Source: https://www.federalregister.gov/documents/2012/04/09/2012-8469/energy-conservation-program-test-procedures-for-light-emitting-diode-lamps
Timestamp: 2017-10-18 04:04:02
Document Index: 159964485

Matched Legal Cases: ['art 430', 'art 430', 'art 430', 'art 121', 'art 1021', 'art 1021', '§\u2009429', '§\u2009430', '§\u2009430', 'art 430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430', '§\u2009430']

Federal Register :: Energy Conservation Program: Test Procedures for Light-Emitting Diode Lamps
A Proposed Rule by the Energy Department on 04/09/2012
DOE will hold a public meeting on Thursday, May 3, 2012, from 9 a.m. to 4 p.m., in Washington, DC. The meeting will also be broadcast as a webinar. See section V, ``Public Participation,'' for webinar registration information, participant instructions, and information about the capabilities available to webinar participants.
21038-21057 (20 pages)
Test Procedure Rulemaking Process
b. Lamp Mounting and Orientation
d. Electrical Settings
a. Lamp Seasoning
b. Lamp Stabilization
c. Lumen Output Measurement
d. Determination of Correlated Color Temperature
a. Operating Orientation
b. Electrical Setup
c. Thermal Setup
a. In-Situ Temperature Measurement Test
b. Lumen Maintenance Testing Duration and Interval
Packaging, Labeling, Catalogs
Submitting Comments Via regulations.gov.
List of Subjects 10 CFR Part 430
Appendix AA to Subpart B of Part 430—Uniform Test Method for Measuring the Input Power, Lumen Output, Correlated Color Temperature (CCT), and Rated Lifetime of Light-Emitting Diode (LED) Lamps
https://www.federalregister.gov/d/2012-8469 https://www.federalregister.gov/d/2012-8469
The U.S. Department of Energy (DOE) proposes to establish test procedures for light-emitting diode (LED) lamps to support implementation of labeling provisions by the Federal Trade Commission (FTC) established under the Energy Policy and Conservation Act (EPCA). The proposed test procedures define methods for measuring the lumen output, input power, and relative spectral distribution (to determine correlated color temperature, or CCT) of LED lamps. Further, the proposed test procedures define methods for measuring the lumen maintenance of the LED source (the component of the LED lamp that produces light) to project the rated lifetime of LED lamps. The rated lifetime of the LED lamp is the time required for the LED source component of the lamp to reach lumen maintenance of 70 percent (that is, 70 percent of initial light output). After reviewing available industry standards for determining the lumen output, input power, CCT, and rated lifetime, as well as current best practices and technological developments, DOE tentatively identified that the test methods described in the relevant Illuminating Engineering Society of North America (IES) standards are appropriate for developing test procedures for LED lamps. The proposed test procedures are based in large part on IES standards LM-79-2008, “Approved Method: Electrical and Photometric Measurements of Solid-State Lighting Products” for determining lumen output, input power, and CCT, and LM-80-2008, “Approved Method: Measuring Lumen Maintenance of LED Sources” and TM-21-2011, “Projecting Long Term Lumen Maintenance of LED Light Sources,” for determining rated lifetime, with some modifications as required.
DOE will hold a public meeting on Thursday, May 3, 2012, from 9 a.m. to 4 p.m., in Washington, DC. The meeting will also be broadcast as a webinar. See section V, “Public Participation,” for webinar registration information, participant instructions, and information about the capabilities available to webinar participants.
Docket: The docket is available for review at www.regulations.gov, including Federal Register notices, public meeting attendee lists and transcripts, comments, and other supporting documents/materials. All documents in the docket are listed in the http://www.regulations.gov index. However, not all documents listed in the index may be publicly available, such as information that is exempt from public disclosure.
The www.regulations.gov Web page contains simple instructions on how to access all documents, including public comments, in the docket. See section V for information on how to submit comments through www.regulations.gov.
Mr. Ari Altman, U.S. Department of Energy, Office of the General Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: (202) 287-6307. Email: Ari.Altman@hq.doe.gov
Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291, et seq.; “EPCA” or, “the Act”) sets forth a variety of provisions designed to improve energy efficiency. (All references to EPCA refer to the statute as amended through the Energy Independence and Security Act of 2007 (EISA 2007), Public Law 110-140 (Dec. 19, 2007)). Part B of title III, which for editorial reasons was redesignated as Part A upon incorporation into the U.S. Code (42 U.S.C. 6291-6309), establishes the “Energy Conservation Program for Consumer Products Other Than Automobiles.”
Under EPCA, this program consists of four parts: (1) Testing, (2) labeling, (3) Federal energy conservation standards, and (4) certification and enforcement procedures. This rulemaking establishes test procedures that manufacturers of light-emitting diode (LED) lamps would use to meet obligations under labeling requirements promulgated by the Federal Trade Commission (FTC) under section 324(a)(6) of EPCA (42 U.S.C. 6294(a)(6)).
When the U.S. Department of Energy (DOE) proposes test procedures, it must offer the public an opportunity to present oral and written comments on them. (42 U.S.C. 6293(b)(2)) EISA 2007 section 321(b) amended EPCA (42 U.S.C. 6294(a)(2)(C)) to direct FTC to consider the effectiveness of lamp labeling for power levels or watts, light output or lumens, and lamp lifetime. This test procedure rulemaking for LED lamps is being conducted to support FTC's determination that LED lamps, which had previously not been labeled, require labels under EISA section 321(b) and 42 U.S.C. 6294(a)(6) in order to assist consumers in making purchasing decisions. 75 FR 41696, 41698 (July 19, 2010).
FTC has published a final rule for light bulb [1] labeling (Lighting Facts) that went into effect on January 1, 2012. 75 FR 41696 (July 19, 2010) The FTC Lighting Facts label covers three types of medium screw base lamps: general service incandescent lamps (GSIL), compact fluorescent lamps (CFL), and general service LED lamps.[2] The label requires manufacturers to disclose information about the lamp's brightness [3] (lumen output), estimated annual energy cost, life [4] (rated lifetime), light appearance (correlated color temperature (CCT)), and energy use (input power). FTC requires that the estimated annual energy cost is calculated by multiplying the energy used by annual operating hours and an estimate for energy cost per kilowatt-hour. FTC references DOE test procedures, when available, for testing lamps for the FTC Lighting Facts label. This test procedure rulemaking would enable FTC to reference a DOE test procedure for LED lamps.
In this notice of proposed rulemaking (NOPR), DOE proposes test procedures for determining the lumen output, input power, CCT, and rated lifetime of LED lamps. DOE invites comment on all aspects of the proposed test procedure for LED lamps.
In this NOPR, DOE proposes test procedures for determination of lumen output, input power, CCT, and rated lifetime of an LED lamp. Specifically, DOE proposes to incorporate by reference IES [5] LM-79-2008 [6] for determination of lumen output, input power, and CCT, UL [7] 1993-2009 [8] for support of the in-situ temperature measurement test (ISTMT), IES standards LM-80-2008 [9] and TM-21-2011 [10] for determination of rated lamp lifetime, and ANSI [11] /IESNA [12] RP-16-2010 [13] for the definition of integrated LED lamps. DOE reviewed several potential approaches to testing lamp lumen output, input power, CCT, and rated lifetime, and determined that these UL and IES standards are the best standards based on discussions with industry experts. These standards are adequately specified to generate reliable results and are generally used by industry for determining photometric characteristics of LED lamps.
To develop a Federal test procedure for determining the rated lifetime of LED lamps, DOE conducted literature research and interviewed several industry experts to understand the methods used by industry to determine the rated lifetime of LED lamps. Due to the infancy of the technology, there are no industry standards that describe a methodology for determining rated lifetime based on direct measurements of an LED lamp. Based on the information currently available, DOE determined that IES LM-80-2008 should be used to measure the lumen maintenance [14] of an LED source [15] at the in-situ temperature determined by performing an ISTMT. The test setup and conditions for conducting the ISTMT should be as specified in UL 1993-2009. Finally, the LED source rated lifetime should be projected using the method described in IES TM-21-2011. DOE is proposing that the lumen maintenance of the LED source be measured and projected rather than the lumen maintenance of the LED lamp because currently there are no well-specified and established methods for projecting LED lamp lumen maintenance data. The proposed method is based on industry accepted measurements and projection methods and does not require operating the lamp until it reaches its rated lifetime. DOE discusses this determination in more detail in section III.C.1. DOE is proposing to define rated lifetime as the time when the lumen output of the LED sources within the LED lamp falls below 70 percent of the initial light output. Section III.C details the test method to determine the rated lifetime and the relevant sections of UL 1993-2009, IES LM-80-2008, and IES TM-21-2011 that are incorporated by reference, and any changes, if required.
This rulemaking is applicable to LED lamps that fall within DOE's proposed definition of an LED lamp in 10 CFR part 430.2, which is based on the term integrated LED lamps as defined by ANSI/IESNA RP-16-2010, “Nomenclature and Definitions for Illuminating Engineering.” These integrated lamps comprise the LED source (the LED packages (components) or LED arrays (modules)), LED driver, ANSI standard base, and other optical, thermal, mechanical and electrical components such as phosphor layers, insulating materials, fasteners to hold components within the lamp together, and electrical wiring. The LED lamp is intended to connect directly to a branch circuit through a corresponding ANSI standard socket. EPCA, as amended by EISA 2007 section 321(a)(1)(B), adds the definition for LED as a p-n junction [16] solid state device, the radiated output of which, either in the infrared region, the visible region, or the ultraviolet region, is a function of the physical construction, material used, and exciting current [17] of the device. (42 U.S.C. 6291(30)(CC)) DOE invites interested parties to comment on the scope of applicability of this test procedure and the incorporation of ANSI/IESNA RP-16-2010 to define LED lamps.
DOE reviewed industry standards and spoke with industry experts to determine the best method for measuring the lumen output, input power, and CCT of LED lamps. DOE reviewed the IEC [18] /PAS [19] pre-standard 62612 [20] for determining the performance of self-ballasted LED lamps [21] , but this standard did not specify a test method for measuring the lumen output of LED lamps and is not yet a finalized document. Next, DOE reviewed the method specified by the ENERGY STAR® program and observed that it references IES LM-79-2008 for determining the lumen output, input power, and CCT of integrated LED lamps. In review of IES LM-79-2008, DOE found IES is the recognized technical authority on illumination, and the IES LM-79-2008 standard was prepared by the IES subcommittee on Solid State Light Sources of the IESNA Testing Procedures Committee. IES LM-79-2008 was also developed in collaboration with the ANSI Solid State Lighting Joint Working Group C78-09 and C82-04 comprising individuals from several organizations. DOE's view is that the committee members that worked on developing the IES LM-79-2008 standard represent applicable industry groups and interested parties. Based on an independent review by DOE and general acceptance by industry, DOE concluded that IES LM-79-2008 specifies all the information that is required for providing a complete test procedure for determining lumen output, input power, and CCT of LED lamps. However, DOE is proposing some modifications so that the test method better serves DOE's needs.
IES LM-79-2008 specifies the test setup and conditions at which the measurements and calculations must be performed. These include ambient conditions, power supply characteristics, lamp orientation, seasoning, and stabilization methods for LED lamps, and instrumentation and electrical settings. These requirements, and any modifications proposed by DOE, are further discussed in the sections III.B.2 through III.B.5. DOE requests comment on the proposed incorporation of IES LM-79-2008 for determining lumen output, input power, and CCT.
DOE proposes that the ambient conditions for testing LED lamps be as specified in section 2.0 [22] of IES LM-79-2008. DOE recognizes that lumen output of LED lamps can vary with changes in ambient temperature and air movement around the LED lamp. The test conditions outlined in IES LM-79-2008 ensure reliable, repeatable, and consistent test results without significant test burden. These conditions are discussed in further detail below.
DOE also considered whether a specific method for determination of a draft-free environment should be specified. Section 4.3 of IES LM-9- 2009 [23] requires that a single ply tissue paper be held in place of the lamp to allow for visual observation of any drafts. DOE requests comment on whether the specification from section 4.3 of IES LM-9-2009 should be required for specifying the air movement around LED lamps.
DOE proposes that section 3.1 of IES LM-79-2008 be incorporated by reference to specify requirements for both alternating current (AC) and direct current (DC) power supplies. This section specifies that an AC power supply should have a sinusoidal voltage waveshape at the input frequency required by the LED lamp such that the root mean square (RMS) [24] summation of the harmonic components does not exceed three percent of the fundamental frequency [25] while operating the LED lamp. Section 3.2 of IES LM-79-2008 also requires that the voltage of an AC power supply (RMS voltage) or DC power supply (instantaneous voltage) applied to the LED lamp should be within ± 0.2 percent. These requirements are achievable with minimal testing burden and provide reasonable stringency in terms of power quality based on their similarity to voltage tolerance requirements for testing of other lamp types. These requirements ensure that the power supplied to the LED lamps is consistent and, in combination with other specifications, would likely result in repeatable photometric measurements.
DOE proposes that the LED lamp be mounted as specified in section 2.3 of IES LM-79-2008 and be positioned in the base-up, base-down, and horizontal orientations for testing. Section 2.3 of IES LM-79-2008 requires that the LED lamp should be mounted to the measuring instrument (integrating sphere or goniophotometer as described in section III.B.4.c) in such a manner that the heat flow through supporting objects does not affect the measurement results. This is important because the lumen output of LED lamps is sensitive to thermal changes. DOE's view is that the examples specified in section 2.3 of IES LM-79-2008 (such as suspending a ceiling-mounted LED lamp in open air and using support materials such as Teflon that have low heat conductivity instead of mounting it in close thermal contact with the sphere wall) ensure negligible cooling effects through the supporting objects of the LED lamps and minimal disturbance of the air flow around the lamp. DOE proposes that these materials, or other materials with low heat conductivity, should be used to mount the LED lamp.
DOE understands that the orientation of the lamp could affect the thermal conditions within the lamp, which may affect the light output. DOE considered testing the LED lamps as specified in section 6.0 of IES LM-79-2008, which states that the LED lamp should be tested in the operating orientation recommended by the lamp manufacturer for the intended use of the LED lamp. However, manufacturers do not typically specify the operating orientation for the LED lamp in their product literature. Further, it is possible that manufacturers would recommend an orientation for testing that provides the highest lumen output rather than the orientation in which the lamp is most frequently operated in practice. Therefore, DOE proposes that the lamp units should be positioned such that an equal number of units are oriented in the base up, base down, and horizontal orientations each (see section III.D for the sampling requirements). This would ensure that testing is carried out in all possible [26] orientations potentially used in practice, instead of only the highest performance orientation. DOE also requires that the lamps be positioned in the same orientation throughout testing, which would include lamp seasoning (section III.B.4.a), lamp stabilization (section III.B.4.b), and input power (section III.B.3.c) and lumen output measurements (section III.B.4.c). DOE requests comment on the appropriateness of orienting lamps, in the base-up, base-down, and horizontal positions for testing, and requests data on the impact of lamp orientation on the thermal characteristics of the LED lamp, and hence, the light output.
DOE proposes that the instrumentation requirements for the AC power meter and the AC and DC voltmeter and ammeter, as well as the acceptable tolerance for these instruments, be as specified in section 8.0 of IES LM-79-2008. Section 8.1 of IES LM-79-2008 specifies that for DC-input LED lamps, a DC voltmeter and DC ammeter should be connected between the DC power supply and the LED lamp under test. The DC voltmeter should be connected across the electrical power input of the LED lamp, and the input electrical power should be calculated as the product of the measured input voltage and current. Section 8.2 of IES LM-79-2008 specifies that the tolerance for the DC voltage and current measurement instruments should be ± 0.1 percent. For AC-input LED lamps, section 8.1 of IES LM-79-2008 further specifies that an AC power meter should be connected between the AC power supply and the LED lamp under test. The AC power, input voltage, and current should be measured. Section 8.2 of IES LM-79-2008 specifies that the tolerance of the AC voltage and current measurement instruments should be ± 0.2 percent and the tolerance of the AC power meter should be ± 0.5 percent. DOE's view is that the instrumentation requirements set forth in section 8.0 of IES LM-79-2008 are achievable and provide reasonable stringency in terms of measurement tolerance based on their similarity to instrument tolerance requirements for testing of other lamp types.
DOE proposes that the electrical settings for testing LED lamps be as specified in section 7.0 of IES LM-79-2008. Section 7.0 provides guidance on settings such as input voltage, level of light output for dimming capable LED lamps, and the modes for testing lamps with variable CCT. Section 7.0 states that the lamp should be operated at the specified rated voltage during testing. As stated in section 7.0, DOE agrees that any method, such as pulsed input electrical power and measurements synchronized with reduced duty cycle input power, intended to reduce the p-n junction temperature below that which is reached during operation with normal input power should not be used for testing the LED lamp. Further, for lamps with multiple voltages, DOE proposes that the LED lamp should be tested at 120 volts, unless it is not rated for 120 volts. DOE is proposing that lamps with multiple voltages should be tested at 120 volts because lamps rated at 120 volts are available most commonly in the market. If the LED lamp is not rated for 120 volts, DOE proposes that it should be tested at the highest rated voltage because the lamp is expected to have the best performance at the highest rated voltage. Further, section 7.0 of IES LM-79-2008 specifies that for LED lamps with dimming capabilities, the lamp should be operated at the maximum input power for testing. DOE invites interested parties to comment on the appropriateness of testing LED lamps at the rated voltage and testing lamps that are rated to operate at multiple voltages at either 120 volts or the highest rated voltage. DOE also requests comment on testing lamps with dimming capabilities at the maximum input power.
Lastly, section 7.0 of IES LM-79-2008 specifies that if an LED lamp has multiple modes of operation, including variable CCT, testing should be performed in each mode of operation for each unit. In its research, DOE did not come across any products that function at multiple modes of operation. DOE requests comment about whether LED lamps with variable CCT, or multiple modes of operation, are available in the market. If such lamps are available, DOE requests comment about whether such lamps should be tested at a particular CCT value rather than at each value.
DOE proposes that the LED lamp under test be seasoned (energized and operated) for 1,000 hours before beginning photometric measurements, contrary to the requirements of section 4.0 of IES LM-79-2008 which indicates no seasoning is required. Though IES LM-79-2008 states that the increase in light output from zero to 1,000 hours of operation does not significantly affect light output or lifetime ratings, IES TM-21-2011 specifies that the data obtained from the first 1,000 hours of operating an LED source should not be used to project the lifetime of an LED source (and hence, LED lamp rated lifetime as discussed in section III.C). DOE is proposing a 1,000 hour seasoning time because it has been established by industry 27 [28] that light output of an LED source (and therefore, potentially the lamp) frequently increases during the first 1,000 hours of operation. If the lamp is not seasoned for 1,000 hours, then depending on the time required to stabilize the lamp (as specified in section III.B.4.b), the lumen output determined through testing may be much higher than the actual lumen output. This may create an incentive to increase the time required to stabilize the lamp such that the highest lumen output is achieved while taking lumen output measurements. Additionally, DOE understands that there may be some lamps that return to the initial lumen output (at zero hours) in less than 1,000 hours and others that may take longer, but proposes that 1,000 hours be used for seasoning all lamps to maintain uniformity. DOE invites interested parties to comment on the proposed seasoning time for the LED lamp under test and any increased testing burden due to seasoning the lamp for 1,000 hours. DOE also requests data on the degree to which the lumen output of the LED lamp changes during the first 1,000 hours of operation.
After the lamp has been seasoned, DOE proposes that the time required for lamp stabilization be as specified in section 5.0 of IES LM-79-2008. The ambient conditions and operating orientation of the LED lamp while stabilizing should continue to be as specified in sections III.B.2 and III.B.3.b. DOE further proposes that stability of the LED lamp is reached when the variation [(maximum−minimum)/minimum] of at least three readings of light output and electrical power over a period of 30 minutes, taken 15 minutes apart, is less than 0.5 percent. This calculation in included to add clarification to the method specified in section 5.0 of IES LM-79-2008. For stabilization of a number of products of the same model, section 5.0 of IES LM-79-2008 suggests that preburning [29] of the product may be used if it has been established that the method produces the same stabilized condition as when using the standard method described above. DOE invites interested parties to comment on adopting section 5.0 of IES LM-79-2008 for LED lamp stabilization prior to taking photometric measurements and whether its clarification on the variation calculation is appropriate.
After the lamp has been seasoned and stabilized, DOE proposes that the test method for measuring the lumen output of the LED lamp under test be as specified in section 9.0 of IES LM-79-2008. This section requires that the lumen output of the LED lamp be measured with an integrating sphere system or a goniophotometer. An integrating sphere system is an optical device that is useful for measuring the lumen output and color measurement of LED lamps. The hollow sphere contains two or more openings for introducing the LED lamp under test as well as attaching a detector (an instrument that is used to measure light output or the spectral radiant flux), such as a photometer or spectroradiometer. A goniophotometer is another device that measures the luminous intensity distribution and the lumen output of the LED lamp under test. It does so by measuring the light intensity of the LED lamp when reflected from a surface at various angles. DOE invites interested parties to comment on the appropriateness of using either an integrating sphere system or a goniophotometer for testing LED lamps. DOE also requests feedback on how the lumen output measured using a sphere-photometer system, sphere-spectroradiometer system, or a goniophotometer compare with each other.
This notice proposes the same method of measurement of lumen output for all LED lamps, including directional [30] LED lamps. For directional LED lamps, DOE proposes that the total lumen output emanated from the lamp should be measured because other directional lamp technologies currently measure and report total lumen output on the FTC Lighting Facts label. DOE understands that the beam lumen output, which is present in the zone bounded by the beam angle, is the “useful” lumen output for directional lamps. However, at this time, DOE is not proposing that beam lumen output be measured because inconsistency and confusion could arise in the industry if LED lamps measure beam lumen output (a portion of the total lumen output) while other lamp technologies measure total lumen output. Additionally, a comparison of performance among the different directional lamp technologies could not be made. DOE understands that beam lumen output or center-beam candle power (CBCP) metrics are useful for comparing and describing directional lamps but does not propose these metrics because they are not required for the FTC Lighting Facts label. DOE requests comment on the appropriateness of measuring total lumen output for directional LED lamps.
DOE proposes that the CCT of the LED lamp under test should be calculated as specified in section 12.4 of IES LM-79-2008. The CCT is determined by measuring the relative spectral distribution, calculating the chromaticity coordinates, and then matching the chromaticity coordinates to a particular CCT of the Planckian radiator. The setup for measuring the relative spectral distribution, which is required to calculate the CCT of the LED lamp, should be as specified in section 12.0 of IES LM-79-2008. This section describes the test method to calculate CCT using a sphere-spectroradiometer system and a spectroradiometer or colorimeter system. Section 12.0 of IES LM-79-2008 also specifies the spectroradiometer parameters that affect CCT and the method to evaluate spatial non-uniformity of chromaticity.
DOE is proposing calculation and rounding requirements to be used for determining brightness, energy use, light appearance, and estimated annual energy cost, should a DOE test procedure be referenced by the FTC through a future rulemaking process in support of the FTC Lighting Facts label. DOE proposes that the input power of all test units be averaged and the average value be rounded to the nearest tenths digit (see section III.D for proposed sampling requirements). DOE found that LED lamp datasheets typically provide input power values to the ones digit or the tenths digit. DOE proposes that average input power be rounded to the tenths digit because for products with input power less than 10 watts, tenths digit would be useful for discerning differences in power consumption, and input power measurements can be made to this level of accuracy. DOE also proposes that the lumen output of all units be averaged and the value be rounded to the nearest tens digit because this level of resolution is necessary for differentiating the light output of lamps that frequently have lumen output of less than 1,000 lumens. DOE's view is that this level of accuracy is achievable because manufacturers typically report lumen output for LED lamps to the tens digit in catalogs. For CCT, DOE proposes that CCT of all units be averaged and the value be rounded to the tens digit. In the 2009 GSFL test procedure final rule, DOE determined that all laboratories are able to measure CCT to three significant digits. 74 FR 31829 (July 6, 2009). Because a typical CCT is in the thousands (such as 4200 Kelvin), maintaining three significant digits requires rounding to the tens digit. Finally, consistent with FTC's final rule establishing the Lighting Facts label, DOE proposes that the estimated annual energy cost for LED lamps, expressed in dollars per year, be calculated as the product of the average input power, in kilowatts, the electricity cost rate of 11 cents per kilowatt-hour, and the estimated average annual use at three hours per day, which is 1,095 hours per year. 75 FR 41702 (July 19, 2010) DOE proposes that the estimated annual energy cost should be rounded to the nearest cent because the cost of electricity is specified to the nearest cent. DOE invites interested parties to comment on the proposed calculation and rounding requirements for determining lumen output, input power, CCT, and estimated annual energy cost.
DOE reviewed several methods to measure the rated lifetime of LED lamps, such as those contained in industry standards and based on DOE and ENERGY STAR working groups. Of the methods researched, the first three methods mentioned in Table III.1 test the LED lamp to determine the rated lifetime and the final method in Table III.1 test the LED source to determine the rated lifetime of the lamp. While it would be preferred to project the rated lifetime of the LED lamp rather than the LED source, currently, a standardized method only exists for projecting the lumen maintenance of the LED source and not the LED lamp. The approaches researched, and listed in Table III.1, include: (1) Measuring the lumen output of the LED lamp until it reaches 70 percent of the initial lumen output (L70) based on IES LM-79-2008; (2) measuring the lumen output of the LED lamp for 6,000 hours and projecting the L70 lifetime in number of hours based on the minimum lumen maintenance at 6,000 hours, as specified in the ENERGY STAR Specification for Integral LED Lamps Version 1.4; (3) measuring the lumen output of the LED lamp for a minimum of 6,000 hours based on IES LM-79-2008 and projecting the time at which the lumen output would reach 70 percent of the initial lumen output; and (4) measuring the lumen output of the LED sources at regular intervals for a minimum of 6,000 hours based on IES LM-80-2008 and projecting the time at which the lumen output would reach 70 percent of the initial lumen output based on IES TM-21-2011. These approaches, and the benefits and limitations of each approach, are listed in Table III.1 below.
1 Measure lamp lumen output as specified in IES LM-79-2008. Lifetime of LED lamp is time when half the product population is below 70 percent of initial lumen output (L70) • Not a projection; accounts for performance of entire LED lamp until it reaches L70 • True representation of LED lamp L70 lifetime • Performing complete IES LM-79-2008 test is time consuming and expensive. • Product may be obsolete when testing is complete (up to six years).
2 Measure lamp lumen output for 6,000 hours as specified in IES LM-79-2008. Maximum L70 life claim is dependent on minimum lumen maintenance at 6,000 hours as specified in ENERGY STAR specification for integral LED lamps version 1.4. Perform rapid-cycle stress test to assess catastrophic lamp failure • Final lifetime claims are based on LED lamp (rather than just LED source) tests • Lumen maintenance projection is based on 6,000 hours of IES LM-79-2008 and hence, is not as time consuming as performing full IES LM-79-2008 test to L70 • Method used to develop projection of lifetime is unverified. • Does not account for catastrophic LED lamp failure mechanisms beyond 6,000 hrs. • Cycling is not a proven source of catastrophic failure for LED lamps.
3 Measure LED lamp lumen output as specified in IES LM-79-2008 for 6,000 hours minimum. Lumen output data is projected to L70 life of the LED lamp and this value is the rated lifetime • Lifetime is determined based on LED lamp lumen maintenance data, rather than source data • Lifetime projection based on 6,000 hours of data which is not as time consuming as performing a full IES LM-79-2008 test to L70 • Standard method not yet developed to project lumen output of LED lamp. • May not be feasible to develop a method for projecting IES LM-79-2008 lumen output data in a timely manner for the FTC Lighting Facts label.
4 Measure LED source lumen output as specified in IES LM-80-2008 and use IES TM-21-2011 to project number of hours at which the lumen output reaches 70 percent of initial lumen output (L70). The life of LED lamp is the value projected by IES TM-21-2011 with a maximum limit of 25,000 hours • Uses latest industry standards IES TM-21-2011 and IES LM-80-2008 to determine lumen maintenance of source accounting for temperature effects • Not as time consuming or expensive as IES LM-79-2008 testing—utilizes test data commonly provided by LED package manufacturers • Not a complete representation of LED lifetime. Determined value may underestimate or overestimate actual lifetime. • Does not account for other LED lamp lumen degradation methods.
Therefore, DOE proposes to incorporate IES standards LM-80-2008 and TM-21-2011 for projecting the rated lifetime of LED lamps. As discussed in section III.B, IES is the recognized technical authority on illumination and the standards that DOE proposes to incorporate are prepared by the IES subcommittee on Solid State Light Sources of the IESNA Testing Procedures Committee. DOE's view is that the committee members that worked on developing both of these IES standards represent applicable industry groups and interested parties. DOE reviewed IES LM-80-2008 and IES TM-21-2011 to determine whether any additional information would be required for providing a test procedure for determining the rated lifetime of LED sources, and thus, LED lamps. DOE concluded that IES LM-80-2008 and IES TM-21-2011 provide most of the information that is required for setting up the LED sources for testing, measuring the lumen output of the LED sources, and projecting the rated lifetime of the LED source. Additionally, DOE proposes to incorporate UL standard 1993-2009 to describe the test setup and conditions for an ISTMT to determine the temperature at which IES LM-80-2008 data should be used to project the rated lifetime of the LED lamp. These requirements, and any variations, are further discussed in sections III.C.3 through III.C.8. DOE requests comment on the proposed incorporation of IES standards LM-80-2008 and TM-21-2011 and UL standard 1993-2009.
Based on the proposed approach to determine lifetime, DOE proposes that the rated lifetime of an LED lamp be defined as the time when the lumen output of the LED sources within the lamp falls below 70 percent of the initial light output (L70). DOE understands that the L70 metric is the standard reference level to define rated LED lamp lifetime [31] and is widely accepted by industry as well. DOE invites interested parties to comment on the definition of the rated lifetime of an LED lamp.
DOE proposes that the rated lifetime of an LED lamp should be obtained by following the three steps listed below. First, the in-situ temperature of the LED source when it operates within the lamp should be measured. Second, the lumen maintenance data at the in-situ temperature should be obtained. Finally, the lumen maintenance data should be projected to determine the rated lifetime.
Finally, section III.C.7 discusses the method to project the lumen maintenance data (gathered from option 1, 2, or 3) and obtain the rated lifetime.
DOE proposes that the vibration, temperature, drive current, humidity, and airflow requirements for testing the LED sources be as specified in section 4.4 of IES LM-80-2008. Section 4.4.1 of IES LM-80-08 requires that the LED source not be subjected to excessive vibration or shock during testing.
Finally, DOE proposes that the airflow around the LED sources under test should be as specified in section 4.4.3 of IES LM-80-2008, which states that the airflow should be maintained to minimize air drafts but allow some movement of the air to avoid thermal stratification. DOE invites interested parties to comment on the appropriateness of adopting section 4.4.3 of IES LM-80-2008 for acceptable airflow around the LED sources under test. Further, DOE requests comment on whether testing with a single ply tissue paper, as specified in section 4.3 of IES LM-9-2009, should be used to ensure a draft free environment for testing LED sources.
DOE proposes that the LED sources be operated in accordance with section 4.4.4 of IES LM-80-2008, which states that the LED sources must be operated in the orientation specified by the source manufacturer. DOE understands that there may be effects from convection airflow due to heat-sinks and thermal management, and therefore also proposes that the LED sources should be spaced to allow airflow around each test unit as recommended in section 4.4.4 of IES LM-80-2008.
DOE notes that it is not specifying the orientation for testing LED sources but is specifying the orientation for testing LED lamps (as discussed in section III.B.3.b). Because the LED source case temperature is not controlled during an LED lamp test and LED lamp orientation can change the LED source case temperature, specification of operating orientation is necessary for an LED lamp. By contrast, the case temperature of the LED source is controlled during testing, minimizing the effect of operating orientation on the light output of the LED source. DOE invites interested parties to comment on whether the operating orientation of LED sources during testing affects the lumen depreciation over time.
DOE proposes that the electrical setup including input voltage, input current, and driver used for testing LED sources be as specified in section 5.0 of IES LM-80-2008. Section 5.1 of IES LM-80-2008 specifies that the input voltage should conform to the rated input voltage (RMS) and frequency of the driver. For drivers that require DC, ripple voltage should not exceed two percent of the DC output voltage. Section 5.2 of IES LM-80-2008 further specifies that the power supply should have a voltage waveshape such that the total harmonic distortion does not exceed three percent of the fundamental frequency.
Section 5.4 of IES LM-80-2008 requires that the external driver used for testing LED sources be compliant with manufacturer's guidance. DOE believes that this requirement would ensure that the LED sources operate at the rated input current and would provide consistent lumen output measurements for rated lifetime projections. DOE invites comment on the appropriateness of adopting section 5.4 for the external driver specification to test LED sources. DOE understands that the driver used for testing LED sources per IES LM-80-2008 is a simple power supply that converts AC input power to DC output power and it is not similar to the drivers used in LED lamps. DOE requests comment on whether more specifications should be provided for the driver used to test LED sources.
DOE proposes that the thermal setup for testing LED sources be as specified in section 5.5 of IES LM-80-2008. It states that the case temperature should be measured directly on the LED source at the case temperature measurement point designated by the manufacturer using a thermocouple. A manufacturer-recommended heat sink should be used for temperature maintenance.
DOE proposes that the instrumentation required for recording time and measuring the lumen output of LED sources should be as specified in section 6.1 of IES LM-80-2008 and section 9.0 of IES LM-79-2008 respectively. Section 6.1 of IES LM-80-2008 specifies that if an elapsed time meter is used, it should be connected to the particular test position and should accumulate time only when the LED sources are energized. Monitoring devices should not accumulate time if there is a power failure to a source. Additionally, section 6.1 of IES LM-80-2008 recommends using video monitoring, current monitoring, or other means to determine the elapsed operating time if they are designed to provide sufficient temporal accuracy. This section also requires that the total time uncertainty should be within ± 0.5 percent.
DOE further proposes that the lumen output measurement should be made as specified in section 9.0 of IES LM-79-2008. The lumen output should be measured at the drive current used throughout rated lifetime testing. DOE finds that consistently maintaining the drive current across all measurements would ensure an accurate representation of the rated LED lamp lifetime. DOE is not proposing section 6.2 of IES LM-80-2008 for measuring the lumen output of the LED sources because it recommends that the lumen output measurement should be determined from the total spectral radiant flux measurements using a spectroradiometer only. DOE understands that the sphere-photometer system and goniophotometer methods recommended in section 9.0 of IES LM-79-2008 could be used for measuring the lumen output of the LED sources in addition to the sphere-spectroradiometer system. DOE invites interested parties to comment on the appropriateness of adopting section 9.0 of IES LM-79-2008 for the instrumentation required for photometric measurements of the LED sources under test. In particular, DOE requests comment about whether the spectroradiometer should be the only instrument used for photometric measurements of LED sources or whether a sphere-photometer system and goniophotometer system could be used as well.
DOE proposes that an ISTMT be performed to determine the case temperature at which the lumen maintenance data should be used to project the rated lifetime of the LED source. DOE proposes that the test setup and conditions for the ISTMT be as specified in sections 8.5, 8.13, 8.14, 8.15, and 9 of UL 1993-2009. Section 9 of UL 1993-2009 specifies the test equipment, ambient temperature, relative humidity, instrumentation, test box material and construction, as well as the test setup for lamps that are intended to be operated in a wet environment. Section 8.5 of UL 1993-2009 provides specifications for the temperature test of the LED lamp including the ambient temperature and the temperature of the components within the lamp. Section 8.5.8 further specifies that the in-situ temperature of the LED lamp should be recorded after the test has been running for at least three hours, and three successive readings taken at 15 minute intervals are within 1 °C of one another and are still not rising. Sections 8.13, 8.14, and 8.15 specify the test setup for lamps that are intended to be operated in a damp environment, wet environment, and cold environment, respectively.
Further, DOE proposes that, as specified in Appendix D of the ENERGY STAR® Program Requirements for Integral LED Lamps, Eligibility Criteria—Version 1.4[32] , the in-situ temperature should be measured at the temperature measurement point (TMP) that is defined by LED package, array, or module manufacturer on its product to act as surrogate points for measuring the junction temperature. To perform the ISTMT, a temporary thermocouple should be attached to the TMP of the highest temperature LED package, array, or module in the LED lamp, as specified by the LED source manufacturer. The temporary hole for inserting the thermocouple should be tightly resealed during testing with putty or other flexible sealant, as mentioned in the ENERGY STAR specification. Lastly, DOE proposes that the guidance specified in the ENERGY STAR specification for attaching the thermocouple in the LED lamp be followed.
DOE invites interested parties to comment on the appropriateness of adopting sections 8.5, 8.13, 8.14, 8.15, and 9 of UL 1993-2009 for performing the ISTMT to determine the LED source case temperature at which rated lifetime projections should be made using the temporary thermocouple attachment to the TMP as specified in Appendix D of the ENERGY STAR® Program Requirements for Integral LED Lamps, Eligibility Criteria—Version 1.4.
DOE proposes that the test method for determining the LED source lifetime be as specified in section 7.0 of IES LM-80-2008 and section 4.3 of IES TM-21-2011. Section 7.1 of IES LM-80-2008 specifies that the LED sources should be operated for at least 6,000 hours and data should be collected at a minimum of every 1,000 hours, at ambient temperature. Section 4.3 of IES TM-21-2011 further recommends that after the first 1,000 hours of operation of the LED source, data should be collected at an interval smaller than 1,000 hours. Additional measurements beyond 6,000 hours are encouraged and recommended for more accurate projections. Section 7.2 of IES LM-80-2008 further specifies that LED sources should be operated at a constant current throughout testing. Finally, as specified in section 7.3 of IES LM-80-2008, if an LED source fails during testing, it should be determined if the failure is due to the auxiliary equipment or if it is an actual LED source failure. DOE proposes that if the failure is due to the auxiliary equipment, the failed auxiliary equipment should be replaced and testing of the LED source should be continued from the time when the auxiliary equipment failed. It should be possible to determine the elapsed time by using a video monitor or other equipment as specified in section III.C.5.d. If it is an actual LED source failure, it should be included in the lifetime projection calculation as described in section III.C.7.
DOE further proposes that the relevant guidelines from the ENERGY STAR® guidance document for measuring the lumen maintenance of LED sources should be used for testing the LED sources.[33] This document specifies that all case temperature subsets of the sample used for testing should be of the same CCT. Secondly, the drive current flowing through the LED source under test should be greater than or equal to the subcomponent drive current in the LED lamp; the drive current in the LED lamp could be determined during ISTMT. The document further specifies that for an LED lamp that has both phosphor-converted white and single-color LED packages, the lumen maintenance should be measured for a sample of LED arrays that incorporate both types of LED packages. Additionally, for LED arrays constructed as an assembly of LED dies on a printed circuit board or substrate (a.k.a. chip-on-board) with one common phosphor layer overlaying all dies, or with phosphor layers overlaying individual dies with or without single-color dies incorporated, a single test could be used to represent the performance of a range of LED array sizes, if the following two conditions are satisfied: (1) Testing is conducted on the largest LED array that the manufacturer believes will be used in the LED lamp; and, (2) the average calculated current-per-die in the LED array under test is greater than or equal to the average calculated current-per-die employed in the LED lamp. Finally, for LED arrays constructed as an assembly of LED packages on a printed circuit board, each with their own phosphor layer, the in-situ TMP temperature of the hottest package in the array should be used for lumen maintenance projection purposes. DOE invites interested parties to comment on the appropriateness of adopting these guidelines from the ENERGY STAR guidance document for testing LED sources.
DOE proposes that the lumen maintenance of the LED source should be projected as specified in section 5.0 of IES TM-21-2011. This section specifies that a curve-fit method should be used for projecting the lumen maintenance for each LED source at a given drive current and case temperature. Section 5.2 of IES TM-21-2011 further gives a detailed description of the procedure, including normalization of data, averaging of data, using the curve-fit method, adjusting the results based on the sample size, and whether the projected value is positive or negative. DOE proposes that L70, the time it takes for the LED source to reach 70 percent of its initial light output, should be used for projecting the lifetime of the LED source with a maximum projection of 25,000 hours. That is, even if the method described in section 5.0 of IES TM-21-2011 projects a lifetime of 36,000 hours, the rated lifetime of the LED lamp cannot be more than 25,000 hours. If the projection method described in IES TM-21-2011 projects a lifetime that is less than 25,000 hours, then the projected value should be the rated lifetime of the LED lamp. As explained in section III.C.1 above, DOE is making this proposal to ensure that exceedingly large rated lifetime projections are not made based only on IES LM-80-2008 data and IES TM-21-2011 projections. Twenty-five thousand hours was selected as the maximum value because it is currently unknown if the LED driver will last beyond 25,000 hours. Furthermore, twenty-five thousand hours is also the lifetime estimate that several reputable manufacturers already use in their catalogs, and it is the maximum ENERGY STAR criteria for full qualification of LED lamp lifetime based on 6,000 hours of test data. Finally, DOE proposes that, the life of the LED lamp should be determined in number of years based on three hours per day of operation, which is consistent with the FTC Lighting Facts label requirements for other lamp technologies. DOE proposes that the resulting value should be rounded to the nearest tenth of a year. Rounding the rated lifetime to the nearest tenths place is necessary to have sufficient resolution for discerning differences in rated lifetime expressed in years. DOE invites interested parties to comment on the appropriateness of using the methodology specified in section 5.0 of IES TM-21-2011 for projecting the L70 lifetime of LED sources with a maximum projection of 25,000 hours. DOE also requests comment on the proposed rounding requirement for rated lifetime.
For LED sources that fail during lifetime testing due to LED source failure, DOE proposes that the data for these LED sources be included for projecting the lifetime. At the first measurement interval after the LED source fails, the recorded value should be zero lumens for the source. Values for the remaining tests between the time of failure and end of testing should be recorded as zero as well and these values should be included while averaging the normalized values as explained in section 5.2 of IES TM-21-2011.
For option 2 discussed in section III.C.3 above, DOE proposes that the method of interpolation should be as specified in section 6.0 of IES TM-21-2011. This section describes the case temperatures that should be used for interpolating the data and the methodology used for calculating the lumen output at the desired temperature, which includes converting the temperature to units of Kelvin, using the Arrhenius Equation [34] to calculate the lumen maintenance life, and the applicability and limitations of the method.
DOE is proposing a sampling plan for determining input power, lumen output, CCT, and rated lifetime of an LED lamp. DOE reviewed the sampling requirements of other lamp technologies to develop the sampling plan for LED lamps. For testing LED sources, DOE reviewed the requirements specified in IES TM-21-2011 and identified that those requirements are necessary to project the rated lifetime.
DOE proposes that the sample size for testing LED sources for determining the rated lifetime of LED lamps be as specified in section 4.2 of IES TM-21-2011. This section recommends that all data from a sample set at a given case temperature and drive current from the LM-80-2008 test should be used for projecting the lifetime of the LED source. The recommended sample set is 20 units for projecting the lifetime of the LED sources. If at least 20 units are used, the lifetime could be projected up to six times the test duration, with a maximum limit of 25,000 hours as described in section III.C.7. If the number of units tested is between 10 and 19 units, the lifetime could be projected up to 5.5 times the test duration, with a maximum of 25,000 hours. Less than 10 units cannot be used for the IES TM-21-2011 projection method. This requirement is different from the sample size proposed above for testing the LED lamp to determine input power, lumen output, and CCT. The differences are primarily because the rated lifetime is determined by testing a different device (the LED source) and the proposed method for projecting lifetime provides specific projection calculations based on sample sizes outlined in that IES TM-21-2011. DOE requires that the same number of units should be tested at each case temperature for projecting the rated lifetime. DOE invites interested parties to comment on the appropriateness of adopting section 4.2 of IES TM-21-2011 for the required sample size for rated lifetime testing.
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires preparation of an initial regulatory flexibility analysis (IRFA) for any rule that by law must be proposed for public comment, unless the agency certifies that the rule, if promulgated, will not have a significant economic impact on a substantial number of small entities. As required by Executive Order 13272, “Proper Consideration of Small Entities in Agency Rulemaking,” 67 FR 53461 (August 16, 2002), DOE published procedures and policies on February 19, 2003, to ensure that the potential impacts of its rules on small entities are properly considered during the DOE rulemaking process. 68 FR 7990. DOE has made its procedures and policies available on the Office of the General Counsel's Web site: www.gc.doe.gov.
DOE has transmitted a copy of this IRFA to the Chief Counsel for Advocacy of the Small Business Administration (SBA) for review.
EISA 2007 section 321(b) amended EPCA (42 U.S.C. 6294(a)(2)(C)) to direct FTC to consider the effectiveness of lamp labeling for power levels or watts, light output or lumens, and lamp lifetime. This test procedure rulemaking for LED lamps is being conducted to support FTC's determination that LED lamps, which had previously not been labeled, require labels under EISA section 321(b) and 42 U.S.C. 6294(a)(6) in order to assist consumers in making purchasing decisions. 75 FR 41696 (July 19, 2010)
SBA has set a size threshold for electric lamp manufacturers to describe those entities that are classified as “small businesses” for the purposes of the RFA. DOE used the SBA's small business size standards to determine whether any small manufacturers of LED lamps would be subject to the requirements of the rule. 65 FR 30836, 30849 (May 15, 2000), as amended at 65 FR 53533, 53545 (Sept. 5, 2000) and codified at 13 CFR part 121. The size standards are listed by North American Industry Classification System (NAICS) code and industry description and are available at www.sba.gov/sites/default/files/Size_Standards_Table.pdf. LED lamp manufacturing is classified under NAICS 335110, “Electric Lamp Bulb and Part Manufacturing.” The SBA sets a threshold of 1,000 employees or less for an entity to be considered as a small business for this category.
DOE estimated that the test procedure requirements proposed in this NOPR will apply to about 32 manufacturers of LED lamps. Of these manufacturers, DOE compiled a preliminary list of potential small businesses by searching the SBA databases, ENERGY STAR's list of qualified products [35] , as well as performing a general search for LED manufacturers. DOE determined which companies manufacture LED lamps by reviewing company Web sites, the SBA Web site when applicable, and/or calling companies directly. Through this process, DOE identified 17 potential small businesses that manufacture LED lamps. DOE requests comment on the estimated number of entities that would be impacted by the proposed rulemaking and the number of these companies that are “small businesses”.
The proposed test procedures for LED lamps, if adopted by FTC, would potentially require re-testing of any previously tested product. Further, if adopted by FTC, the proposed test procedures would require manufacturers to update their existing package and product labeling and online and hardcopy retailers to update their catalogs. The estimated cost of testing, packaging and labeling, and revising catalogs are discussed below.
To estimate the cost of testing, DOE determined the initial cost for setup and the costs to perform tests for determining the input power, lumen output, CCT, and rated lifetime of LED lamps. The initial setup for testing input power, lumen output, and CCT would require a custom-built rack for mounting lamps for testing. DOE estimated that up to 120 hours of labor may be required for building a rack that can hold up to 100 lamps. DOE estimated that the cost to build a rack by an electrical engineer whose rate is $39.79 per hour [36] would be approximately $4,770. DOE estimated that the material cost to build a custom-built rack holding 100 sockets would be $3,000 and the power supply and regulator costs would be $3,300 and $1,250 respectively. DOE estimated the total cost to build a rack to be approximately $12,000. DOE expects that manufacturers of LED lamps would already have other instrumentation necessary for testing, because IES LM-79-2008 is the recommended standard for testing LED lamps for the FTC Lighting Facts label.
For each manufacturer producing 17 basic models, assuming testing instrumentation is already available, DOE estimates the initial setup cost would be $12,000 and the labor costs to carry out testing would be approximately $68,000. DOE expects the setup cost to be a onetime cost to manufacturers. Further, DOE expects that the labor costs to perform testing would be smaller than $68,000 after the first year because only new products or redesigned products would need to be tested. DOE requests comments on its analysis of initial setup and labor costs as well as the average annual burden for conducting testing of LED lamps.
In addition to testing costs, LED lamp manufacturers may potentially incur the cost to update existing package and product labeling and online and hardcopy retailers may be required to update catalogs. In the final rule establishing FTC's Lighting Facts label, FTC determined the cost for changing package and product labeling as well as retail catalogs would not impose a significant burden on small entities. 75 FR 41696, 41712 (July 19, 2010). The required updates for labeling and catalogs, if FTC adopts this proposed test procedure, would involve revisions of values, not a full redesign of packaging or catalog format. Therefore, the burden imposed by the adoption of this proposed test procedure by the FTC would have an even smaller impact on small entities than the original rulemaking establishing that label. DOE requests comment on its estimated burden to small LED lamp manufacturers and retailers to change product packaging and labeling and retail catalogs.
In summary, DOE cannot certify that the impact on small businesses associated with FTC adopting the proposed LED lamp test procedure would not be significant. DOE requests comment on the potential burden and its impact on small businesses.
DOE is not aware of any other federal statutes, rules, or policies that would duplicate, overlap, or conflict with the proposed rule. DOE invites comment and information on this issue.
DOE considered a number of alternatives to the proposed test procedure as discussed in sections III.B.1 and III.C.1. DOE seeks comment and information on the need, if any, for alternative test methods that, consistent with the statutory requirements, would reduce the economic impact of the rule on small entities. DOE will consider any comments received regarding alternative methods of testing that would reduce economic impact of the rule on small entities. DOE will consider the feasibility of such alternatives and determine whether they should be incorporated into the final rule.
There is currently no information collection requirement related to the test procedure for LED lamps. In the event that DOE proposes to require the collection of information derived from the testing of LED lamps according to this test procedure, DOE will seek OMB approval of such information collection requirement.
In this proposed rule, DOE is proposing a test procedure for LED lamps that it expects will be used to support the FTC's Lighting Facts labeling program. DOE has determined that this rule falls into a class of actions that are categorically excluded from review under the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE's implementing regulations at 10 CFR part 1021. Specifically, this proposed rule would adopt existing industry test procedures for LED lamps, so it would not affect the amount, quality or distribution of energy usage, and, therefore, would not result in any environmental impacts. Thus, this rulemaking is covered by Categorical Exclusion A5 under 10 CFR part 1021, subpart D. Accordingly, neither an environmental assessment nor an environmental impact statement is required.
Today's regulatory action to establish a test procedure for measuring the lumen output, input power, CCT, and rated lifetime of LED lamps is not a significant regulatory action under Executive Order 12866. Moreover, it would not have a significant adverse effect on the supply, distribution, or use of energy, nor has it been designated as a significant energy action by the Administrator of OIRA. Therefore, it is not a significant energy action, and, accordingly, DOE has not prepared a Statement of Energy Effects.
The proposed rule incorporates testing methods contained in the following commercial standards: ANSI/IESNA RP-16-2010, “Nomenclature and Definitions for Illuminating Engineering;” IES LM-79-2008, “Approved Method: Electrical and Photometric Measurements of Solid-State Lighting Products;” UL 1993-2009, “Standard for Safety, Self-Ballasted Lamps and Lamp Adapters;” IES LM-80-2008, “Approved Method: Measuring Lumen Maintenance of LED Light Sources;” and IES TM-21-2011, “Projecting Long Term Lumen Maintenance of LED Light Sources”. 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.
In addition, you can attend the public meeting via webinar. Webinar registration information, participant instructions, and information about the capabilities available to webinar participants is available on the public meeting registration Web site www1.gotomeeting.com/register/952826176. Participants are responsible for ensuring their systems are compatible with the webinar software.
19. DOE requests comment on adopting section 5.0 of IES TM-21-2011 for projecting the lifetime of the LED sources with a maximum projection of 25,000 hours. See section III.C.7 for further detail.
23. DOE requests comment on its estimate of costs and associated burden under the Paperwork Reduction Act. See section IV.C for further detail.
(a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to light-emitting diode lamps; and
(ii) For measurements of rated lifetime, for each basic model of light-emitting diode lamp, the sample size of the light-emitting diode source packaged in the LED lamp shall be as specified in section 4.2 of IES TM-21 (incorporated by reference; see § 430.3).
Light-emitting diode lamp means an integrated LED lamp as defined in ANSI/IESNA RP-16 (incorporated by reference; see § 430.3).
(o) UL. Underwriters Laboratories Inc., 333 Pfingsten Road, Northbrook, IL 60062-2096, 847-272-8800, or go to http://www.ul.com/.
(1) UL 1993-2009 (“UL 1993”), Standard for Safety, Self-Ballasted Lamps and Lamp Adapters, approved August 28, 2009; IBR approved for Appendix AA to Subpart B.
(cc) Light-emitting diode lamp. (1) The input power and lumen output for a light-emitting diode lamp shall be tested and determined in accordance with section 3 of appendix AA of this subpart. The average measured input power shall be rounded to the nearest tenths of a watt. The average lumen output shall be rounded to the nearest 10 lumens.
7. Appendix AA to subpart B of part 430 is added to read as follows:
1. Scope: This appendix applies to the measurement of lumen output, input power, and CCT for LED lamps, and to the measurement of lumen maintenance of LED sources for the projection of rated LED lamp lifetime.
2.1. To the extent that definitions in the referenced IES standards do not conflict with the DOE definitions, the definitions specified in section 1.3 of IES LM-79 except section 1.3(f) (incorporated by reference; see § 430.3), section 3.0 of IES LM-80 except section 3.5 (incorporated by reference; see § 430.3), and section 3.0 of IES TM-21 (incorporated by reference; see § 430.3) shall be included.
3. Test Method for Determining Lumen Output, Input Power, and CCT
3.1.1. The ambient conditions, power supply, electrical settings, and instruments required shall be as described in sections 2.0, 3.0, 7.0, and 8.0 of IES LM-79 (incorporated by reference; see § 430.3) respectively.
3.2. Test Method and Measurements
3.2.1. The LED lamp shall be seasoned for 1,000 hours prior to stabilizing the lamp and collecting photometric data.
3.2.2. The LED lamp shall be stabilized as described in section 5.0 of IES LM-79 (incorporated by reference; see § 430.3). The lamp reaches stabilization when the variation [(maximum—minimum)/minimum] of at least three readings of input power and lumen output over a period of 30 minutes, taken 15 minutes apart, is less than 0.5 percent.
3.2.3. The input power in watts shall be measured and recorded as specified in section 8.0 of IES LM-79 (incorporated by reference; see § 430.3).
3.2.4. The measurement of lumen output of the LED lamp shall conform to section 9.0 of IES LM-79 (incorporated by reference; see § 430.3).
3.2.5. CCT shall be determined according to the method specified in section 12.0 of IES LM-79 (incorporated by reference; see § 430.3).
4. Test Method for Projecting Rated Lifetime
4.1. Overview of the Method to Project Rated Lifetime
4.1.1. Determine the in-situ case temperature of the LED source when it is operated within the lamp by performing the in-situ temperature measurement test (ISTMT) as described in section 4.3.1 below.
4.1.2. Obtain LED source lumen maintenance data per IES LM-80 (incorporated by reference; see § 430.3) from the LED source manufacturer.
4.1.2.2. If the in-situ temperature of the LED source falls between the case temperatures associated with the lumen maintenance data available from the LED source manufacturer, lumen maintenance data for the LED source can be interpolated as described in section 6.0 of IES TM-21 (incorporated by reference; see § 430.3).
4.1.3. The time required to reach 70 percent lumen maintenance (70 percent of light output after 1,000 hours of testing) of the LED source shall be projected as specified in section 5.0 of IES TM-21 (incorporated by reference; see § 430.3) using the sample size specified in section 4.2 of IES TM-21. This duration shall be the rated lifetime of the LED lamp. However, the maximum projection of rated lifetime shall be limited to 25,000 hours. If the projection of rated lifetime as calculated by IES TM-21 is less than 25,000 hours, the rated lifetime shall be the projected rated lifetime. If the projection of rated lifetime as calculated by IES TM-21 is more than 25,000 hours, the rated lifetime shall be 25,000 hours.
4.1.3.1. If an LED source itself fails during lifetime testing for reasons other than auxiliary equipment failure or human error, the data of such an LED source shall be included while averaging the normalized values as explained in section 5.2 of IES TM-21 (incorporated by reference; see § 430.3) for projecting the rated lifetime of the lamp.
4.2. Test Conditions and Setup
4.2.1. The acceptable vibration, humidity, and airflow around the LED source shall be as described in section 4.4 of IES LM-80 (incorporated by reference; see § 430.3).
4.2.3. The operating orientation, electrical setup, thermal setup, and instrumentation required for recording the time elapsed for measuring the lumen maintenance of LED sources shall be as described in sections 4.4.4, 5.0, 5.5, and 6.1 of IES LM-80 (incorporated by reference; see § 430.3) respectively.
4.2.4. The instrumentation required for measuring the lumen output of the LED sources shall be as described in section 9.0 of IES LM-79 (incorporated by reference; see § 430.3).
4.3. Test Method and Measurements
4.3.1. The ISTMT shall be performed to determine the case temperature of the hottest LED source within the LED lamp. The test setup and conditions for the ISTMT shall be as specified in sections 8.5, 8.13, 8.14, 8.15, and 9 of UL 1993 (incorporated by reference; see § 430.3). The test is performed by attaching a thermocouple to specific locations designated by the LED source manufacturer that act as surrogate points for measuring junction temperature (Tj). The temperature measurement point (TMP) on the LED source shall be such that it has the highest temperature in the LED lamp. In general, the individual LED in the middle of symmetric arrays is the hottest. For square, rectangular, or circular arrays, the LED closest to the center is typically the hottest. For other configurations, manufacturers shall sample several LEDs within the lamp to identify the source with highest temperature. The temporary hole for inserting the thermocouple shall be tightly resealed during testing with putty or other flexible sealant. The temperature probes shall be in contact with the TMP and permanently adhered. The steady-state temperature shall be recorded after the test has been running for at least three hours, and three successive readings taken at 15 minute intervals are within 1 °C of one another and are still not rising. The temperature measured during the ISTMT should be the temperature at which lumen maintenance data of the LED source is obtained.
4.3.2. The lumen maintenance of the LED sources shall be determined as specified in section 7.0 of IES LM-80 (incorporated by reference; see § 430.3) and section 4.3 of IES TM-21 (incorporated by reference; see § 430.3). Additionally, the following conditions shall be adhered to:
4.3.2.1. All case temperature (Ts) subsets of the sample used for IES LM-80 (incorporated by reference; see § 430.3) testing shall be of the same CCT.
4.3.2.2. The drive current flowing through the LED source during IES LM-80 (incorporated by reference; see § 430.3) testing shall be greater than or equal to the subcomponent drive current employed in the LED lamp.
4.3.2.4. For LED arrays constructed as an assembly of LED dies on a printed circuit board or substrate (a.k.a. chip-on-board) with one common phosphor layer overlaying all dies, or with phosphor layers overlaying individual dies with or without single-color dies incorporated, a single IES LM-80 (incorporated by reference; see § 430.3) test shall represent the performance of a range of LED array sizes, if all of the following are satisfied:
4.3.2.4.1. IES LM-80 (incorporated by reference; see § 430.3) testing has been conducted on the largest LED array that the manufacturer believes will be used in a qualified product; and,
1. FTC uses the term `bulb,' while DOE uses the term `lamp.' Bulb and lamp refer to the same product.
2. FTC defines general service LED lamps as a lamp that is a consumer product; has a medium screw base; has a lumen range not less than 310 lumens and not more than 2,600 lumen; and, is capable of being operated at a voltage range at least partially within 110 and 130 volts. This test procedure rulemaking could be applied to general service LED lamps as defined by FTC as well as all other integrated LED lamps as discussed in section III.A of this NOPR.
3. FTC uses the term `brightness' on the Lighting Facts label even though `light output' is the technically correct term because FTC's research indicated that consumers prefer the term ‘brightness’ to ‘light output.’
4. FTC uses the term `life' while DOE uses the term `rated lifetime.' Life and rated lifetime have the same meaning.
5. Illuminating Engineering Society of North America.
6. “Approved Method: Electrical and Photometric Measurements of Solid-State Lighting Products.” Approved December 31, 2007.
7. Underwriters Laboratories Inc.
8. “Standard for Safety, Self-Ballasted Lamps and Lamp Adapters.” Published August 28, 2009.
9. “Approved Method: Measuring Lumen Maintenance of LED Sources.” Approved September 22, 2008.
10. “Projecting Long Term Lumen Maintenance of LED Light Sources.” Approved July 25, 2011.
12. Illuminating Engineering Society of North America (also abbreviated as IES).
13. “Nomenclature and Definitions for Illuminating Engineering.” Approved by ANSI on October 16, 2009. Approved by IES on November 15, 2009.
14. Lumen maintenance is the lumen output at a given point of time, expressed as a percentage of the initial lumen output. While the lumen output of the LED source is measured for use in the lumen maintenance calculation, the term lumen maintenance is used in this NOPR to indicate that lumen output is measured over a period of time.
15. The term “LED source” refers to the assembly of components or dies, including the electrical connections, printed on a circuit board or substrate. The LED source does not include the power source or base, but could possibly incorporate optical elements and additional thermal, mechanical, and electrical interfaces that are intended to connect to the load side of a LED driver. The LED source is the component of the LED lamp that produces light.
16. P-n junction is the boundary between p-type and n-type material in a semiconductor device, such as LEDs. P-n junctions are active sites where current can flow readily in one direction but not in the other direction—in other words, a diode.
17. Exciting current is the current passing through an LED chip during steady state operation.
18. International Electrotechnical Commission.
19. Publicly Available Specifications. An IEC PAS is a publication responding to an urgent market need.
20. “Publically Available Specification, Pre-standard: Self-ballasted LED-lamps for General Lighting Services—Performance Requirements.” Published June 2009.
21. A self-ballasted LED lamp as defined by the IEC refers to the same product as the term integrated LED lamp.
22. IES standards use the reference 2.0, 3.0, etc. for each primary section heading. Sub-sections under each of these sections are referenced as 2.1, 2.2, 3.1, 3.2, etc. This NOPR refers to each IES section exactly as it is referenced in the standard.
23. “IES Approved Method for the Electrical and Photometric Measurement of Fluorescent Lamps.” Approved January 31, 2009.
24. Root mean square (RMS) voltage/current is a statistical measure of the magnitude of a voltage/current signal. RMS voltage/current is equal to the square root of the mean of all squared instantaneous voltages/currents over one complete cycle of the voltage/current signal.
25. Fundamental frequency, often referred to as fundamental, is defined as the lowest frequency of a periodic waveform.
26. An infinite number of orientations are possible, but base-up, base-down, and horizontal cover the three main possibilities.
27. Cheong, Kuan Yew. “LED Lighting Standards Update.” CREE, August 5, 2011. Page 31. www.nmc.a-star.edu.sg/LED_050811/Kuan_CREE.pdf.
28. Richman, Eric. “Understanding LED Tests: IES LM-79, LM-80, and TM-21.” DOE SSL Workshop, July 2011. Page 13. http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/richman_tests_sslmiw2011.pdf.
29. IES LM-79-2008 defines preburning as the operation of a light source prior to mounting on a measurement instrument, to shorten the required stabilization time on the instrument.
30. Directional lamps are designed to provide more intense light to a particular region or solid angle. Light provided outside that region is less useful to the consumer, as directional lamps are typically used to provide contrasting illumination relative to the background or ambient light.
31. “LED Luminaire Lifetime: Recommendations for Testing and Reporting.” Second Edition. June 2011. http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/led_luminaire-lifetime-guide_june2011.pdf.
32. ENERGY STAR® Program Requirements for Integral LED Lamps
33. 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.
34. Arrhenius Equation is an equation that accounts for the temperature dependence of a reaction. It is useful for determining the temperature dependent lumen maintenance of LED sources.
35. ENERGY STAR Qualified Lamps Product List http://downloads.energystar.gov/bi/qplist/Lamps%20Qualified%20Product%20List.pdf?fd91-d291.
36. Obtained from the Bureau of Labor Statistics (National Compensation Survey: Occupational Earnings in the United States 2008, U.S. Department of Labor (August 2009), Bulletin 2720, Table 3 (“Full-time civilian workers,” mean and median hourly wages) http://bls.gov/ncs/ocs/sp/nctb0717.pdf.
[FR Doc. 2012-8469 Filed 4-6-12; 8:45 am]