Lumen Output, Lamp Efficacy, Correlated Color 
Temperature (CCT), Color Rendering Index (CRI), Lifetime, and Standby 
Mode Power of Integrated Light-Emitting Diode (LED) Lamps

    Note:  After [DATE 180 DAYS AFTER PUBLICATION OF FINAL RULE IN 
THE Federal Register], any representations made with respect to the 
energy use or efficiency of light-emitting diode lamps must be made 
in accordance with the results of testing pursuant to this appendix. 
Given that after [DATE 180 DAYS AFTER PUBLICATION OF FINAL RULE IN 
THE Federal Register] representations with respect to the energy use 
or efficiency of light-emitting diode lamps must be made in 
accordance with tests conducted pursuant to this appendix, 
manufacturers may wish to begin using this test procedure as soon as 
possible.

    1. Scope: This appendix specifies how to measure input power, 
lumen output, lamp efficacy, CCT, CRI, lifetime, and standby mode 
power for integrated LED lamps.

2. Definitions

    2.1. The definitions specified in section 1.3 of IES LM-79 
except section 1.3(f) (incorporated by reference; see Sec.  430.3) 
apply.
    2.2. Initial lumen output means the measured lumen output after 
the lamp is initially energized and stabilized using the 
stabilization procedures in section 3 of Appendix BB of this 
subpart.
    2.3. Rated input voltage means the voltage(s) marked on the lamp 
as the intended operating voltage. If not marked on the lamp, assume 
120 V.
    2.4. Lamp efficacy means the ratio of measured initial lumen 
output in lumens to the measured lamp input power in watts, in units 
of lumens per watt.
    2.5. CRI means color rendering index as defined in Sec.  430.2.
    2.6. Test duration means the operating time of the LED lamp 
after the initial lumen output measurement and before, during, and 
including the final lumen output measurement.
    2.7. Lifetime means the time at which the lumen output is equal 
to 70 percent of the initial lumen output measured using section 4 
of Appendix BB of this subpart.

3. Active Mode Test Method for Determining Lumen Output, Input 
Power, CCT, CRI, and Lamp Efficacy

    In cases where there is a conflict, the language of the test 
procedure in this appendix takes precedence over IES LM-79 
(incorporated by reference; see Sec.  430.3).

3.1. Test Conditions and Setup

    3.1.1. The ambient conditions, power supply, electrical 
settings, and instrumentation must be established in accordance with 
the specifications in sections 2.0, 3.0, 7.0, and 8.0 of IES LM-79 
(incorporated by reference; see Sec.  430.3), respectively.
    3.1.2. An equal number of integrated LED lamps must be 
positioned in the base up and base down orientations throughout 
testing.
    3.1.3. The integrated LED lamp must be operated at the rated 
voltage throughout testing. For an integrated LED lamp with multiple 
rated voltages including 120 volts, the integrated LED lamp must be 
operated at 120 volts. If an integrated LED lamp with multiple rated 
voltages is not rated for 120 volts, the integrated LED lamp must be 
operated at the highest rated input voltage. Additional tests may be 
conducted at other rated voltages.
    3.1.4. The integrated LED lamp must be operated at maximum input 
power. If multiple modes occur at the same maximum input power (such 
as variable CCT or CRI), the manufacturer can select any of these 
modes for testing; however, all measurements described in section 3 
and section 4 must be taken at the same selected mode.

3.2. Test Method, Measurements, and Calculations

    3.2.1. The integrated LED lamp must be stabilized prior to 
measurement as specified in section 5.0 of IES LM-79 (incorporated 
by reference; see Sec.  430.3). The stabilization variation is 
calculated as [maximum-minimum)/minimum] of at least three readings 
of the input power and lumen output over a period of 30 minutes, 
taken 15 minutes apart.
    3.2.2. The input power in watts must be measured as specified in 
section 8.0 of IES LM-79 (incorporated by reference; see Sec.  
430.3).
    3.2.3. Lumen output must be measured as specified in section 9.1 
and 9.2 of IES LM-79 (incorporated by reference; see Sec.  430.3). 
Goniometers must not be used.
    3.2.4. CCT must be determined according to the method specified 
in section 12.0 of IES LM-79 (incorporated by reference; see Sec.  
430.3) with the exclusion of section 12.2 of IES LM-79. Goniometers 
must not be used.
    3.2.5. CRI must be determined according to the method specified 
in section 12.0 of IES LM-79 (incorporated by reference; see Sec.  
430.3) with the exclusion of section 12.2 of IES LM-79. Goniometers 
must not be used.
    3.2.6. Lamp efficacy must be determined by dividing measured 
initial lumen output by the measured input power.

4. Active Mode Test Method for Lifetime

    In cases where there is a conflict, the language of the test 
procedure in this appendix takes precedence over IES LM-79 
(incorporated by reference; see Sec.  430.3).

4.1. Measure Initial Lumen Output. Measure the Initial Lumen Output 
According to Section 3 of This Appendix

    4.2. Test Duration. Operate the integrated LED lamp for a period 
of time (the test duration) after the initial lumen output 
measurement and before, during, and including the final lumen output 
measurement.
    4.2.1. There is no minimum test duration requirement for the 
integrated LED lamp. The test duration is selected by the 
manufacturer. See section 4.5.3 for instruction on the maximum 
lifetime.

[[Page 32048]]

    4.2.2. The test duration only includes time when the integrated 
LED lamp is energized and operating.
    4.2.3. Operating conditions and setup during the test duration 
other than time during which lumen output measurements are being 
conducted are specified in section 4.3 of this appendix.

4.3. Operating Conditions and Setup Between Lumen Output 
Measurements

    4.3.1. Ambient temperature must be controlled between 15 [deg]C 
and 40 [deg]C.
    4.3.2. The integrated LED lamps must be spaced to allow airflow 
around each lamp.
    4.3.3. The integrated LED lamps must not be subjected to 
excessive vibration or shock during lamp operation.
    4.3.4. Line voltage waveshape must be as described in section 
3.1 of IES LM-79 (incorporated by reference; see Sec.  430.3).
    4.3.5. Input voltage must be monitored and regulated to within 
2 percent of the voltage required in section 3.1.3 for 
the duration of the test.
    4.3.6. Electrical settings must be as described in section 7.0 
IES LM-79 (incorporated by reference; see Sec.  430.3).
    4.3.7. An equal number of integrated LED lamps must be 
positioned in the base up and base down orientations throughout 
testing.
    4.3.8. The integrated LED lamp must be operated at maximum input 
power. If multiple modes occur at the same maximum input power (such 
as variable CCT and CRI), the manufacturer can select any of these 
modes for testing. Measurements of all quantities described in 
sections 3 and 4 of this appendix must be taken at the same selected 
mode.
    4.4. Measure Final Lumen Output. Measure the lumen output at the 
end of the test duration according to section 3.

4.5.Calculate Lumen Maintenance and Lifetime

    4.5.1. Calculate the lumen maintenance of the lamp after the 
test duration ``t'' by dividing the final lumen output 
``xt'' by the initial lumen output ``x0''. 
Initial and final lumen output must be measured in accordance with 
sections 4.1 and 4.4 of this appendix, respectively.
    4.5.2. For lumen maintenance values greater than 1, the lifetime 
(in hours) is limited to a value less than or equal to four times 
the test duration.
    4.5.3. For lumen maintenance values less than 1 but greater than 
or equal to 0.7, the lifetime (in hours) is calculated using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TP03JN14.020

Where: t is the test duration in hours; x0 is the initial 
lumen output; xt is the final lumen output at time t, and 
ln is the natural logarithm function.

    The maximum lifetime is limited to four times the test duration 
t.
    4.5.4. For lumen maintenance values less than 0.7, including 
lamp failures that result in complete loss of light output, lifetime 
is equal to the previously recorded lumen output measurement at a 
shorter test duration where the lumen maintenance is greater than or 
equal to 70 percent, and lifetime shall not be calculated in 
accordance with section 4.5.3 of this appendix.

5. Standby Mode Test Method for Determining Standby Mode Power

    In cases where there is a conflict, the language of the test 
procedure in this appendix takes precedence over IES LM-79 
(incorporated by reference; see Sec.  430.3) and IEC 62301 
(incorporated by reference; see Sec.  430.3).

5.1. Test Conditions and Setup

    5.1.1. The ambient conditions, power supply, electrical 
settings, and instrumentation must be established in accordance with 
the specifications in sections 2.0, 3.0, 7.0, and 8.0 of IES LM-79 
(incorporated by reference; see Sec.  430.3), respectively.
    5.1.2. An equal number of integrated LED lamps must be 
positioned in the base up and base down orientations throughout 
testing.
    5.1.3. The integrated LED lamp must be operated at the rated 
voltage throughout testing. For an integrated LED lamp with multiple 
rated voltages, the integrated LED lamp must be operated at 120 
volts. If an integrated LED lamp with multiple rated voltages is not 
rated for 120 volts, the integrated LED lamp must be operated at the 
highest rated input voltage.

5.2. Test Method, Measurements, and Calculations

    5.2.1. Standby mode power consumption must be measured for 
integrated LED lamps if applicable.
    5.2.2. The integrated LED lamp must be stabilized prior to 
measurement as specified in section 5.0 of IES LM-79 (incorporated 
by reference; see Sec.  430.3). The stabilization variation is 
calculated as [maximum--minimum)/minimum] of at least three readings 
of the input power and lumen output over a period of 30 minutes, 
taken 15 minutes apart.
    5.2.3. The integrated LED must be configured in standby mode by 
sending a signal to the integrated LED lamp instructing it to have 
zero light output.
    5.2.4. The standby mode power in watts must be measured as 
specified in section 5 of IEC 62301 (incorporated by reference; see 
Sec.  430.3).

[FR Doc. 2014-12127 Filed 6-2-14; 8:45 am]
BILLING CODE 6450-01-P
```