[Federal Register Volume 77, Number 68 (Monday, April 9, 2012)]
[Proposed Rules]
[Pages 21038-21057]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-8469]


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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 Light-Emitting 
Diode Lamps

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

ACTION: Notice of proposed rulemaking.

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SUMMARY: The U.S. Department of Energy (DOE) proposes to establish test 
procedures for light-emitting diode (LED) lamps to support 
implementation of labeling provisions by the Federal Trade Commission 
(FTC) established under the Energy Policy and Conservation Act (EPCA). 
The proposed test procedures define methods for measuring the lumen 
output, input power, and relative spectral distribution (to determine 
correlated color temperature, or CCT) of LED lamps. Further, the 
proposed test procedures define methods for measuring the lumen 
maintenance of the LED source (the component of the LED lamp that 
produces light) to project the rated lifetime of LED lamps. The rated 
lifetime of the LED lamp is the time required for the LED source 
component of the lamp to reach lumen maintenance of 70 percent (that 
is, 70 percent of initial light output). After reviewing

[[Page 21039]]

available industry standards for determining the lumen output, input 
power, CCT, and rated lifetime, as well as current best practices and 
technological developments, DOE tentatively identified that the test 
methods described in the relevant Illuminating Engineering Society of 
North America (IES) standards are appropriate for developing test 
procedures for LED lamps. The proposed test procedures are based in 
large part on IES standards LM-79-2008, ``Approved Method: Electrical 
and Photometric Measurements of 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.

DATES: DOE will hold a public meeting on Thursday, May 3, 2012, from 9 
a.m. to 4 p.m., in Washington, DC. The meeting will also be broadcast 
as a webinar. See section V, ``Public Participation,'' for webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants.
    DOE will accept comments, data, and information regarding this 
notice of proposed rulemaking (NOPR) before and after the public 
meeting, but no later than June 25, 2012. See section V, ``Public 
Participation,'' for details.

ADDRESSES: The public meeting will be held at the U.S. Department of 
Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue SW., 
Washington, DC 20585. To attend, please notify Ms. Brenda Edwards at 
(202) 586-2945. Please note that foreign nationals visiting DOE 
Headquarters are subject to advance security screening procedures. Any 
foreign national wishing to participate in the meeting should advise 
DOE as soon as possible by contacting Ms. Edwards to initiate the 
necessary procedures. Please also note that those wishing to bring 
laptops into the Forrestal Building will be required to obtain a 
property pass. Visitors should avoid bringing laptops, or allow an 
extra 45 minutes. Persons can attend the public meeting via webinar. 
For more information, refer to the Public Participation section near 
the end of this notice.
    Any comments submitted must identify the NOPR for Test Procedures 
for LED lamps, and provide docket number EERE-2011-BT-TP-0071 and/or 
regulatory information number (RIN) number 1904-AC67. Comments may be 
submitted using any of the following methods:
    1. Federal eRulemaking Portal: http://www.regulations.gov Follow 
the instructions for submitting comments.
    2. Email: [email protected]. Include the docket 
number and/or RIN in the subject line of the message.
    3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue SW., 
Washington, DC 20585-0121. If possible, please submit all items on a 
CD. It is not necessary to include printed copies.
    4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, 950 L'Enfant Plaza SW., Suite 
600, Washington, DC 20024. Telephone: (202) 586-2945. If possible, 
please submit all items on a CD. It is not necessary to include printed 
copies.
    For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section V of this document 
(Public Participation).
    Docket: The docket is available for review at www.regulations.gov, 
including Federal Register notices, public meeting attendee lists and 
transcripts, comments, and other supporting documents/materials. All 
documents in the docket are listed in the http://www.regulations.gov 
index. However, not all documents listed in the index may be publicly 
available, such as information that is exempt from public disclosure.
    The www.regulations.gov Web page contains simple instructions on 
how to access all documents, including public comments, in the docket. 
See section V for information on how to submit comments through 
www.regulations.gov.
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the public meeting, 
contact Ms. Brenda Edwards at (202) 586-2945 or by email: 
[email protected].

FOR FURTHER INFORMATION CONTACT: Ms. Lucy deButts, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-2J, 1000 Independence Avenue SW., Washington, 
DC 20585-0121. Telephone: (202) 287-1604. Email: 
[email protected].
    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: [email protected]

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Authority and Background
II. Summary of the Notice of Proposed Rulemaking
III. Discussion
    A. Scope of Applicability
    B. Proposed Approach for Determining Lumen Output, Input Power, 
and Correlated Color Temperature
    1. Overview of Test Procedure
    2. Test Conditions
    3. Test Setup
    4. Test Method
    5. Test Calculations and Rounding
    C. Proposed Approach for Rated Lifetime Measurements
    1. Overview of Test Procedures
    2. Definition of the Rated Lifetime of an LED Lamp
    3. Overview of the Proposed Test Method to Project Rated 
Lifetime
    4. Test Conditions
    5. Test Setup
    6. Test Method and Measurements
    7. Method to Project Lumen Maintenance Data
    8. Method to Interpolate Lumen Maintenance Data
    D. Sampling Plan
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review under the Regulatory Flexibility Act
    1. Reasons, Objectives of, and Legal Basis for, the Proposed 
Rule
    2. Description and Estimated Number of Small Entities Regulated
    3. Description and Estimate of Burden on Small Businesses
    4. Duplication, Overlap, and Conflict with Other Rules and 
Regulations
    5. Significant Alternatives to the Rule
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
V. Public Participation
    A. Attendance at Public Meeting
    B. Procedure for Submitting Prepared General Statements For 
Distribution
    C. Conduct of Public Meeting
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    Title III of the Energy Policy and Conservation Act (42 U.S.C. 
6291, et

[[Page 21040]]

seq.; ``EPCA'' or, ``the Act'') sets forth a variety of provisions 
designed to improve energy efficiency. (All references to EPCA refer to 
the statute as amended through the Energy Independence and Security Act 
of 2007 (EISA 2007), Public Law 110-140 (Dec. 19, 2007)). Part B of 
title III, which for editorial reasons was redesignated as Part A upon 
incorporation into the U.S. Code (42 U.S.C. 6291-6309), establishes the 
``Energy Conservation Program for Consumer Products Other Than 
Automobiles.''
    Under EPCA, this program consists of four parts: (1) Testing, (2) 
labeling, (3) Federal energy conservation standards, and (4) 
certification and enforcement procedures. This rulemaking establishes 
test procedures that manufacturers of light-emitting diode (LED) lamps 
would use to meet obligations under labeling requirements promulgated 
by the Federal Trade Commission (FTC) under section 324(a)(6) of EPCA 
(42 U.S.C. 6294(a)(6)).

Test Procedure Rulemaking Process

    When the U.S. Department of Energy (DOE) proposes test procedures, 
it must offer the public an opportunity to present oral and written 
comments on them. (42 U.S.C. 6293(b)(2)) EISA 2007 section 321(b) 
amended EPCA (42 U.S.C. 6294(a)(2)(C)) to direct FTC to consider the 
effectiveness of lamp labeling for power levels or watts, light output 
or lumens, and lamp lifetime. This test procedure rulemaking for LED 
lamps is being conducted to support FTC's determination that LED lamps, 
which had previously not been labeled, require labels under EISA 
section 321(b) and 42 U.S.C. 6294(a)(6) in order to assist consumers in 
making purchasing decisions. 75 FR 41696, 41698 (July 19, 2010).
    FTC has published a final rule for light bulb \1\ labeling 
(Lighting Facts) that went into effect on January 1, 2012. 75 FR 41696 
(July 19, 2010) The FTC Lighting Facts label covers three types of 
medium screw base lamps: general service incandescent lamps (GSIL), 
compact fluorescent lamps (CFL), and general service LED lamps.\2\ The 
label requires manufacturers to disclose 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.
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    \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.
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    In this notice of proposed rulemaking (NOPR), DOE proposes test 
procedures for determining the lumen output, input power, CCT, and 
rated lifetime of LED lamps. DOE invites comment on all aspects of the 
proposed test procedure for LED lamps.

II. Summary of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes test procedures for determination of 
lumen output, input power, CCT, and rated lifetime of an LED lamp. 
Specifically, DOE proposes to incorporate by reference IES \5\ LM-79-
2008 \6\ for determination of lumen output, input power, and CCT, UL 
\7\ 1993-2009 \8\ for support of the in-situ temperature measurement 
test (ISTMT), IES standards LM-80-2008 \9\ and TM-21-2011 \10\ for 
determination of rated lamp lifetime, and ANSI \11\/IESNA \12\ RP-16-
2010 \13\ for the definition of integrated LED lamps. DOE reviewed 
several potential approaches to testing lamp lumen output, input power, 
CCT, and rated lifetime, and determined that 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.
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    \5\ Illuminating Engineering Society of North America.
    \6\ ``Approved Method: Electrical and Photometric Measurements 
of Solid-State Lighting Products.'' Approved December 31, 2007.
    \7\ Underwriters Laboratories Inc.
    \8\ ``Standard for Safety, Self-Ballasted Lamps and Lamp 
Adapters.'' Published August 28, 2009.
    \9\ ``Approved Method: Measuring Lumen Maintenance of LED 
Sources.'' Approved September 22, 2008.
    \10\ ``Projecting Long Term Lumen Maintenance of LED Light 
Sources.'' Approved July 25, 2011.
    \11\ American National Standards Institute.
    \12\ Illuminating Engineering Society of North America (also 
abbreviated as IES).
    \13\ ``Nomenclature and Definitions for Illuminating 
Engineering.'' Approved by ANSI on October 16, 2009. Approved by IES 
on November 15, 2009.
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    DOE conducted literature research and determined that IES LM-79-
2008 is the standard used by industry to determine the electrical and 
photometric characteristics of LED lamps. IES LM-79-2008 provides the 
test setup, test conditions including instrumentation and electrical 
settings, test method, and calculations for determining the input 
power, lumen output, and CCT of LED lamps. Section III.B details the 
relevant sections of IES LM-79-2008 that are incorporated by reference, 
and any proposed changes, if required.
    To develop a Federal test procedure for determining the rated 
lifetime of LED lamps, DOE conducted literature research and 
interviewed several industry experts to understand the methods used by 
industry to determine the rated lifetime of LED lamps. Due to the 
infancy of the technology, there are no industry standards that 
describe a methodology for determining rated lifetime based on direct 
measurements of an LED lamp. Based on the information currently 
available, DOE determined that IES LM-80-2008 should be used to measure 
the lumen maintenance \14\ of an LED source \15\ at the in-situ 
temperature determined by performing an ISTMT. The test setup and 
conditions for conducting the ISTMT should be as specified in UL 1993-
2009. Finally, the LED source rated lifetime should be projected using 
the method described in IES TM-21-2011. DOE is proposing that the lumen 
maintenance of the LED source be measured and projected rather than the 
lumen maintenance of the LED lamp because currently there are no well-
specified and established methods for projecting LED lamp lumen 
maintenance data. The proposed method is based on industry accepted 
measurements and projection methods

[[Page 21041]]

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.
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    \14\ Lumen maintenance is the lumen output at a given point of 
time, expressed as a percentage of the initial lumen output. While 
the lumen output of the LED source is measured for use in the lumen 
maintenance calculation, the term lumen maintenance is used in this 
NOPR to indicate that lumen output is measured over a period of 
time.
    \15\ The term ``LED source'' refers to the assembly of 
components or dies, including the electrical connections, printed on 
a circuit board or substrate. The LED source does not include the 
power source or base, but could possibly incorporate optical 
elements and additional thermal, mechanical, and electrical 
interfaces that are intended to connect to the load side of a LED 
driver. The LED source is the component of the LED lamp that 
produces light.
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III. Discussion

A. Scope of Applicability

    This rulemaking is applicable to LED lamps that fall within DOE's 
proposed definition of an LED lamp in 10 CFR part 430.2, which is based 
on the term integrated LED lamps as defined by ANSI/IESNA RP-16-2010, 
``Nomenclature and Definitions for Illuminating Engineering.'' These 
integrated lamps comprise the LED source (the LED packages (components) 
or LED arrays (modules)), LED driver, ANSI standard base, and other 
optical, thermal, mechanical and electrical components such as phosphor 
layers, insulating materials, fasteners to hold components within the 
lamp together, and electrical wiring. The LED lamp is intended to 
connect directly to a branch circuit through a corresponding ANSI 
standard socket. EPCA, as amended by EISA 2007 section 321(a)(1)(B), 
adds the definition for LED as a p-n junction \16\ solid state device, 
the radiated output of which, either in the infrared region, the 
visible region, or the ultraviolet region, is a function of the 
physical construction, material used, and exciting current \17\ of the 
device. (42 U.S.C. 6291(30)(CC)) DOE invites interested parties to 
comment on the scope of applicability of this test procedure and the 
incorporation of ANSI/IESNA RP-16-2010 to define LED lamps.
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    \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.
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B. Proposed Approach for Determining Lumen Output, Input Power, and 
Correlated Color Temperature

1. Overview of Test Procedure
    DOE reviewed industry standards and spoke with industry experts to 
determine the best method for measuring the lumen output, input power, 
and CCT of LED lamps. DOE 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[supreg] 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.
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    \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.
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    IES LM-79-2008 specifies the test setup and conditions at which the 
measurements and calculations must be performed. These include ambient 
conditions, power supply characteristics, lamp orientation, seasoning, 
and stabilization methods for LED lamps, and instrumentation and 
electrical settings. These requirements, and any modifications proposed 
by DOE, are further discussed in the sections III.B.2 through III.B.5. 
DOE requests comment on the proposed incorporation of IES LM-79-2008 
for determining lumen output, input power, and CCT.
2. Test Conditions
    DOE proposes that the ambient conditions for testing LED lamps be 
as 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.
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    \22\ IES standards use the reference 2.0, 3.0, etc. for each 
primary section heading. Sub-sections under each of these sections 
are referenced as 2.1, 2.2, 3.1, 3.2, etc. This NOPR refers to each 
IES section exactly as it is referenced in the standard.
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    Section 2.2 of IES LM-79-2008 specifies that photometric 
measurements should be taken at an ambient temperature of 25 degrees 
Celsius ([deg]C)  1 [deg]C. DOE's view is 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 for a 
greater accuracy allowing the test laboratories to maintain the 
temperature within the required tolerance for testing. Section 2.2 
further specifies that the temperature should be measured at a point 
not more than one meter from the LED lamp and at the same height as the 
lamp. The standard also requires that the temperature sensor that is 
used for measurements be shielded from direct optical radiation from 
the lamp or any other source to reduce the impact of radiated heat on 
the ambient temperature measurement. This setup for measuring and 
controlling ambient temperature would result in appropriate testing 
conditions because it requires that the lamp be tested at room 
temperature and in an environment that is used most commonly for 
testing lamp technologies.
    DOE proposes that the requirement for air movement around the LED 
lamp be as specified in section 2.4 of IES LM-79-2008, which requires 
that the air flow around the LED lamp should be such that it does not 
affect the lumen output measurements of the lamp being tested. DOE 
understands that this requirement would ensure consistent LED lamp 
measurements and is a requirement for the test setup of other lamp 
types such as GSFLs.
    DOE also considered whether a specific method for determination of 
a draft-free environment should be specified. Section 4.3 of IES LM-9-

[[Page 21042]]

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.
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    \23\ ``IES Approved Method for the Electrical and Photometric 
Measurement of Fluorescent Lamps.'' Approved January 31, 2009.
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3. Test Setup
a. Power Supply
    DOE proposes that section 3.1 of IES LM-79-2008 be incorporated by 
reference to specify requirements for both alternating current (AC) and 
direct current (DC) power supplies. This section specifies that an AC 
power supply should have a sinusoidal voltage waveshape at the input 
frequency required by the LED lamp such that the root mean square (RMS) 
\24\ summation of the harmonic components does not exceed three percent 
of the fundamental frequency \25\ while operating the LED lamp. Section 
3.2 of IES LM-79-2008 also requires that the voltage of an AC power 
supply (RMS voltage) or DC power supply (instantaneous voltage) applied 
to the LED lamp should be within  0.2 percent. These 
requirements are achievable with minimal testing burden and provide 
reasonable stringency in terms of power quality based on their 
similarity to voltage tolerance requirements for testing of other lamp 
types. These requirements ensure that the power supplied to the LED 
lamps is consistent and, in combination with other specifications, 
would likely result in repeatable photometric measurements.
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    \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.
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b. Lamp Mounting and Orientation
    DOE proposes that the LED lamp be mounted as specified in section 
2.3 of IES LM-79-2008 and be positioned in the base-up, base-down, and 
horizontal orientations for testing. Section 2.3 of IES LM-79-2008 
requires that the LED lamp should be mounted to the measuring 
instrument (integrating sphere or goniophotometer as described in 
section III.B.4.c) in such a manner that the heat flow through 
supporting objects does not affect the measurement results. This is 
important because the lumen output of LED lamps is sensitive to thermal 
changes. DOE's view is that 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.
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    \26\ An infinite number of orientations are possible, but base-
up, base-down, and horizontal cover the three main possibilities.
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c. Instrumentation
    DOE proposes that the instrumentation requirements for the AC power 
meter and the AC and DC voltmeter and ammeter, as well as the 
acceptable tolerance for these instruments, be as specified in section 
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.
d. Electrical Settings
    DOE proposes that the electrical settings for testing LED lamps be 
as specified in section 7.0 of IES LM-79-2008. Section 7.0 provides 
guidance on settings such as input voltage, level of light output for 
dimming capable LED lamps, and the modes for testing lamps with 
variable CCT. Section 7.0 states that the lamp should be operated at 
the specified rated voltage during testing. As stated in section 7.0, 
DOE agrees that any method, such as pulsed input electrical power and 
measurements synchronized with reduced duty cycle input power, intended 
to reduce the 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,

[[Page 21043]]

section 7.0 of IES LM-79-2008 specifies that for LED lamps with dimming 
capabilities, the lamp should be operated at the maximum input power 
for testing. DOE invites interested parties to comment on the 
appropriateness of testing LED lamps at the rated voltage and testing 
lamps that are rated to operate at multiple voltages at either 120 
volts or the highest rated voltage. DOE also requests comment on 
testing lamps with dimming capabilities at the maximum input power.
    Lastly, section 7.0 of IES LM-79-2008 specifies that if an LED lamp 
has multiple modes of operation, including variable CCT, testing should 
be performed in each mode of operation for each unit. In its research, 
DOE did not come across any products that function at multiple modes of 
operation. DOE requests comment about whether LED lamps with variable 
CCT, or multiple modes of operation, are available in the market. If 
such lamps are available, DOE requests comment about whether such lamps 
should be tested at a particular CCT value rather than at each value.
4. Test Method
a. Lamp Seasoning
    DOE proposes that the LED lamp under test be seasoned (energized 
and operated) for 1,000 hours before beginning photometric 
measurements, contrary to the requirements of section 4.0 of IES LM-79-
2008 which indicates no seasoning is required. Though IES LM-79-2008 
states that the increase in light output from zero to 1,000 hours of 
operation does not significantly affect light output or lifetime 
ratings, IES TM-21-2011 specifies that the data obtained from the first 
1,000 hours of operating an LED source should not be used to project 
the lifetime of an LED source (and hence, LED lamp rated lifetime as 
discussed in section III.C). DOE is proposing a 1,000 hour seasoning 
time because it has been established by industry 27 
28 that light output of an LED source (and therefore, 
potentially the lamp) frequently increases during the first 1,000 hours 
of operation. If the lamp is not seasoned for 1,000 hours, then 
depending on the time required to stabilize the lamp (as specified in 
section III.B.4.b), the lumen output determined through testing may be 
much higher than the actual lumen 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.
---------------------------------------------------------------------------

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

b. Lamp Stabilization
    After the lamp has been seasoned, DOE proposes that the time 
required for lamp stabilization be as specified in section 5.0 of IES 
LM-79-2008. The ambient conditions and operating orientation of the LED 
lamp while stabilizing should continue to be as specified in sections 
III.B.2 and III.B.3.b. DOE further proposes that stability of the LED 
lamp is reached when the variation [(maximum-minimum)/minimum] of at 
least three readings of light output and electrical power over a period 
of 30 minutes, taken 15 minutes apart, is less than 0.5 percent. This 
calculation in included to add clarification to the method specified in 
section 5.0 of IES LM-79-2008. For stabilization of a number of 
products of the same model, section 5.0 of IES LM-79-2008 suggests that 
preburning \29\ of the product may be used if it has been established 
that the method produces the same stabilized condition as when using 
the standard method described above. DOE invites interested parties to 
comment on adopting section 5.0 of IES LM-79-2008 for LED lamp 
stabilization prior to taking photometric measurements and whether its 
clarification on the variation calculation is appropriate.
---------------------------------------------------------------------------

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

c. Lumen Output Measurement
    After the lamp has been seasoned and stabilized, DOE proposes that 
the test method for measuring the lumen output of the LED lamp under 
test be as specified in section 9.0 of IES LM-79-2008. This section 
requires that the lumen output of the LED lamp be measured with an 
integrating sphere 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.
---------------------------------------------------------------------------

    \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.

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

[[Page 21044]]

d. Determination of Correlated Color Temperature
    DOE proposes that the CCT of the LED lamp under test should be 
calculated as specified in section 12.4 of IES LM-79-2008. The CCT is 
determined by measuring the relative spectral distribution, calculating 
the chromaticity coordinates, and then matching the chromaticity 
coordinates to a particular CCT of the Planckian radiator. The setup 
for measuring the relative spectral distribution, which is required to 
calculate the CCT of the LED lamp, should be as specified in section 
12.0 of IES LM-79-2008. This section describes the test method to 
calculate CCT using a sphere-spectroradiometer system and a 
spectroradiometer or colorimeter system. Section 12.0 of IES LM-79-2008 
also specifies the spectroradiometer parameters that affect CCT and the 
method to evaluate spatial non-uniformity of chromaticity.
5. Test Calculations and Rounding
    DOE is proposing calculation and rounding requirements to be used 
for determining brightness, energy use, light appearance, and estimated 
annual energy cost, should a DOE test procedure be referenced by the 
FTC through a future rulemaking process in support of the FTC Lighting 
Facts label. DOE proposes that the input power of all test units be 
averaged and the average value be rounded to the nearest tenths digit 
(see section III.D for proposed sampling requirements). DOE found that 
LED lamp datasheets typically provide input power values to the ones 
digit or the tenths digit. DOE proposes that average input power be 
rounded to the tenths digit because for products with input power less 
than 10 watts, tenths digit would be useful for discerning differences 
in power consumption, and input power measurements can be made to this 
level of accuracy. DOE also proposes that the lumen output of all units 
be averaged and the value be rounded to the nearest tens digit because 
this level of resolution is necessary for differentiating the light 
output of lamps that frequently have lumen output of less than 1,000 
lumens. DOE's view is that this level of accuracy is achievable because 
manufacturers typically report lumen output for LED lamps to the tens 
digit in catalogs. For CCT, DOE proposes that CCT of all units be 
averaged and the value be rounded to the tens digit. In the 2009 GSFL 
test procedure final rule, DOE determined that all laboratories are 
able to measure CCT to three significant digits. 74 FR 31829 (July 6, 
2009). Because a typical CCT is in the thousands (such as 4200 Kelvin), 
maintaining three significant digits requires rounding to the tens 
digit. Finally, consistent with FTC's final rule establishing the 
Lighting Facts label, DOE proposes that the estimated annual energy 
cost for LED lamps, expressed in dollars per year, be calculated as the 
product of the average input power, in kilowatts, the electricity cost 
rate of 11 cents per kilowatt-hour, and the estimated average annual 
use at three hours per day, which is 1,095 hours per year. 75 FR 41702 
(July 19, 2010) DOE proposes that the estimated annual energy cost 
should be rounded to the nearest cent because the cost of electricity 
is specified to the nearest cent. DOE invites interested parties to 
comment on the proposed calculation and rounding requirements for 
determining lumen output, input power, CCT, and estimated annual energy 
cost.

C. Proposed Approach for Rated Lifetime Measurements

1. Overview of Test Procedures
    DOE reviewed several methods to measure the rated lifetime of LED 
lamps, such as those contained in industry standards and based on DOE 
and ENERGY STAR working groups. Of the methods researched, the first 
three methods mentioned in Table III.1 test the LED lamp to determine 
the rated lifetime and the final method in Table III.1 test the LED 
source to determine the rated lifetime of the lamp. While it would be 
preferred to project the rated lifetime of the LED lamp rather than the 
LED source, currently, a standardized method only exists for projecting 
the lumen maintenance of the LED source and not the LED lamp. The 
approaches researched, and listed in Table III.1, include: (1) 
Measuring the lumen output of the LED lamp until it reaches 70 percent 
of the initial lumen output (L70) based on IES LM-79-2008; 
(2) measuring the lumen output of the LED lamp for 6,000 hours and 
projecting the L70 lifetime in number of hours based on the 
minimum lumen maintenance at 6,000 hours, as specified in the ENERGY 
STAR Specification for Integral LED Lamps Version 1.4; (3) measuring 
the lumen output of the LED lamp for a minimum of 6,000 hours based on 
IES LM-79-2008 and projecting the time at which the lumen output would 
reach 70 percent of the initial lumen output; and (4) measuring the 
lumen output of the LED sources at regular intervals for a minimum of 
6,000 hours based on IES LM-80-2008 and projecting the time at which 
the lumen output would reach 70 percent of the initial lumen output 
based on IES TM-21-2011. These approaches, and the benefits and 
limitations of each approach, are listed in Table III.1 below.

        Table III.1--Approaches To Define Rated LED Lamp Lifetime
------------------------------------------------------------------------
                     Description of
    Approach             method            Advantages     Disadvantages
------------------------------------------------------------------------
1...............  Measure lamp lumen     Not a   
                   output as specified   projection;      Performing
                   in IES LM-79-2008.    accounts for     complete IES
                   Lifetime of LED       performance of   LM-79-2008
                   lamp is time when     entire LED       test is time
                   half the product      lamp until it    consuming and
                   population is below   reaches L70.     expensive.
                   70 percent of         True    
                   initial lumen         representation   Product may be
                   output (L70).         of LED lamp      obsolete when
                                         L70 lifetime.    testing is
                                                          complete (up
                                                          to six years).
2...............  Measure lamp lumen     Final    Method
                   output for 6,000      lifetime         used to
                   hours as specified    claims are       develop
                   in IES LM-79-2008.    based on LED     projection of
                   Maximum L70 life      lamp (rather     lifetime is
                   claim is dependent    than just LED    unverified.
                   on minimum lumen      source) tests.   Does
                   maintenance at        Lumen    not account
                   6,000 hours as        maintenance      for
                   specified in ENERGY   projection is    catastrophic
                   STAR specification    based on 6,000   LED lamp
                   for integral LED      hours of IES     failure
                   lamps version 1.4.    LM-79-2008 and   mechanisms
                   Perform rapid-cycle   hence, is not    beyond 6,000
                   stress test to        as time          hrs.
                   assess catastrophic   consuming as    
                   lamp failure.         performing       Cycling is not
                                         full IES LM-79-  a proven
                                         2008 test to     source of
                                         L70.             catastrophic
                                                          failure for
                                                          LED lamps.

[[Page 21045]]

 
3...............  Measure LED lamp               
                   lumen output as       Lifetime is      Standard
                   specified in IES LM-  determined       method not yet
                   79-2008 for 6,000     based on LED     developed to
                   hours minimum.        lamp lumen       project lumen
                   Lumen output data     maintenance      output of LED
                   is projected to L70   data, rather     lamp.
                   life of the LED       than source      May
                   lamp and this value   data.            not be
                   is the rated                   feasible to
                   lifetime.             Lifetime         develop a
                                         projection       method for
                                         based on 6,000   projecting IES
                                         hours of data    LM-79-2008
                                         which is not     lumen output
                                         as time          data in a
                                         consuming as     timely manner
                                         performing a     for the FTC
                                         full IES LM-79-  Lighting Facts
                                         2008 test to     label.
                                         L70.
4...............  Measure LED source     Uses     Not a
                   lumen output as       latest           complete
                   specified in IES LM-  industry         representation
                   80-2008 and use IES   standards IES    of LED
                   TM-21-2011 to         TM-21-2011 and   lifetime.
                   project number of     IES LM-80-2008   Determined
                   hours at which the    to determine     value may
                   lumen output          lumen            underestimate
                   reaches 70 percent    maintenance of   or
                   of initial lumen      source           overestimate
                   output (L70). The     accounting for   actual
                   life of LED lamp is   temperature      lifetime.
                   the value projected   effects.         Does
                   by IES TM-21-2011     Not as   not account
                   with a maximum        time consuming   for other LED
                   limit of 25,000       or expensive     lamp lumen
                   hours.                as IES LM-79-    degradation
                                         2008 testing--   methods.
                                         utilizes test
                                         data commonly
                                         provided by
                                         LED package
                                         manufacturers.
------------------------------------------------------------------------

    For approach 1, measuring the lumen output of the LED lamp until it 
reaches 70 percent of the initial lumen output is not practical because 
it may require up to six years of testing, by which time the LED lamp 
may be obsolete. Approaches 2 and 3 specify measuring the lumen output 
of the LED lamp for 6,000 hours according to IES LM-79-2008 and 
projecting the rated lifetime of the lamp from this data. These methods 
have the advantage of projecting rated lifetime directly from LED lamp 
lumen maintenance data, but a standardized method for making this 
projection has not yet been developed. Approach 4 determines the rated 
lifetime of the LED lamp using projected life of the LED source 
contained in the lamp based on IES LM-80-2008 data and the IES TM-21-
2011 projection method with a maximum limit of 25,000 hours. This 
method limits required testing time to 6,000 hours and is based on IES 
standards. It would be preferable to consider the performance of the 
entire LED lamp to determine rated lifetime, but the current methods 
for measurement and projection of the lamp are not practical or 
sufficiently specified. Therefore, based on currently available 
information, DOE preliminarily has determined that approach 4 is the 
best approach to determine rated LED lifetime. DOE invites comment on 
relative costs and benefits of the four approaches.
    Regarding the proposed method, approach 4, using IES LM-80-2008 and 
IES TM-21-2011, DOE recognizes that the LED driver component 
degradation and failure rates, the interactions among the LED sources 
and between LED sources and other components within the lamp, as well 
as color shift, are known to affect the rated lifetime of the LED lamp. 
However, standardized test methods do not currently exist to determine 
the impact of each of these components on the overall rated lifetime of 
LED lamps. In the absence of this information, the rated lifetime of 
the LED lamp can be determined only through testing and projecting 
lumen maintenance of the LED source. As new standards to define the 
life of LED drivers and components are developed, this test procedure 
can be revised.
    Further, DOE proposes that the maximum projection of rated lifetime 
not exceed 25,000 hours, expressed in number of years, based on three 
hours per day of use. This would ensure that exceedingly large rated 
lifetime projections are not made based only on IES LM-80-2008 data and 
IES TM-21-2011 projections. This method could lead to inaccurate 
projections if the driver installed in an LED lamp does not operate as 
long as the source is projected to survive. Another issue could arise 
if the operation of the driver compensates for degradation of the LED 
source in the first 6,000 hours of operation. In this situation, the 
LED source lumen maintenance data could decrease rapidly once the 
driver is unable to compensate for degradation of the LED source. 
However, an extrapolation of the first 6,000 hours of data would not be 
able to predict when the rapid degradation of the LED source would 
occur, and consequently would project a longer rated lifetime than is 
realistic. IES TM-21-2011 also sets an upper limit to the maximum 
allowable projection, such as 5.5 times the test duration for 10-19 
units and six times the test duration for 20 units. However, these 
limits are defined with a 90 percent confidence on the projection of 
LED source lifetime, and the proposed upper limit of 25,000 hours is 
based on a conservative estimate of the overall LED lamp's lifetime.
    Therefore, DOE proposes to incorporate IES standards LM-80-2008 and 
TM-21-2011 for projecting the rated lifetime of LED lamps. As discussed 
in section III.B, IES is the recognized technical authority on 
illumination and the standards that DOE proposes to incorporate are 
prepared by the IES subcommittee on Solid State Light Sources of the 
IESNA Testing Procedures Committee. DOE's view is that the committee 
members that worked on developing both of these IES standards represent 
applicable industry groups and interested parties. DOE reviewed IES LM-
80-2008 and IES TM-21-2011 to determine whether any additional 
information would be required for providing a test procedure for 
determining the rated lifetime of LED sources, and thus, LED lamps. DOE 
concluded that IES LM-80-2008 and IES TM-21-2011 provide most of the 
information that is required for setting up the LED sources for 
testing, measuring the lumen output of the LED sources, and projecting 
the rated lifetime of the LED source. Additionally, DOE proposes to 
incorporate UL standard 1993-2009 to describe the test setup and 
conditions for an ISTMT to determine the temperature at which IES LM-
80-2008 data should be used to project the rated lifetime of the LED 
lamp. These requirements, and any variations, are further discussed in 
sections III.C.3 through III.C.8. DOE

[[Page 21046]]

requests comment on the proposed incorporation of IES standards LM-80-
2008 and TM-21-2011 and UL standard 1993-2009.
2. Definition of the Rated Lifetime of an LED Lamp
    Based on the proposed approach to determine lifetime, DOE proposes 
that the rated lifetime of an LED lamp be defined as the time when the 
lumen output of the LED sources within the lamp falls below 70 percent 
of the initial light output (L70). DOE understands that the 
L70 metric is the standard reference level to define rated 
LED lamp lifetime \31\ and is widely accepted by industry as well. DOE 
invites interested parties to comment on the definition of the rated 
lifetime of an LED lamp.
---------------------------------------------------------------------------

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

3. Overview of the Proposed Test Method To Project Rated Lifetime
    DOE proposes that the rated lifetime of an LED lamp should be 
obtained by following the three steps listed below. First, the in-situ 
temperature of the LED source when it operates within the lamp should 
be measured. Second, the lumen maintenance data at the in-situ 
temperature should be obtained. Finally, the lumen maintenance data 
should be projected to determine the rated lifetime.
    DOE proposes that the in-situ temperature of the LED source should 
be obtained by performing an ISTMT. Section III.C.6.a discusses the 
test setup and conditions, as well as the method of measuring the in-
situ temperature for the ISTMT. To obtain the lumen maintenance data at 
the in-situ temperature, DOE proposes that the data can be obtained 
through any one of the following three options: (1) Directly from the 
source manufacturer; (2) by interpolating the data provided by a source 
manufacturer from two case temperatures not at the in-situ temperature; 
or (3) by measuring the lumen maintenance of the LED source at the in-
situ case temperature. DOE understands that LED source manufacturers 
typically test LED sources at three temperatures as required by IES LM-
80-2008. These three temperatures are 55[deg]C, 85[deg]C, and a third 
temperature suggested by the source manufacturer. Further, DOE 
understands that source manufacturers can provide the lumen maintenance 
data at these three temperatures to LED lamp manufacturers as needed. 
If the lumen maintenance data is available at the in-situ temperature 
(option 1 above) or if the lumen maintenance data can be interpolated 
from the data provided by the LED source manufacturer (option 2 above), 
then the LED lamp manufacturer would not need to test the LED sources. 
However, if the lumen maintenance data is not available directly or 
through interpolation from the LED source manufacturer, LED lamp 
manufacturers would need to test the LED sources at the in-situ 
temperature to obtain the lumen maintenance data to project the rated 
lifetime (option 3 above). Section III.C.8 discusses the proposed 
approach to interpolate lumen maintenance data for option 2 above. 
Further, sections III.C.4 through III.C.6.b discuss the proposed 
approach to test the LED sources to obtain lumen maintenance data, 
which would only be required for option 3 above.
    Finally, section III.C.7 discusses the method to project the lumen 
maintenance data (gathered from option 1, 2, or 3) and obtain the rated 
lifetime.
4. Test Conditions
    DOE proposes that the vibration, temperature, drive current, 
humidity, and airflow requirements for testing the LED sources be as 
specified in section 4.4 of IES LM-80-2008. Section 4.4.1 of IES LM-80-
08 requires that the LED source not be subjected to excessive vibration 
or shock during testing.
    For the operation of the LED sources between photometric 
measurements, DOE does not propose to require the lamp manufacturer to 
test the LED sources at three case temperatures as specified in section 
4.4.2 of IES LM-80-2008. Instead, DOE proposes that the LED source 
under test be operated at the same case temperature it reaches when 
assembled and operated within the LED lamp. This temperature can be 
determined by performing an ISTMT as described in section III.C.6.a. 
Further, DOE proposes that each of the LED sources must be operated at 
this in-situ temperature with the same drive current passing through 
each LED source (see section III.D for sampling requirements). DOE 
proposes that the drive current flowing through the LED source under 
test should be greater than or equal to the subcomponent drive current 
in the LED lamp. DOE invites comment on the appropriateness of 
operating the LED sources at the in-situ case temperature and drive 
current.
    Section 4.4.2 of IES LM-80-2008 further specifies that the 
temperature should be maintained between the desired case temperature 
and 2 [deg]C less than the desired case temperature during testing, and 
the temperature of the air surrounding the LED sources should be 
maintained between the desired case temperature and 5 [deg]C less than 
the desired case temperature during testing. Section 6.3 of IES LM-80-
2008 also specifies that the LED sources be allowed to cool to room 
temperature before each lumen output measurement and that the ambient 
temperature during this measurement be 25 [deg]C  2 [deg]C. 
Finally, section 4.4.2 of IES LM-80-2008 specifies that the relative 
humidity (RH) should be maintained to less than 65 RH during testing.
    Further, DOE considered whether the measurement location for the 
air surrounding the LED sources and the measurement location for the 
ambient temperature while measuring lumen output should be specified. 
IES LM-79-2008 specifies that the ambient temperature must be measured 
at a point not more than one meter from the LED lamp. DOE requests 
comment on whether a similar requirement, one meter from the LED 
source, should be specified for measuring air and ambient temperature 
around the source.
    Finally, DOE proposes that the airflow around the LED sources under 
test should be as specified in section 4.4.3 of IES LM-80-2008, which 
states that the airflow should be maintained to minimize air drafts but 
allow some movement of the air to avoid thermal stratification. DOE 
invites interested parties to comment on the appropriateness of 
adopting section 4.4.3 of IES LM-80-2008 for acceptable airflow around 
the LED sources under test. Further, DOE requests comment on whether 
testing with a single ply tissue paper, as specified in section 4.3 of 
IES LM-9-2009, should be used to ensure a draft free environment for 
testing LED sources.
5. Test Setup
a. Operating Orientation
    DOE proposes that the LED sources be operated in accordance with 
section 4.4.4 of IES LM-80-2008, which states that the LED sources must 
be operated in the orientation specified by the source manufacturer. 
DOE understands that there may be effects from convection airflow due 
to heat-sinks and thermal management, and therefore also proposes that 
the LED sources should be spaced to allow airflow around each test unit 
as recommended in section 4.4.4 of IES LM-80-2008.
    DOE notes that it is not specifying the orientation for testing LED 
sources but is specifying the orientation for testing LED lamps (as 
discussed in section III.B.3.b). Because the LED source case 
temperature is not controlled during an LED lamp test and LED lamp 
orientation

[[Page 21047]]

can change the LED source case temperature, specification of operating 
orientation is necessary for an LED lamp. By contrast, the case 
temperature of the LED source is controlled during testing, minimizing 
the effect of operating orientation on the light output of the LED 
source. DOE invites interested parties to comment on whether the 
operating orientation of LED sources during testing affects the lumen 
depreciation over time.
b. Electrical Setup
    DOE proposes that the electrical setup including input voltage, 
input current, and driver used for testing LED sources be as specified 
in section 5.0 of IES LM-80-2008. Section 5.1 of IES LM-80-2008 
specifies that the input voltage should conform to the rated input 
voltage (RMS) and frequency of the driver. For drivers that require DC, 
ripple voltage should not exceed two percent of the DC output voltage. 
Section 5.2 of IES LM-80-2008 further specifies that the power supply 
should have a voltage waveshape such that the total harmonic distortion 
does not exceed three percent of the fundamental frequency.
    Section 5.3 of IES LM-80-2008 specifies that the input current 
should be within  three percent of the rated RMS value 
during testing and within  0.5 percent of the rated RMS 
value during lumen output measurements. Section 5.3 of IES LM-80-2008 
further specifies that the current can be de-rated as a function of 
temperature in accordance with the manufacturer's recommendation. This 
requirement ensures that the LED source is operated at the same current 
that it would be operated at within the LED lamp.
    Section 5.4 of IES LM-80-2008 requires that the external driver 
used for testing LED sources be compliant with manufacturer's guidance. 
DOE believes that this requirement would ensure that the LED sources 
operate at the rated input current and would provide consistent lumen 
output measurements for rated lifetime projections. DOE invites comment 
on the appropriateness of adopting section 5.4 for the external driver 
specification to test LED sources. DOE understands that the driver used 
for testing LED sources per IES LM-80-2008 is a simple power supply 
that converts AC input power to DC output power and it is not similar 
to the drivers used in LED lamps. DOE requests comment on whether more 
specifications should be provided for the driver used to test LED 
sources.
c. Thermal Setup
    DOE proposes that the thermal setup for testing LED sources be as 
specified in section 5.5 of IES LM-80-2008. It states that the case 
temperature should be measured directly on the LED source at the case 
temperature measurement point designated by the manufacturer using a 
thermocouple. A manufacturer-recommended heat sink should be used for 
temperature maintenance.
d. Instrumentation
    DOE proposes that the instrumentation required for recording time 
and measuring the lumen output of LED sources should be as specified in 
section 6.1 of IES LM-80-2008 and section 9.0 of IES LM-79-2008 
respectively. Section 6.1 of IES LM-80-2008 specifies that if an 
elapsed time meter is used, it should be connected to the particular 
test position and should accumulate time only when the LED sources are 
energized. Monitoring devices should not accumulate time if there is a 
power failure to a source. Additionally, section 6.1 of IES LM-80-2008 
recommends using video monitoring, current monitoring, or other means 
to determine the elapsed operating time if they are designed to provide 
sufficient temporal accuracy. This section also requires that the total 
time uncertainty should be within  0.5 percent.
    DOE further proposes that the lumen output measurement should be 
made as specified in section 9.0 of IES LM-79-2008. The lumen output 
should be measured at the drive current used throughout rated lifetime 
testing. DOE finds that consistently maintaining the drive current 
across all measurements would ensure an accurate representation of the 
rated LED lamp lifetime. DOE is not proposing section 6.2 of IES LM-80-
2008 for measuring the lumen output of the LED sources because it 
recommends that the lumen output measurement should be determined from 
the total spectral radiant flux measurements using a spectroradiometer 
only. DOE understands that the sphere-photometer system and 
goniophotometer methods recommended in section 9.0 of IES LM-79-2008 
could be used for measuring the lumen output of the LED sources in 
addition to the 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.
6. Test Method and Measurements
a. In-Situ Temperature Measurement Test
    DOE proposes that an ISTMT be performed to determine the case 
temperature at which the lumen maintenance data should be used to 
project the rated lifetime of the LED source. DOE proposes that the 
test setup and conditions for the ISTMT be as specified in sections 
8.5, 8.13, 8.14, 8.15, and 9 of UL 1993-2009. Section 9 of UL 1993-2009 
specifies the test equipment, ambient temperature, relative humidity, 
instrumentation, test box material and construction, as well as the 
test setup for lamps that are intended to be operated in a wet 
environment. Section 8.5 of UL 1993-2009 provides specifications for 
the temperature test of the LED lamp including the ambient temperature 
and the temperature of the components within the lamp. Section 8.5.8 
further specifies that the in-situ temperature of the LED lamp should 
be recorded after the test has been running for at least three hours, 
and three successive readings taken at 15 minute intervals are within 1 
[deg]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[supreg] 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

[[Page 21048]]

specified in the ENERGY STAR specification for attaching the 
thermocouple in the LED lamp be followed.
---------------------------------------------------------------------------

    \32\ ENERGY STAR[supreg] Program Requirements for Integral LED 
Lamps
    www.energystar.gov/ia/partners/product_specs/program_reqs/Integral_LED_Lamps_Program_Requirements.pdf.
---------------------------------------------------------------------------

    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[supreg] Program Requirements for Integral LED Lamps, 
Eligibility Criteria--Version 1.4.
b. Lumen Maintenance Testing Duration and Interval
    DOE proposes that the test method for determining the LED source 
lifetime be as specified in section 7.0 of IES LM-80-2008 and section 
4.3 of IES TM-21-2011. Section 7.1 of IES LM-80-2008 specifies that the 
LED sources should be operated for at least 6,000 hours and data should 
be collected at a minimum of every 1,000 hours, at ambient temperature. 
Section 4.3 of IES TM-21-2011 further recommends that after the first 
1,000 hours of operation of the LED source, data should be collected at 
an interval smaller than 1,000 hours. Additional measurements beyond 
6,000 hours are encouraged and recommended for more accurate 
projections. Section 7.2 of IES LM-80-2008 further specifies that LED 
sources should be operated at a constant current throughout testing. 
Finally, as specified in section 7.3 of IES LM-80-2008, if an LED 
source fails during testing, it should be determined if the failure is 
due to the auxiliary equipment or if it is an actual LED source 
failure. DOE proposes that if the failure is due to the auxiliary 
equipment, the failed auxiliary equipment should be replaced and 
testing of the LED source should be continued from the time when the 
auxiliary equipment failed. It should be possible to determine the 
elapsed time by using a video monitor or other equipment as specified 
in section III.C.5.d. If it is an actual LED source failure, it should 
be included in the lifetime projection calculation as described in 
section III.C.7.
    DOE further proposes that the relevant guidelines from the ENERGY 
STAR[supreg] 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.
---------------------------------------------------------------------------

    \33\ ENERGY STAR[supreg] 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.
---------------------------------------------------------------------------

7. Method to Project Lumen Maintenance Data
    DOE proposes that the lumen maintenance of the LED source should be 
projected as specified in section 5.0 of IES TM-21-2011. This section 
specifies that a curve-fit method should be used for projecting the 
lumen maintenance for each LED source at a given drive current and case 
temperature. Section 5.2 of IES TM-21-2011 further gives a detailed 
description of the procedure, including normalization of data, 
averaging of data, using the curve-fit method, adjusting the results 
based on the sample size, and whether the projected value is positive 
or negative. DOE proposes that L70, the 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.

[[Page 21049]]

8. Method to Interpolate Lumen Maintenance Data
    For option 2 discussed in section III.C.3 above, DOE proposes that 
the method of interpolation should be as specified in section 6.0 of 
IES TM-21-2011. This section describes the case temperatures that 
should be used for interpolating the data and the methodology used for 
calculating the lumen output at the desired temperature, which includes 
converting the temperature to units of Kelvin, using the Arrhenius 
Equation \34\ to calculate the lumen maintenance life, and the 
applicability and limitations of the method.
---------------------------------------------------------------------------

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

D. Sampling Plan

    DOE is proposing a sampling plan for determining input power, lumen 
output, CCT, and rated lifetime of an LED lamp. DOE reviewed the 
sampling requirements of other lamp technologies to develop the 
sampling plan for LED lamps. For testing LED sources, DOE reviewed the 
requirements specified in IES TM-21-2011 and identified that those 
requirements are necessary to project the rated lifetime.
    DOE proposes a minimum of 21 LED lamps should be tested for 
determining the input power, lumen output, and CCT as described in 
section III.B. A minimum of three lamps should be selected per month 
for seven months of production out of a 12 month period. If lamp 
production occurs in fewer than seven months of the year, three or more 
lamps should be selected for each month that production occurs as 
evenly as possible to meet the minimum 21 unit requirement. The seven 
months need not be consecutive and could be a combination of seven 
months out of the 12 months. Sample sizes greater than 21 should be 
multiples of three so that an equal number of lamps in each orientation 
are tested. This selection of a minimum of 21 lamps is consistent with 
DOE's regulation for GSFLs and GSILs, specified at 10 CFR 429.27, 
Subpart B, which specify a sampling size of a minimum of three lamps 
for each month of production for a minimum of seven months (not 
necessarily consecutive) out of the 12 month period, totaling a minimum 
of 21 lamps.
    DOE further proposes that the input power, lumen output, and CCT of 
the units should be averaged and the value of each of these parameters 
should be rounded as specified in section III.B.5. The average value of 
each parameter should be calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TP09AP12.001

    DOE proposes that the sample size for testing LED sources for 
determining the rated lifetime of LED lamps be as specified in section 
4.2 of IES TM-21-2011. This section recommends that all data from a 
sample set at a given case temperature and drive current from the LM-
80-2008 test should be used for projecting the lifetime of the LED 
source. The recommended sample set is 20 units for projecting the 
lifetime of the LED sources. If at least 20 units are used, the 
lifetime could be projected up to six times the test duration, with a 
maximum limit of 25,000 hours as described in section III.C.7. If the 
number of units tested is between 10 and 19 units, the lifetime could 
be projected up to 5.5 times the test duration, with a maximum of 
25,000 hours. Less than 10 units cannot be used for the IES TM-21-2011 
projection method. This requirement is different from the sample size 
proposed above for testing the LED lamp to determine input power, lumen 
output, and CCT. The differences are primarily because the rated 
lifetime is determined by testing a different device (the LED source) 
and the proposed method for projecting lifetime provides specific 
projection calculations based on sample sizes outlined in that IES TM-
21-2011. DOE requires that the same number of units should be tested at 
each case temperature for projecting the rated lifetime. DOE invites 
interested parties to comment on the appropriateness of adopting 
section 4.2 of IES TM-21-2011 for the required sample size for rated 
lifetime testing.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

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

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IRFA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site: www.gc.doe.gov.

[[Page 21050]]

    DOE reviewed the test procedures considered in today's NOPR under 
the provisions of the Regulatory Flexibility Act (RFA) and the policies 
and procedures published on February 19, 2003. As discussed in more 
detail below, DOE found that because the proposed test procedures have 
not previously been required of manufacturers, all manufacturers, 
including small manufacturers, may potentially experience a financial 
burden associate with new testing requirement. While examining this 
issue, DOE determined that it could not certify that the proposed rule, 
if promulgated, would not have a significant impact on a substantial 
number of small entities. Therefore, DOE has prepared an IRFA for this 
rulemaking. The IRFA describes the potential impacts on small 
businesses associated with LED lamp testing and labeling requirements.
    DOE has transmitted a copy of this IRFA to the Chief Counsel for 
Advocacy of the Small Business Administration (SBA) for review.
1. Reasons, Objectives of, and Legal Basis for, the Proposed Rule
    EISA 2007 section 321(b) amended EPCA (42 U.S.C. 6294(a)(2)(C)) to 
direct FTC to consider the effectiveness of lamp labeling for power 
levels or watts, light output or lumens, and lamp lifetime. This test 
procedure rulemaking for LED lamps is being conducted to support FTC's 
determination that LED lamps, which had previously not been labeled, 
require labels under EISA section 321(b) and 42 U.S.C. 6294(a)(6) in 
order to assist consumers in making purchasing decisions. 75 FR 41696 
(July 19, 2010)
2. Description and Estimated Number of Small Entities Regulated
    SBA has set a size threshold for electric lamp manufacturers to 
describe those entities that are classified as ``small businesses'' for 
the purposes of the RFA. DOE used the SBA's small business size 
standards to determine whether any small manufacturers of LED lamps 
would be subject to the requirements of the rule. 65 FR 30836, 30849 
(May 15, 2000), as amended at 65 FR 53533, 53545 (Sept. 5, 2000) and 
codified at 13 CFR part 121. The size standards are listed by North 
American Industry Classification System (NAICS) code and industry 
description and are available at www.sba.gov/sites/default/files/Size_Standards_Table.pdf. LED lamp manufacturing is classified under NAICS 
335110, ``Electric Lamp Bulb and Part Manufacturing.'' The SBA sets a 
threshold of 1,000 employees or less for an entity to be considered as 
a small business for this category.
    DOE estimated that the test procedure requirements proposed in this 
NOPR will apply to about 32 manufacturers of LED lamps. Of these 
manufacturers, DOE compiled a preliminary list of potential small 
businesses by searching the SBA databases, ENERGY STAR's list of 
qualified products \35\, as well as performing a general search for LED 
manufacturers. DOE determined which companies manufacture LED lamps by 
reviewing company Web sites, the SBA Web site when applicable, and/or 
calling companies directly. Through this process, DOE identified 17 
potential small businesses that manufacture LED lamps. DOE requests 
comment on the estimated number of entities that would be impacted by 
the proposed rulemaking and the number of these companies that are 
``small businesses''.
---------------------------------------------------------------------------

    \35\ ENERGY STAR Qualified Lamps Product List http://downloads.energystar.gov/bi/qplist/Lamps%20Qualified%20Product%20List.pdf?fd91-d291.
---------------------------------------------------------------------------

3. Description and Estimate of Burden on Small Businesses
    The proposed test procedures for LED lamps, if adopted by FTC, 
would potentially require re-testing of any previously tested product. 
Further, if adopted by FTC, the proposed test procedures would require 
manufacturers to update their existing package and product labeling and 
online and hardcopy retailers to update their catalogs. The estimated 
cost of testing, packaging and labeling, and revising catalogs are 
discussed below.
Testing
    To estimate the cost of testing, DOE determined the initial cost 
for setup and the costs to perform tests for determining the input 
power, lumen output, CCT, and rated lifetime of LED lamps. The initial 
setup for testing input power, lumen output, and CCT would require a 
custom-built rack for mounting lamps for testing. DOE estimated that up 
to 120 hours of labor may be required for building a rack that can hold 
up to 100 lamps. DOE estimated that the cost to build a rack by an 
electrical engineer whose rate is $39.79 per hour \36\ would be 
approximately $4,770. DOE estimated that the material cost to build a 
custom-built rack holding 100 sockets would be $3,000 and the power 
supply and regulator costs would be $3,300 and $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.
---------------------------------------------------------------------------

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

    In addition to setup, the labor cost associated with carrying out 
the testing contributes to the overall testing burden. As discussed in 
section III.D, for testing lumen output, input power, and CCT, 
manufacturers would be required to test a total of 21 LED lamps. DOE 
estimated that this testing would require approximately four hours per 
lamp by an electrical engineer whose rate is $39.79 per hour. DOE 
estimated about 19 small business manufacturers of LEDs would be 
impacted, each typically manufacturing about 17 basic models. In total, 
the use of this test method for determining light output, input power, 
and CCT would result in testing related labor costs of $57,000 for each 
manufacturer.
    For lifetime testing, as discussed in section III.D, LED source 
manufacturers would be required to test at least 10 units of the LED 
source, though 20 units are recommended and allow for projection of a 
longer lifetime. DOE's understanding is that LED source manufacturers 
already perform this test during the normal course of business; 
therefore, adoption of this test method should not present an 
incremental burden. However, LED lamp manufacturers must perform the 
ISTMT on one lamp for each basic model to determine the case 
temperature of the LED source and perform the lifetime extrapolation 
calculations described in section III.C.7. DOE estimated these tests 
and calculations would require approximately 16 hours per basic model 
by an electrical engineer whose rate is $39.79 per hour. DOE 
understands that LED lamp manufacturers would already have the 
materials required for the ISTMT. DOE estimated about 19 manufacturers 
of LED lamps would be impacted, each typically manufacturing about 17 
basic models. In total, the use of this test method for determining 
rated lifetime would result in related labor costs of $11,000 for each 
manufacturer. Finally, DOE expects that the incremental burden to 
develop a model for projecting rated lifetime per IES TM-21-2011 should 
be insignificant and that most companies would already have this 
calculation method in place.
    For each manufacturer producing 17 basic models, assuming testing 
instrumentation is already available, DOE estimates the initial setup 
cost

[[Page 21051]]

would be $12,000 and the labor costs to carry out testing would be 
approximately $68,000. DOE expects the setup cost to be a onetime cost 
to manufacturers. Further, DOE expects that the labor costs to perform 
testing would be smaller than $68,000 after the first year because only 
new products or redesigned products would need to be tested. DOE 
requests comments on its analysis of initial setup and labor costs as 
well as the average annual burden for conducting testing of LED lamps.
Packaging, Labeling, Catalogs
    In addition to testing costs, LED lamp manufacturers may 
potentially incur the cost to update existing package and product 
labeling and online and hardcopy retailers may be required to update 
catalogs. In the final rule establishing FTC's Lighting Facts label, 
FTC determined the cost for changing package and product labeling as 
well as retail catalogs would not impose a significant burden on small 
entities. 75 FR 41696, 41712 (July 19, 2010). The required updates for 
labeling and catalogs, if FTC adopts this proposed test procedure, 
would involve revisions of values, not a full redesign of packaging or 
catalog format. Therefore, the burden imposed by the adoption of this 
proposed test procedure by the FTC would have an even smaller impact on 
small entities than the original rulemaking establishing that label. 
DOE requests comment on its estimated burden to small LED lamp 
manufacturers and retailers to change product packaging and labeling 
and retail catalogs.
    In summary, DOE cannot certify that the impact on small businesses 
associated with FTC adopting the proposed LED lamp test procedure would 
not be significant. DOE requests comment on the potential burden and 
its impact on small businesses.
4. Duplication, Overlap, and Conflict With Other Rules and Regulations
    DOE is not aware of any other federal statutes, rules, or policies 
that would duplicate, overlap, or conflict with the proposed rule. DOE 
invites comment and information on this issue.
5. Significant Alternatives to the Rule
    DOE considered a number of alternatives to the proposed test 
procedure as discussed in sections III.B.1 and III.C.1. DOE seeks 
comment and information on the need, if any, for alternative test 
methods that, consistent with the statutory requirements, would reduce 
the economic impact of the rule on small entities. DOE will consider 
any comments received regarding alternative methods of testing that 
would reduce economic impact of the rule on small entities. DOE will 
consider the feasibility of such alternatives and determine whether 
they should be incorporated into the final rule.

C. Review Under the Paperwork Reduction Act of 1995

    There is currently no information collection requirement related to 
the test procedure for LED lamps. In the event that DOE proposes to 
require the collection of information derived from the testing of LED 
lamps according to this test procedure, DOE will seek OMB approval of 
such information collection requirement.
    DOE established regulations for the certification and recordkeeping 
requirements for certain covered consumer products and commercial 
equipment. 76 FR 12422 (March 7, 2011). The collection-of-information 
requirement for the certification and recordkeeping was subject to 
review and approval by OMB under the Paperwork Reduction Act (PRA). 
This requirement was approved by OMB under OMB Control Number 1910-
1400. Public reporting burden for the certification was estimated to 
average 20 hours per response, including the time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    As stated above, in the event DOE proposes to require the 
collection of information derived from the testing of LED lamps 
according to this test procedure, DOE will seek OMB approval of the 
associated information collection requirement. DOE will seek approval 
either through a proposed amendment to the information collection 
requirement approved under OMB control number 1910-1400 or as a 
separate proposed information collection requirement.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

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

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have Federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have Federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined this proposed rule and has 
determined that it would not have a substantial direct effect on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. EPCA governs and prescribes Federal 
preemption of State regulations as to energy conservation for the 
products that are the subject of today's proposed rule. States can 
petition DOE for exemption from such preemption to the extent, and 
based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further 
action is required by Executive Order 13132.

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal 
agencies the general duty to adhere to the following requirements: (1) 
Eliminate drafting

[[Page 21052]]

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

G. Review Under the Unfunded Mandates Reform Act of 1995

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

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

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

I. Review Under Executive Order 12630

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

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

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

K. Review Under Executive Order 13211

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

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the Chairman of the Federal Trade Commission 
(FTC) concerning the impact of the commercial or industry standards on 
competition.
    The proposed rule incorporates testing methods contained in the 
following commercial standards: ANSI/IESNA RP-16-2010, ``Nomenclature 
and Definitions for Illuminating Engineering;'' IES LM-79-2008, 
``Approved Method: Electrical and Photometric Measurements of 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''.

[[Page 21053]]

The Department has evaluated these standards and is unable to conclude 
whether they fully comply with the requirements of section 32(b) of the 
FEAA, (i.e., that they were developed in a manner that fully provides 
for public participation, comment, and review). DOE will consult with 
the Attorney General and the Chairman of the FTC concerning the impact 
of these test procedures on competition, prior to prescribing a final 
rule.

V. Public Participation

A. Attendance at Public Meeting

    The time, date and location of the public meeting are listed in the 
DATES and ADDRESSES sections at the beginning of this document. If you 
plan to attend the public meeting, please notify Ms. Brenda Edwards at 
(202) 586-2945 or [email protected]. As explained in the 
ADDRESSES section, foreign nationals visiting DOE Headquarters are 
subject to advance security screening procedures.
    In addition, you can attend the public meeting via webinar. Webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants is available 
on the public meeting registration Web site www1.gotomeeting.com/register/952826176. Participants are responsible for ensuring their 
systems are compatible with the webinar software.

B. Procedure for Submitting Prepared General Statements For 
Distribution

    Any person who has plans to present a prepared general statement 
may request that copies of his or her statement be made available at 
the public meeting. Such persons may submit requests, along with an 
advance electronic copy of their statement in PDF (preferred), 
Microsoft Word or Excel, WordPerfect, or text (ASCII) file format, to 
the appropriate address shown in the ADDRESSES section at the beginning 
of this notice. The request and advance copy of statements must be 
received at least one week before the public meeting and may be 
emailed, hand-delivered, or sent by mail. DOE prefers to receive 
requests and advance copies via email. Please include a telephone 
number to enable DOE staff to make a follow-up contact, if needed.

C. Conduct of Public Meeting

    DOE will designate a DOE official to preside at the public meeting 
and may also use a professional facilitator to aid discussion. The 
meeting will not be a judicial or evidentiary-type public hearing, but 
DOE will conduct it in accordance with section 336 of EPCA (42 U.S.C. 
6306). A court reporter will be present to record the proceedings and 
prepare a transcript. DOE reserves the right to schedule the order of 
presentations and to establish the procedures governing the conduct of 
the public meeting. After the public meeting, interested parties may 
submit further comments on the proceedings as well as on any aspect of 
the rulemaking until the end of the comment period.
    The public meeting will be conducted in an informal, conference 
style. DOE will present summaries of comments received before the 
public meeting, allow time for prepared general statements by 
participants, and encourage all interested parties to share their views 
on issues affecting this rulemaking. Each participant will be allowed 
to make a general statement (within time limits determined by DOE), 
before the discussion of specific topics. DOE will allow, as time 
permits, other participants to comment briefly on any general 
statements.
    At the end of all prepared statements on a topic, DOE will permit 
participants to clarify their statements briefly and comment on 
statements made by others. Participants should be prepared to answer 
questions by DOE and by other participants concerning these issues. DOE 
representatives may also ask questions of participants concerning other 
matters relevant to this rulemaking. The official conducting the public 
meeting will accept additional comments or questions from those 
attending, as time permits. The presiding official will announce any 
further procedural rules or modification of the above procedures that 
may be needed for the proper conduct of the public meeting.
    A transcript of the public meeting will be included in the docket, 
which can be viewed as described in the Docket section at the beginning 
of this notice. In addition, any person may buy a copy of the 
transcript from the transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule before or after the public meeting, but no later than the 
date provided in the DATES section at the beginning of this proposed 
rule. Interested parties may submit comments using any of the methods 
described in the ADDRESSES section at the beginning of this notice.

Submitting Comments Via regulations.gov.

    The regulations.gov web page will require you to provide your name 
and contact information. Your contact information will be viewable to 
DOE Building Technologies staff only. Your contact information will not 
be publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to regulations.gov information for which disclosure 
is restricted by statute, such as trade secrets and commercial or 
financial information (hereinafter referred to as Confidential Business 
Information (CBI)). Comments submitted through regulations.gov cannot 
be claimed as CBI. Comments received through the Web site will waive 
any CBI claims for the information submitted. For information on 
submitting CBI, see the Confidential Business Information section.
    DOE processes submissions made through regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email, hand delivery, or mail. Comments and 
documents submitted via email, hand delivery, or mail also will be 
posted to regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information on a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.

[[Page 21054]]

    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery, please provide all items on a CD, if feasible. It is not 
necessary to submit printed copies. No facsimiles (faxes) will be 
accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English and are free of any defects or 
viruses. Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. According to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery two well-marked copies: one copy 
of the document marked confidential including all the information 
believed to be confidential, and one copy of the document marked non-
confidential with the information believed to be confidential deleted. 
Submit these documents via email or on a CD, if feasible. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    1. DOE requests comment on the proposed scope and incorporation of 
ANSI/IESNA RP-16-2010 for the definition of LED lamps. See section 
III.A for further detail.
    2. DOE requests comment on the proposed incorporation of IES LM-79-
2008 for determining lumen output, input power, and CCT. See section 
III.B for further detail.
    3. DOE requests comment on whether air movement should be specified 
in more detail than that provided by IES LM-79-2008. See section 
III.B.2 for further detail.
    4. DOE requests comment on operating an equal number of lamps in 
the base up, base down, and horizontal orientations throughout testing. 
See section III.B.3.b for further detail.
    5. DOE requests comment on testing LED lamps at the rated voltage 
for single voltage lamps and testing lamps with dimming capability at 
the maximum input power. Further, DOE requests comment about testing 
LED lamps that are rated to operate at multiple voltages at 120 volts 
or the highest rated voltage. Finally, DOE requests comment on whether 
LED lamps with multiple modes of operation are available and the CCT 
value at which these lamps should be tested. See section III.B.3.d for 
further detail.
    6. DOE requests comment on seasoning the LED lamp for 1,000 hours 
before collecting lumen output data. See section III.B.4.a for further 
detail.
    7. DOE requests comment on stabilizing the lamp until the variation 
of at least three readings of the lumen output and electrical power, 
taken 15 minutes apart, is less than 0.5 percent. DOE also requests 
comment on its clarification of the variation calculation to be the 
difference of the maximum and minimum values divided by the minimum 
value. See section III.B.4.b for further detail.
    8. DOE requests comment on measuring the lumen output of the LED 
lamp using a sphere-spectroradiometer system, sphere-photometer system, 
and goniophotometer system. In particular, DOE requests comment on 
whether the measurements from each method are similar and consistent. 
See section III.B.4.c for further detail.
    9. DOE requests comment on measuring total lumens for directional 
LED lamps instead of beam lumens. See section III.B.4.c for further 
detail.
    10. DOE requests comment on the proposed calculation and rounding 
requirement for lumen output, input power, CCT, and estimated annual 
energy cost. See section III.B.5 for further detail.
    11. DOE requests comment on the relative costs and benefits of the 
four approaches described in Table III.1 to determine rated lifetime of 
an LED lamp. See section III.C.1 for further detail.
    DOE requests comment on the proposed incorporation of IES standards 
LM-80-2008 and TM-21-2011 and UL standard 1993-2009 for determining the 
rated lifetime of LED lamps. See section III.C.1 for further detail.
    12. DOE requests comment on the proposed definition of the rated 
lifetime of an LED lamp. See section III.C.2 for further detail.
    13. DOE requests comment on operating the LED sources at the in-
situ case temperature and drive current as well as the ambient 
conditions for testing. DOE also requests comment on whether the 
measurement location for air temperature near the LED source and 
airflow around the LED source should be further specified. See section 
III.C.4 for further detail.
    14. DOE requests comment on whether the operating orientation of 
LED sources affects the lumen depreciation over time. See section 
III.C.5.a for further detail.
    15. DOE requests comment on whether the requirement that the 
external driver used for testing LED sources be as specified by the 
manufacturer needs further clarification. See section III.C.5.b for 
further detail.
    16. DOE requests comment on using a sphere-photometer system or a 
goniophotometer for measuring the lumen output of LED sources in 
addition to the sphere-spectroradiometer system specified in section 
6.2 of IES LM-80-2008. See section III.C.5.d for further detail.
    17. DOE requests comment on adopting sections 8.5, 8.13, 8.14, 
8.15, and 9 of UL 1993-2009 and the practicality of the thermocouple 
attachment requirements for performing the ISTMT. See section III.C.6.a 
for further detail.
    18. DOE requests comment on adopting relevant guidelines from the 
ENERGY STAR[supreg] guidance document for measuring lumen maintenance. 
See section III.C.6.b for further detail.
    19. DOE requests comment on adopting section 5.0 of IES TM-21-2011

[[Page 21055]]

for projecting the lifetime of the LED sources with a maximum 
projection of 25,000 hours. See section III.C.7 for further detail.
    20. DOE requests comment on the proposed rounding requirement for 
rated lifetime. See section III.C.7 for further detail.
    21. DOE requests comment on the proposed sample size requirements 
for testing LED lamps and LED sources. See section III.D for further 
detail.
    22. DOE requests comment on its estimated number of small 
businesses impacted by this rulemaking as well as its estimated cost 
and associated burden to small businesses. See section IV.B for further 
detail.
    23. DOE requests comment on its estimate of costs and associated 
burden under the Paperwork Reduction Act. See section IV.C for further 
detail.

VI. Approval of the Office of the Secretary

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

List of Subjects 10 CFR Part 430

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

    Issued in Washington, DC on April 3, 2012.
Kathleen B. Hogan,
Deputy Assistant Secretary of Energy, Energy Efficiency and Renewable 
Energy.
    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 430 of Chapter II of Title 10, Subchapter D of the Code 
of Federal Regulations as set forth below:

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

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

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

    2. Section 429.55 is added to read as follows:


Sec.  429.55  Light-emitting diode lamps.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec.  429.11 are applicable to light-emitting diode 
lamps; and
    (2)(i) For determining input power, lumen output, and correlated 
color temperature, for each basic model of light-emitting diode lamp, 
units shall be obtained from a 12-month period, tested, and the results 
averaged. A minimum sample size of 21 lamps shall be tested. The 
manufacturer shall randomly select a minimum of three lamps from each 
month of production for a minimum of seven out of the 12 month period. 
In the instance where production occurs during fewer than seven of such 
12 months, the manufacturer shall randomly select three or more lamps 
from each month of production, where the number of lamps selected for 
each month shall be distributed as evenly as practicable among the 
months of production to attain a minimum sample size of 21 lamps. 
Sample sizes greater than 21 shall be a multiple of three. The value of 
input power, lumen output, and correlated color temperature shall be 
based on the sample and shall be equal to the mean of the sample, 
where:
[GRAPHIC] [TIFF OMITTED] TP09AP12.002

    (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 Sec.  430.3).
    (b) Reserved.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

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

    4. Section 430.2 is amended by adding in alphabetical order the 
definition of ``light-emitting diode lamp'' to read as follows:


Sec.  430.2  Definitions.

* * * * *
    Light-emitting diode lamp means an integrated LED lamp as defined 
in ANSI/IESNA RP-16 (incorporated by reference; see Sec.  430.3).
* * * * *
    5. Section 430.3 is amended by:
    a. Adding paragraphs (k)(8) through (k)(11).
    b. Redesignating paragraph (o) as paragraph (p) and adding a new 
paragraph (o).
    The additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (k) IESNA. * * *
    (8) ANSI/IESNA RP-16-10, Nomenclature and Definitions for 
Illuminating Engineering, approved October 15, 2005; IBR approved for 
Appendix AA to Subpart B.
    (9) IES LM-79-08 (``IES LM-79''), Approved Method: Electrical and 
Photometric Measurements of Solid-State Lighting Products, approved 
December 31, 2007; IBR approved for Appendix AA to Subpart B.
    (10) IES LM-80-08 (``IES LM-80''), Approved Method: Measuring Lumen 
Maintenance of LED Light Sources, approved September 22, 2008; IBR 
approved for Appendix AA to Subpart B.
    (11) IES TM-21-11 (``IES TM-21''), Projecting Long Term Lumen 
Maintenance of LED Light Sources, approved on July 25, 2011; IBR 
approved for Appendix AA to Subpart B.
* * * * *
    (o) UL. Underwriters Laboratories Inc., 333 Pfingsten Road, 
Northbrook, IL 60062-2096, 847-272-8800, or go to http://www.ul.com/.
    (1) UL 1993-2009 (``UL 1993''), Standard for Safety, Self-Ballasted 
Lamps and Lamp Adapters, approved August 28, 2009; IBR approved for 
Appendix AA to Subpart B.
    (2) Reserved.
* * * * *
    6. Section 430.23 is amended by adding paragraph (cc) to read as 
follows:


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

* * * * *
    (cc) Light-emitting diode lamp. (1) The input power and lumen 
output for a light-emitting diode lamp shall be tested and determined 
in accordance

[[Page 21056]]

with section 3 of appendix AA of this subpart. The average measured 
input power shall be rounded to the nearest tenths of a watt. The 
average lumen output shall be rounded to the nearest 10 lumens.
    (2) The correlated color temperature of a light-emitting diode lamp 
shall be tested and determined in accordance with section 3 of appendix 
AA of this subpart. The resulting correlated color temperature shall be 
averaged over all units tested and rounded to the nearest 10 Kelvin.
    (3) The rated lifetime of a light-emitting diode lamp shall be 
equal to the time at which the lumen output of the light-emitting diode 
sources within the lamp has fallen below 70 percent of the average 
initial lumen output with a maximum limit of 25,000 hours as determined 
in section 4 of appendix AA of this subpart. The rated lifetime shall 
be determined in number of years based on an estimated three hours of 
use per day of the light-emitting diode lamp. The resulting rated 
lifetime shall be rounded to the nearest tenth of a year.
    (4) The estimated annual energy cost for a light-emitting diode 
lamp, expressed in dollars per year, shall be the product of the 
average input power in kilowatts as determined in accordance with 
appendix AA to this subpart, an electricity cost rate of 11 cents per 
kilo-watt hour, and an estimated average annual use of three hours per 
day (that is, 1,095 hours per year). The resulting estimated annual 
energy cost shall be rounded to the nearest cent per year.
    7. Appendix AA to subpart B of part 430 is added to read as 
follows:

Appendix AA to Subpart B of Part 430--Uniform Test Method for Measuring 
the Input Power, Lumen Output, Correlated Color Temperature (CCT), and 
Rated Lifetime of Light-Emitting Diode (LED) Lamps

    1. Scope: This appendix applies to the measurement of lumen 
output, input power, and CCT for LED lamps, and to the measurement 
of lumen maintenance of LED sources for the projection of rated LED 
lamp lifetime.
    2. Definitions
    2.1. To the extent that definitions in the referenced IES 
standards do not conflict with the DOE definitions, the definitions 
specified in section 1.3 of IES LM-79 except section 1.3(f) 
(incorporated by reference; see Sec.  430.3), section 3.0 of IES LM-
80 except section 3.5 (incorporated by reference; see Sec.  430.3), 
and section 3.0 of IES TM-21 (incorporated by reference; see Sec.  
430.3) shall be included.
    2.2. IES means the Illuminating Engineering Society of North 
America.
    2.3. Lamp lumen output means the total luminous flux produced by 
the lamp, in units of lumens.
    2.4. LED source means within an LED lamp, the assembly of 
components or dies, including the electrical connections, printed on 
a circuit board or substrate. The LED source does not include the 
power source or base, but possibly incorporates optical elements and 
additional thermal, mechanical, and electrical interfaces that are 
intended to connect to the load side of an LED driver.
    2.5. Rated lifetime means the time when the lumen output of the 
LED source has fallen below 70 percent of the average initial lumen 
output.
    3. Test Method for Determining Lumen Output, Input Power, and 
CCT
    3.1. Test Conditions and Setup
    3.1.1. The ambient conditions, power supply, electrical 
settings, and instruments required shall be as described in sections 
2.0, 3.0, 7.0, and 8.0 of IES LM-79 (incorporated by reference; see 
Sec.  430.3) respectively.
    3.1.2. An equal number of LED lamps shall be set up in the base 
up, base down, and horizontal orientations throughout testing.
    3.1.3. For an LED lamp with multiple operating voltages, the 
lamp shall be operated at 120 volts throughout testing. If the lamp 
is not rated for 120 volts, it shall be operated at the highest 
rated voltage.
    3.2. Test Method and Measurements
    3.2.1. The LED lamp shall be seasoned for 1,000 hours prior to 
stabilizing the lamp and collecting photometric data.
    3.2.2. The LED lamp shall be stabilized as described in section 
5.0 of IES LM-79 (incorporated by reference; see Sec.  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 Sec.  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 
Sec.  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 Sec.  
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 Sec.  430.3) from the LED source 
manufacturer.
    4.1.2.1. If lumen maintenance data for the LED source is 
available from the LED source manufacturer at the in-situ 
temperature, use this data to project the rated lifetime as 
described in section 4.1.3.
    4.1.2.2. If the in-situ temperature of the LED source falls 
between the case temperatures associated with the lumen maintenance 
data available from the LED source manufacturer, lumen maintenance 
data for the LED source can be interpolated as described in section 
6.0 of IES TM-21 (incorporated by reference; see Sec.  430.3).
    4.1.2.3. If lumen maintenance data for the LED source cannot be 
obtained through the methods outlined in section 4.1.2.1 or section 
4.1.2.2, it must be obtained by testing the LED source directly. The 
test conditions, test setup, and test measurements for measuring 
lumen maintenance are described in section 4.2 through section 4.3.
    4.1.3. The time required to reach 70 percent lumen maintenance 
(70 percent of light output after 1,000 hours of testing) of the LED 
source shall be projected as specified in section 5.0 of IES TM-21 
(incorporated by reference; see Sec.  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 Sec.  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 Sec.  430.3).
    4.2.2. The case temperature and drive current at which the LED 
source must be operated shall be the in-situ temperature (as defined 
in section 4.3.1) of the LED source when it is operated within the 
LED lamp. Lumen maintenance data shall be measured at the in-situ 
temperature of the LED source as described in section 4.3.
    4.2.3. The operating orientation, electrical setup, thermal 
setup, and instrumentation required for recording the time elapsed 
for measuring the lumen maintenance of LED sources shall be as 
described in sections 4.4.4, 5.0, 5.5, and 6.1 of IES LM-80 
(incorporated by reference; see Sec.  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 Sec.  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 Sec.  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

[[Page 21057]]

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 [deg]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 Sec.  430.3) and section 4.3 of IES TM-21 
(incorporated by reference; see Sec.  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 Sec.  
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 Sec.  430.3) testing shall 
be greater than or equal to the subcomponent drive current employed 
in the LED lamp.
    4.3.2.3. For an LED lamp employing both phosphor-converted white 
and single-color LED packages, the lumen maintenance shall be 
measured for a sample of LED arrays incorporating both types of LED 
packages.
    4.3.2.4. For LED arrays constructed as an assembly of LED dies 
on a printed circuit board or substrate (a.k.a. chip-on-board) with 
one common phosphor layer overlaying all dies, or with phosphor 
layers overlaying individual dies with or without single-color dies 
incorporated, a single IES LM-80 (incorporated by reference; see 
Sec.  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 Sec.  
430.3) testing has been conducted on the largest LED array that the 
manufacturer believes will be used in a qualified product; and,
    4.3.2.4.2. The average calculated current-per-die in the tested 
LED array is greater than or equal to the average calculated 
current-per-die employed in the LED lamp.
    4.3.2.5. For LED arrays constructed as an assembly of LED 
packages on a printed circuit board, each with their own phosphor 
layer, the TMP temperature of the hottest package in the array shall 
be used for lumen maintenance projection purposes.

[FR Doc. 2012-8469 Filed 4-6-12; 8:45 am]
BILLING CODE 6450-01-P