[Federal Register Volume 81, Number 127 (Friday, July 1, 2016)]
[Rules and Regulations]
[Pages 43404-43428]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-14481]
[[Page 43403]]
Vol. 81
Friday,
No. 127
July 1, 2016
Part III
Department of Energy
-----------------------------------------------------------------------
10 CFR Parts 429 and 430
Energy Conservation Program: Test Procedures for Integrated Light-
Emitting Diode Lamps; Final Rule
Federal Register / Vol. 81 , No. 127 / Friday, July 1, 2016 / Rules
and Regulations
[[Page 43404]]
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
10 CFR Parts 429 and 430
[Docket No. EERE-2011-BT-TP-0071]
RIN 1904-AC67
Energy Conservation Program: Test Procedures for Integrated
Light-Emitting Diode Lamps
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final rule adopts a test procedure for integrated light-
emitting diode (LED) lamps (hereafter referred to as LED lamps) to
support the implementation of labeling provisions by the Federal Trade
Commission (FTC), as well as the ongoing general service lamps
rulemaking, which includes LED lamps. The final rule adopts test
procedures for determining the lumen output, input power, lamp
efficacy, correlated color temperature (CCT), color rendering index
(CRI), power factor, lifetime, and standby mode power for LED lamps.
The final rule also adopts a definition for time to failure to support
the definition of lifetime. This final rule incorporates by reference
four industry standards, including two recently published industry
standards that describe a process for taking lumen maintenance
measurements and projecting those measurements for use in the lifetime
test method.
DATES: The effective date of this rule is August 1, 2016. The
incorporation by reference of certain publications listed in this rule
was approved by the Director of the Federal Register as of August 1,
2016. Representations must be based on testing in accordance with the
final rule starting December 28, 2016.
ADDRESSES: The docket, which includes Federal Register notices, public
meeting attendee lists and transcripts, comments, and other supporting
documents/materials, is available for review at regulations.gov. All
documents in the docket are listed in the regulations.gov index.
However, some documents listed in the index, such as those containing
information that is exempt from public disclosure, may not be publicly
available.
A link to the docket Web page can be found at:
www1.eere.energy.gov/buildings/appliance_standards/rulemaking.aspx/ruleid/18. This Web page will contain a link to the docket for this
notice on the regulations.gov site. The regulations.gov Web page will
contain simple instructions on how to access all documents, including
public comments, in the docket.
For further information on how to review the docket, contact Ms.
Lucy deButts at (202) 287-1604 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].
Ms. Celia Sher, U.S. Department of Energy, Office of the General
Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 287-6122. Email: [email protected].
SUPPLEMENTARY INFORMATION: This final rule incorporates by reference
into part 430 the following industry standards:
1. IEC \1\ 62301, ``Household electrical appliances--Measurement of
standby power'' (Edition 2.0, 2011-01).
---------------------------------------------------------------------------
\1\ International Electrotechnical Commission.
---------------------------------------------------------------------------
2. ANSI \2\/IES \3\ RP-16-2010, ``Nomenclature and Definitions for
Illuminating Engineering,'' approved July 15, 2005.
---------------------------------------------------------------------------
\2\ American National Standards Institute
\3\ Illuminating Engineering Society.
---------------------------------------------------------------------------
3. IES LM-79-08, ``Approved Method for the Electrical and
Photometric Measurements of Solid-State Lighting Products,'' approved
December 31, 2007.
4. IES LM-84-14, ``Approved Method: Measuring Luminous Flux and
Color Maintenance of LED Lamps, Light Engines, and Luminaires,''
approved March 31, 2014.
5. IES TM-28-14, ``Projecting Long-Term Luminous Flux Maintenance
of LED Lamps and Luminaires,'' approved May 20, 2014.
You may purchase a copy of IEC 62301 from International
Electrotechnical Commission, available from the American National
Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036,
(212) 642-4900, or go to http://webstore.ansi.org.
Copies of IES standards may be obtained from the Illuminating
Engineering Society of North America, 120 Wall Street, Floor 17, New
York, NY 10005-4001, 212-248-5000, or go to http://www.iesna.org.
Industry standards can also be reviewed in person at U.S. Department of
Energy, Building Technologies Program, 950 L'Enfant Plaza SW., Suite
600, Washington, DC, 20024. For further information on accessing IBR
standards, contact Ms. Lucy deButts at (202) 287-1604 or by email:
[email protected].
See section IV.M for a further discussion of these standards.
Table of Contents
I. Authority and Background
II. Synopsis of the Final Rule
III. Discussion
A. Scope of Applicability
B. Industry Standards Incorporated by Reference
C. Adopted Approach for Determining Lumen Output, Input Power,
Lamp Efficacy, Correlated Color Temperature, Color Rendering Index,
and Power Factor
1. Test Conditions
2. Test Setup
3. Test Method
D. Adopted Approach for Lifetime Measurements
1. Test Conditions
2. Test Setup
3. Test Method
4. Projection Method
E. Adopted Approach for Standby Mode Power
F. Basic Model, Minimum Sample Size, and Determination of
Represented Values
1. Basic Model
2. Minimum Sample Size
3. Determination of Represented Values
G. Rounding Requirements
1. Correlated Color Temperature
2. Power Factor
H. Interaction With ENERGY STAR
I. Laboratory Accreditation
J. Certification
K. Effective and Compliance Date
L. Ceiling Fan Light Kits Using LED Lamps
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
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
M. Description of Standards Incorporated by Reference
N. Congressional Notification
V. Approval of the Office of the Secretary
I. Authority and Background
Title III of the Energy Policy and Conservation Act of 1975 (42
U.S.C. 6291, et seq.; ``EPCA'') sets forth a variety of provisions
designed to improve energy efficiency. (All references to EPCA refer to
the statute as amended through the Energy Efficiency Improvement Act of
2015
[[Page 43405]]
(EEIA 2015), Public Law 114-11 (April 30, 2015). Part B of title III,
which for editorial reasons was redesignated as Part A upon
incorporation into the U.S. Code (42 U.S.C. 6291-6309, as codified),
establishes the ``Energy Conservation Program for Consumer Products
Other Than Automobiles.''
Under EPCA, this program consists of four parts: (1) Testing, (2)
labeling, (3) Federal energy conservation standards, and (4)
certification and enforcement procedures. This rulemaking establishes
test procedures that manufacturers of integrated LED lamps (hereafter
referred to as ``LED lamps'') must use to meet two requirements,
namely, to: (1) Satisfy any future energy conservation standards for
general service LED lamps, and (2) meet obligations under labeling
requirements for LED lamps promulgated by the Federal Trade Commission
(FTC).
First, test procedures in this rulemaking would be used to assess
the performance of LED lamps relative to any potential energy
conservation standards in a future rulemaking that includes general
service LED lamps. DOE is developing energy conservation standards for
general service lamps (GSLs), a category of lamps that includes general
service LED lamps. 79 FR 73503 (Dec. 11, 2014).
Second, this rulemaking supports obligations under labeling
requirements promulgated by FTC under section 324(a)(6) of EPCA (42
U.S.C. 6294(a)(6)). The Energy Independence and Security Act of 2007
(EISA 2007) section 321(b) amended EPCA (42 U.S.C. 6294(a)(2)(D)) to
direct FTC to consider the effectiveness of lamp labeling for power
levels or watts, light output or lumens, and lamp lifetime. This
rulemaking supports FTC's determination that LED lamps, which had
previously not been labeled, require labels under EISA section 321(b)
and 42 U.S.C. 6294(a)(6) in order to assist consumers in making
purchasing decisions. 75 FR 41696, 41698 (July 19, 2010).
DOE previously published four Federal Register documents pertaining
to the test procedure for LED lamps. On April 9, 2012, DOE published a
test procedure NOPR (hereafter the April 2012 NOPR). 77 FR 21038.
Following the publication of the NOPR, DOE held a public meeting on May
3, 2012, to receive feedback from interested parties. On June 3, 2014,
DOE published a test procedure SNOPR (hereafter the June 2014 SNOPR)
primarily revising its proposal for lifetime measurements. 79 FR 32020.
Then, on June 26, 2014, DOE published a second SNOPR (hereafter the
lifetime SNOPR) revising the definition of lifetime for LED lamps. 79
FR 36242. Finally, on July 9, 2015, DOE published a third SNOPR
(hereafter July 2015 SNOPR) adding a method for determining power
factor and revising the proposed method of measuring and projecting the
time to failure of integrated LED lamps. 80 FR 39644 (July 9, 2015).
II. Synopsis of the Final Rule
This final rule adopts methods for determining lumen output, input
power, lamp efficacy, correlated color temperature (CCT), color
rendering index (CRI), power factor, lifetime, and standby power and
for measuring and projecting the time to failure of integrated LED
lamps.
Representations of energy efficiency must be based on testing in
accordance with this rulemaking within 180 days after the publication
of the final rule.
III. Discussion
A. Scope of Applicability
EPCA defines an LED as a p-n junction \4\ solid-state device, the
radiated output of which, either in the infrared region, visible
region, or ultraviolet region, is a function of the physical
construction, material used, and exciting current \5\ of the device.
(42 U.S.C. 6291(30)(CC)) In the June 2014 SNOPR, DOE stated that this
rulemaking applies to LED lamps that meet DOE's proposed definition of
an integrated LED lamp, which is based on the term as defined by ANSI/
IES RP-16-2010. This standard defines an integrated LED lamp as an
integrated assembly that comprises LED packages (components) or LED
arrays (modules) (collectively referred to as an LED source), an LED
driver, an ANSI standard base, and other optical, thermal, mechanical
and electrical components (such as phosphor layers, insulating
materials, fasteners to hold components within the lamp together, and
electrical wiring). The LED lamp is intended to connect directly to a
branch circuit through a corresponding ANSI standard socket. 79 FR
32020, 32021 (June 3, 2014).
---------------------------------------------------------------------------
\4\ P-n junction is the boundary between p-type and n-type
material in a semiconductor device, such as LEDs. P-n junctions are
diodes, active sites where current can flow readily in one direction
but not in the other direction.
\5\ Exciting current is the current passing through an LED chip
during steady-state operation.
---------------------------------------------------------------------------
DOE received comments supporting the LED lamps test procedure. The
California Investor Owned Utilities (hereafter referred to as CA IOUs)
expressed approval for the LED lamps test procedure rulemaking and
noted the importance of establishing a test procedure to support the
adoption of high quality LED lamps. (CA IOUs, No. 44 pp. 1, 7) \6\ DOE
appreciates the supporting comments from CA IOUs. The intent of a
comprehensive test procedure is to produce consistent and repeatable
test results.
---------------------------------------------------------------------------
\6\ A notation in this form provides a reference for information
that is in the docket of DOE's rulemaking to develop test procedures
for integrated LED lamps (Docket No. EERE-2011-BT-TP-0071), which is
maintained at www.regulations.gov. This notation indicates that the
statement preceding the reference is in document number 44 filed in
the docket for the integrated LED lamps test procedure rulemaking,
and appears at pages 1 and 7 of that document.
---------------------------------------------------------------------------
B. Industry Standards Incorporated by Reference
In the July 2015 SNOPR, DOE proposed incorporating by reference
four industry standards to support the proposed definitions and test
methods for LED lamps. 80 FR 39644 (July 9, 2015). The National
Electrical Manufacturers Association (hereafter referred to as NEMA)
and Philips Lighting (hereafter referred to as Philips) commented that
they disagreed with copying portions of text from industry standards
protected under copyright (e.g., IES LM-80 or IES LM-84) directly into
the Code of Federal Regulations. NEMA and Philips stated that DOE
should adopt industry standards in their entirety without modification
instead of incorporating individual sections, noting that this would
reduce the risk of misinterpretation and confusion during testing when
interrelated sections are omitted. NEMA concluded that incorporating
the full standards by reference is more appropriate because the
standards are reasonably available, are the result of industry
consensus, and provide full context for the reader. (NEMA, No. 42 at
pp. 2-3; Philips, No. 41 at p. 3)
While DOE's proposed language in Appendix BB to subpart B of part
430 references sections of industry standards, it does not copy text
from those standards. Rather, DOE provides comprehensive test
procedures for multiple test metrics and, in doing so, DOE often has to
clarify, limit, or add further specification to industry standards that
are referenced to ensure a consistent, repeatable result. Therefore,
instead of incorporating an industry standard in its entirety, DOE
references the relevant sections of the industry standard and clearly
states any directions that differ from those in the industry standard.
For example, DOE references sections 5.2 and 5.4 of IES LM-84-14 to
specify power supply requirements for lifetime measurements. However,
DOE does not reference section 5.3 of the industry standard in the test
procedure because it is listed as
[[Page 43406]]
optional by IES and lacks specific restrictions regarding power supply
impedance. Selectively referencing relevant sections of industry
standards in this way ensures a consistent, repeatable test procedure.
Thus, DOE adopts this approach in the final rule.
C. Adopted Approach for Determining Lumen Output, Input Power, Lamp
Efficacy, Correlated Color Temperature, Color Rendering Index, and
Power Factor
IES LM-79-08 specifies the methodology for measuring lumen output,
input power, CCT, and CRI for LED lamps. IES LM-79-08 also specifies
the test conditions and setup at which the measurements and
calculations must be performed. The July 2015 SNOPR proposed to
reference IES LM-79-08 for determining lumen output, input power, CCT,
CRI, and power factor of LED lamps, with some modifications. 80 FR at
39645. Power factor is not described directly in IES LM-79-08, but the
measurement values necessary for calculating power factor are
specified. Sections III.C.1 through III.C.3 discuss comments received
on this proposal.
1. Test Conditions
In the July 2015 SNOPR, DOE proposed that the ambient conditions
for testing LED lamps be as specified in section 2.0 \7\ of IES LM-79-
08. 80 FR at 39645-39646. These conditions include provisions for setup
and ambient temperature control, as well as air movement requirements.
Both are discussed in further detail in the following paragraphs.
---------------------------------------------------------------------------
\7\ IES standards use the reference 2.0, 3.0, etc. for each
primary section heading. Sub-sections under each of these sections
are referenced as 2.1, 2.2, 3.1, 3.2, etc. This rule refers to each
IES section exactly as it is referenced in the IES standard.
---------------------------------------------------------------------------
Section 2.2 of IES LM-79-08 specifies that photometric measurements
must be taken at an ambient temperature of 25 degrees Celsius ([deg]C)
1 [deg]C, and that the temperature must be measured at a
point not more than one meter from the LED lamp and at the same height
as the lamp. The standard requires that the temperature sensor that is
used for measurements be shielded from direct optical radiation from
the lamp or any other source to reduce the impact of radiated heat on
the ambient temperature measurement.
In the July 2015 SNOPR, DOE noted that the operating temperature of
LED lamps varies depending on the application for which they are
installed. However, testing at an ambient temperature of 25 [deg]C
1 [deg]C is consistent with other lighting products such
as general service fluorescent lamps (GSFLs), compact fluorescent lamps
(CFLs), and incandescent reflector lamps (IRLs). Measuring at an
ambient temperature of 25 [deg]C 1 [deg]C will enable DOE,
industry, and consumers to compare general service lamp products across
different technologies. This setup for measuring and controlling
ambient temperature is appropriate for testing because it requires that
the lamp be tested at room temperature and in an environment that is
commonly used for testing other lighting technologies. 80 FR at 39646.
In the July 2015 SNOPR, DOE also proposed that the requirement for
air movement around the LED lamp be as specified in section 2.4 of IES
LM-79-08, which requires that the airflow around the LED lamp be such
that it does not affect the lumen output measurements of the tested
lamp. This requirement ensures that air movement is minimized to
acceptable levels and applies to lamps measured in both active mode and
standby mode. Id.
DOE did not receive any comments on the proposed ambient condition
requirements and therefore adopts them as described in this final rule.
2. Test Setup
a. Power Supply
In the July 2015 SNOPR, DOE proposed that power supply
characteristics be as specified in section 3.0 of IES LM-79-08. 80 FR
at 39666. Section 3.1 specifies that the alternating current (AC) power
supply must have a sinusoidal voltage waveshape at the input frequency
required by the LED lamp such that the RMS summation of the harmonic
components does not exceed 3.0 percent of the fundamental frequency
while operating the LED lamp. Section 3.2 requires, in part, that the
voltage of the AC power supply (RMS voltage) or direct current (DC)
power supply (instantaneous voltage) applied to the LED lamp be
regulated to within 0.2 percent under load.
DOE did not receive any comments on the proposed power supply
requirements and therefore adopts them as described in this final rule.
b. Electrical Settings
In the July 2015 SNOPR, DOE proposed to test LED lamps according to
the electrical settings as specified in section 7.0 of IES LM-79-08.
Section 7.0 specifies, in part, that the LED lamp must be operated at
the rated voltage throughout testing. DOE also specified that, for an
integrated LED lamp with multiple rated voltages including 120 volts,
the lamp must be operated at 120 volts. If an integrated LED lamp with
multiple rated voltages is not rated for 120 volts, the lamp must be
operated at the highest rated input voltage. Additional tests may be
conducted at other rated voltages. Section 7.0 also requires the LED
lamp to be operated at the maximum input power during testing. If
multiple modes occur at the same maximum input power (such as variable
CCT or CRI), the manufacturer can select any of these modes for
testing; however, all active-mode measurements must be taken at the
same selected settings. The manufacturer must also indicate in the test
report which mode was selected for testing and include sufficient
detail such that another laboratory could operate the lamp in the same
mode. Id.
Also in the July 2015 SNOPR, DOE proposed instructions for the
electrical instrumentation setup to be as specified in section 8.0 of
IES LM-79-08. Section 8.1 specifies that for DC-input LED lamps, a DC
voltmeter and a DC ammeter are to be connected between the DC power
supply and the LED lamp. The voltmeter is to be connected across the
electrical power inputs of the LED lamp. For AC-input LED lamps, an AC
power meter is to be connected between the AC power supply and the LED
lamp, and AC power, in addition to input voltage and current, is
measured. Section 8.2 specifies calibration uncertainties for the
instruments used for measuring AC input power, voltage, and current. It
also prescribes the calibration uncertainty for DC voltage and current.
The calibration uncertainty of the AC power meter is to be less than or
equal to 0.5 percent and that of the instruments used for AC voltage
and current is to be less than or equal to 0.2 percent. Lastly, the
calibration uncertainty of the meter used for DC voltage and current is
to be less than or equal to 0.1 percent. Id.
DOE did not receive any comments on the proposed electrical
settings during testing and therefore adopts them as described in this
final rule.
c. Operating Orientation
In the July 2015 SNOPR, DOE proposed that LED lamps be positioned
such that an equal number of units are oriented in the base-up and
base-down orientations during testing. DOE collected test data for
several LED lamps tested in base-up, base-down, and horizontal
orientations, and analyzed the data to determine the variation of input
power, lumen output, CCT, and CRI in each of these three orientations.
The analysis of the test data revealed that some lamp models exhibited
variation between the three orientations.
[[Page 43407]]
Of the three orientations, analysis indicated that the base-up and
base-down orientations represent the best (highest lumen output) and
worst (lowest lumen output) case scenarios, respectively. Therefore,
there is no need to test horizontally. Testing LED lamps in the base-up
and base-down orientations would apply to lamps measured in both active
mode and standby mode. 80 FR at 39646. For an LED lamp that is
developed, designed, labeled, and advertised as restricted to a
particular position, DOE proposed that the lamp be tested in only the
manufacturer-specified position. Id.
DOE did not receive any comments on the proposed operating
orientation requirements and therefore adopts them as described in this
final rule.
3.Test Method
a. Stabilization Criteria
DOE proposed in the July 2015 SNOPR that integrated LED lamps be
stabilized prior to measurement as specified in section 5.0 of IES LM-
79-08. The ambient conditions and operating orientation while
stabilizing is as specified in sections III.C.1 and III.C.2. DOE also
proposed in the July 2015 SNOPR that stability of the LED lamp is
reached when the stabilization variation [(maximum--minimum)/minimum]
of at least three readings of the input power and lumen output over a
period of 30 minutes, taken 15 minutes apart, is less than 0.5 percent.
DOE included this calculation to add clarification to the method
specified in section 5.0 of IES LM-79-08. DOE also proposed that
stabilization of multiple products of the same model can be carried out
as specified in section 5.0 of IES LM-79-08. 80 FR at 39666.
DOE did not receive any comments on the proposed stabilization
criteria and therefore adopts them as described in this final rule.
b. Input Power Metric
DOE proposed in the July 2015 SNOPR that input power (in watts),
input voltage (in volts), and input current (in amps) be measured as
specified in section 8.0 of IES LM-79-08. For DC-input LED lamps, the
product of the measured voltage and the current gives the input
electrical power. For AC-input LED lamps, the input power is measured
using a power meter connected between the AC power supply and the LED
lamp. Id.
DOE did not receive any comments on the proposed test method for
measuring input power and therefore adopts it as described in this
final rule.
c. Lumen Output Metric
DOE proposed in the July 2015 SNOPR that goniophotometers may not
be used for photometric measurements. As a result, DOE proposed in the
July 2015 SNOPR that the method for measuring lumen output be as
specified in sections 9.1 and 9.2 of IES LM-79-08, and proposed the
same lumen output measurement method for all LED lamps, including
directional \8\ LED lamps. 80 FR at 39646-47.
---------------------------------------------------------------------------
\8\ 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.
---------------------------------------------------------------------------
DOE did not receive any comments on the proposed test method for
measuring lumen output and therefore adopts it as described in this
final rule.
d. Lamp Efficacy Metric
As discussed in section I, this test procedure will support any
potential future energy conservation standards for general service LED
lamps, which may include efficacy as a metric for setting standards.
Accordingly, in the July 2015 SNOPR, DOE proposed that the efficacy of
an LED lamp (in units of lumens per watt) be calculated by dividing
measured initial lamp lumen output in lumens by the measured lamp input
power in watts. Providing a calculation for efficacy of an LED lamp
does not increase testing burden because the test procedure already
includes metrics for input power and lumen output. This approach also
increases clarity as it specifies the calculation using the naming
conventions for measured parameters established by DOE. Id at 39647.
DOE did not receive any comments on the proposed calculation for
lamp efficacy and therefore adopts it as described in this final rule.
e. Measuring Correlated Color Temperature
In the July 2015 SNOPR, DOE proposed that the CCT of an LED lamp be
calculated as specified in section 12.4 of IES LM-79-08. 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. DOE did not
propose a nominal CCT method because nominal CCT values do not address
all regions of the chromaticity diagram. DOE proposed that the setup
for measuring the relative spectral distribution, which is required to
calculate the CCT of the LED lamp, be as specified in section 12.0 of
IES LM-79-08. That section describes the test method to calculate CCT
using a sphere-spectroradiometer system and a spectroradiometer or
colorimeter system. Furthermore, DOE also proposed in the July 2015
SNOPR to require all photometric measurements (including CCT) be
carried out in an integrating sphere, and that goniophotometer systems
must not be used. Therefore, DOE proposed that the instrumentation used
for CCT measurements be as described in section 12.0 of IES LM-79-08
with the exclusion of sections 12.2 and 12.5 of IES LM-79-08. Id.
DOE did not receive any comments on the proposed test method for
measuring CCT and therefore adopts it as described in this final rule.
f. Measuring Color Rendering Index
In the July 2015 SNOPR, DOE proposed to add a requirement that the
CRI of an LED lamp be determined as specified in section 12.4 of IES
LM-79-08, and to require all photometric measurements (including CRI)
be carried out in an integrating sphere. As proposed, the setup for
measuring the relative spectral distribution, which is required to
calculate the CRI of the LED lamp, would be as specified in section
12.0 of IES LM-79-08 with the exclusion of sections 12.2 and 12.5 of
IES LM-79-08, as goniophotometer systems would not be used. Section
12.4 of IES LM-79-08 also specifies that CRI be calculated according to
the method defined in the International Commission on Illumination
(CIE) 13.3-1995.\9\ There are currently no industry standards that
define or provide instructions for color quality metrics other than the
CRI of LED lamps. DOE proposed that the test procedure for LED lamps
include measurement methods for CRI in order to support the upcoming
general service lamps energy conservation standard rulemaking. 80 FR at
39647-48.
---------------------------------------------------------------------------
\9\ ``Method of Measuring and Specifying Colour Rendering
Properties of Light Sources.'' Approved by CIE in 1995.
---------------------------------------------------------------------------
NEMA requested DOE to remove test requirements for CRI from the LED
lamps test procedure, citing that they are not necessary for FTC
labeling purposes. NEMA noted that because DOE has removed other
parameters from the test procedure to be consistent with FTC labeling
parameters, it should remove CRI as well. NEMA also commented that
limiting the parameters addressed in this test procedure to just those
needed for the FTC Lighting Facts Label will shorten the time to
complete this test procedure rulemaking and enable the FTC to utilize
this test
[[Page 43408]]
procedure earlier. (NEMA, No. 42 at p. 3)
Removing parameters already addressed in this rulemaking to date
will not shorten the time needed to complete the final rule. DOE's
proposals have already received several rounds of comments and the
majority of proposals in the most recent SNOPR received no comments
from stakeholders, indicating general agreement.
DOE's proposal in the April 2012 NOPR was originally intended to
support the FTC Lighting Facts program. 77 FR 21040. However, over the
course of this rulemaking, DOE expanded the scope of the test procedure
to also support the general service lamps energy conservation standards
rulemaking. While FTC does not require CRI to be reported on the FTC
Lighting Facts Label, EPA has requirements for CRI in Version 2.0 of
the ENERGY STAR Program Requirements: Product Specification for Lamps
(Light Bulbs) (hereafter ``ENERGY STAR Lamps Specification V2.0'') \10\
and the version currently in effect (hereafter ENERGY STAR Lamps
Specification V1.1).\11\ Because the test methods for CRI described
earlier have been reviewed and vetted by industry stakeholders, DOE
maintained CRI in this test procedure in support of the ENERGY STAR
Lamps Specification V2.0.
---------------------------------------------------------------------------
\10\ ``ENERGY STAR Program Requirements: Product Specification
for Lamps (Light Bulbs) Version 2.0.'' U.S. Environmental Protection
Agency, February 2016.
\11\ ``ENERGY STAR Program Requirements Product Specification
for Lamps (Light Bulbs) Version 1.1.'' U.S. Environmental Protection
Agency, August 28, 2014.
---------------------------------------------------------------------------
The Appliance Standards Awareness Project, Natural Resources
Defense Council and the American Council for an Energy-Efficient
Economy (hereafter referred to as EEAs) and NEMA both noted an updated
industry standard for color, IES TM-30-15, in their comments regarding
color testing. NEMA commented that TM-30-15 is intended to identify and
better quantify consumer preferences regarding color rendition, and
that DOE should not set a minimum standard using the metric described
in this standard until it is finalized. (NEMA, No. 42 at p. 2) EEAs
indicated that the new standard is intended to eventually replace CRI,
and while there should be no immediate minimum value specified in a
rulemaking, manufacturers should be required to provide color rendering
information based on TM-30-15. (EEAs, No. 43 at pp. 3-4)
Having reviewed the newly published industry standard, DOE will not
require manufacturers to provide color rendering information based on
TM-30-15 at this time. DOE notes that the metrics described in the
standard are not required by DOE, FTC, or ENERGY STAR. DOE will
continue to monitor industry acceptance of TM-30-15 and the
requirements for ENERGY STAR. DOE can initiate a rulemaking and
incorporate TM-30-15 at a later time, if needed.
CA IOUs also requested that DOE modify the LED lamps test procedure
to require manufacturers to report the entire set of test color
samples, R1 through R14, when measuring and reporting CRI. CA IOUs
described the process for calculating CRI, which is an average color
metric based on the first eight test color samples, R1 through R8. CA
IOUs asked DOE to specify the reporting of the entire set of test color
samples because the average CRI value may not always accurately depict
color performance of a lamp. In other words, lamps can have similar CRI
values but the color performance may vary depending on the desired
design criteria of the consumer. CA IOUs presented an example of two
lamps with similar light output, CCT, and CRI, but that have
significantly different R8 values. Each lamp would have a different
saturation in the pink/red hue, leading to varying consumer
satisfaction depending on the desired application. Therefore, CA IOUs
recommended DOE to specifically include the measurements of R1 through
R14 in the DOE test procedure to enhance consumer satisfaction. (CA
IOUs, No. 44 at pp. 6-7)
DOE understands the importance of consumer satisfaction regarding
lamp color. Although FTC does not require CRI to be reported, and DOE
may not require the metric in its rulemaking for general service lamps,
ENERGY STAR has minimum CRI requirements for both CFL and LED lamps.
The requirements are in terms of the average metric rather than the
individual values of the first eight color samples. Therefore, although
the referenced standard for CRI provides a method for measuring the
fourteen different color samples described by the CA IOUs, DOE is
providing certification provisions in this test procedure for only the
average metric based on the first eight values (i.e., CRI). As
described in a previous response in this section, DOE will continue to
monitor the use of color metrics in the industry and can revise the
certification provisions for color rendering values at a future point
in time.
g. Measuring Power Factor
In the July 2015 SNOPR, DOE proposed to include a test procedure
for power factor, because power quality can impact energy consumption.
Power factor is a dimensionless ratio of real power to apparent power
that applies only to AC-input lamps, where real power is the measured
input power of the LED lamp and apparent power is equal to the product
of measured input current and input voltage. As mentioned previously, a
test procedure for power factor is not described directly in IES LM-79-
08, but the instrumentation for measuring the values necessary for
calculating power factor is specified.
DOE proposed to calculate power factor by dividing measured input
power by the product of input current and input voltage. Following
seasoning and stabilization, input power, input current, and input
voltage to the LED lamp would be measured using the instrumentation
specified in section 8.0 of IES LM-79-08. Input power, input current,
and input voltage would be measured using the same test conditions and
test setup as for lumen output, lamp efficacy, CCT, and CRI as proposed
in the July 2015 SNOPR. 80 FR at 39655.
DOE received several comments from stakeholders regarding DOE's
proposed measurement and calculation of power factor. CA IOUs supported
DOE's addition of a power factor test method, noting that higher power
factor requirements in a standards rulemaking should increase energy
savings. (CA IOUs, No. 44 at pp. 1-2) However, NEMA asserted that DOE
should not set requirements for power factor, and consequently DOE
should not have test methods for power factor in the LED lamps test
procedure. (NEMA, No. 42 at p. 6)
DOE included power factor in this test procedure to potentially
support the general service lamps rulemaking. If that rulemaking does
not establish requirements for power factor, DOE notes that ENERGY STAR
has requirements for power factor in its current and draft
specifications for Lamps. Thus, DOE will continue to provide a test
method for power factor in this final rule.
Although NEMA disagreed with the inclusion of the metric, NEMA
agreed with DOE's proposed method for determining power factor. (NEMA,
No. 42 at p. 6) CA IOUs recommended, however, that DOE incorporate by
reference ANSI C82.77, which is referenced by the ENERGY STAR Lamps
Specification V2.0 and by the California Energy Commission Title 24
Part 6 (Building Energy Efficiency Standards).\12\ CA IOUs noted that
this
[[Page 43409]]
standard includes more detailed specifications of test equipment
capabilities and guidance related to error tolerances. (CA IOUs, No. 44
at pp. 1-2)
---------------------------------------------------------------------------
\12\ California Energy Commission, ``Building Energy Efficiency
Standards for Residential and Nonresidential Buildings,'' June 2015.
http://www.energy.ca.gov/2015publications/CEC-400-2015-037/CEC-400-2015-037-CMF.pdf.
---------------------------------------------------------------------------
DOE reviewed the equipment specifications and error tolerances in
IES LM-79-08 and ANSI C82.77 and determined that IES LM-79-08 provides
more stringent specifications related to error tolerances than ANSI
C82.77. IES LM-79-08, which specifically applies to LED lamps, provides
explicit equipment specifications and error tolerances for measuring
each component of the power factor calculation (i.e., input power,
input current, and input voltage). ANSI C82.77 specifies tolerances for
input voltage and current characteristics. However, it does not detail
any tolerances or uncertainties for the input power supply or power
measuring device. IES LM-79-08 specifies that the calibration
uncertainty of the AC power meter must be less than or equal to 0.5
percent. Further, the tolerance specified for the voltage supplied to
the tested product is more stringent in IES LM-79-08. ANSI C82.77
specifies that the input voltage must be within 2 percent
of the rated value, while IES LM-79-08 specifies that the input voltage
applied to the LED lamp must be within 0.2 percent of the
rated lamp input voltage. Because IES LM-79-08 contains specifications
that comprehensively address LED lamps and are more stringent for
determining power factor, DOE maintained its approach in this final
rule for measuring power factor.
D. Adopted Approach for Lifetime Measurements
In the July 2015 SNOPR, DOE proposed a new test procedure for
measuring and projecting the time to failure of LED lamps that
addressed many of the stakeholder concerns received regarding the June
2014 and lifetime SNOPR proposals. The new proposal was largely based
on the IES LM-84-14 and IES TM-28-14 industry standards, and provided a
simple, straightforward, and flexible test procedure. 80 FR at 39651.
IES LM-84-14 provides a method for lumen maintenance measurement of
integrated LED lamps and specifies the operational and environmental
conditions during testing such as operating cycle, ambient temperature,
airflow, and orientation. Lumen maintenance is the measure of lumen
output after an elapsed operating time, expressed as a percentage of
the initial lumen output. IES TM-28-14 provides methods for projecting
the lumen maintenance of integrated LED lamps depending on the
available data and test duration. DOE determined that the lifetime
projection method in IES TM-28-14 would lead to more accurate lifetime
projections than the June 2014 and lifetime SNOPR proposals, ENERGY
STAR Lamps Specification V1.1,\11\ and ENERGY STAR Lamps Specification
V2.0 \10\ (when it requires compliance) because IES TM-28-14 specifies
a method that projects time to failure using multiple lumen maintenance
measurements collected over a period of time, rather than a single
measurement at the end of the test duration. 80 FR at 39646-39647.
These requirements, and any modifications proposed by DOE, are further
discussed in sections III.D.1 through III.D.4.
1. Test Conditions
In the July 2015 SNOPR, DOE proposed that the conditions for lamp
operation between lumen output measurements be as specified in section
4.0 of IES LM-84-14, with some modifications. Lumen output of LED lamps
can vary with changes in ambient temperature and air movement around
the LED lamp. However, to reduce test burden, DOE proposed that the
operating conditions (e.g., ambient temperature) required while
measurements are not being taken be less stringent than those required
when taking photometric measurements. The test conditions outlined in
IES LM-84-14, as modified, ensure reliable, repeatable, and consistent
test results without significant test burden. 80 FR at 39650-36951.
These conditions are discussed in further detail in the paragraphs that
follow.
Specifically, DOE discussed referencing section 4.1 of IES LM-84-
14, which specifies that LED lamps should be handled according to the
manufacturer's instructions and should be checked and cleaned prior to
lumen output measurement and maintenance testing. Section 4.1 of IES
LM-84-14 further states that unusual environmental conditions, such as
thermal interference from heating, ventilation and air conditioning
systems or solar loading, are to be reduced to levels reasonably
expected to minimize influence.
DOE also proposed to adopt the instructions in section 4.2 of IES
LM-84-14, which state that the lamp should be mounted in accordance
with manufacturer specifications. DOE expanded on this, proposing that
if lamps can operate in multiple orientations, an equal number of LED
lamps should be positioned in the base-up and base-down orientations
throughout testing, but that if the manufacturer restricts the
position, the units should be tested in the manufacturer-specified
position.
In addition, DOE proposed to include section 4.4 of IES LM-84-14,
which specifies that photometric measurements should be taken at an
ambient temperature of 25 [deg]C 5 [deg]C. A tolerance of
5 [deg]C for the ambient temperature during lumen maintenance testing
is practical, limits the impact of ambient temperature, and is not
burdensome. Section 4.4 of IES LM-84-14 also indicates that the
temperature variation of the operating environment must be monitored
with a sufficient number of appropriately located temperature
measurement points, and that the sensors used for measurements must be
shielded from direct optical radiation from the lamp or any other
source to reduce the impact of radiated heat on the ambient temperature
measurement. Section 4.4 of IES LM-84-14 further states that if the
ambient temperature falls outside the allowed range, the lumen
maintenance test must be terminated. This setup for measuring and
controlling ambient temperature would result in appropriate testing
conditions as the lamp would be tested at room temperature and in an
environment that is used most commonly for testing lamp technologies.
Id.
DOE discussed requiring that vibration and air movement around the
LED lamp be as specified in sections 4.3 and 4.6 of IES LM-84-14, which
require that the LED lamps not be subjected to excessive vibration or
shock during operation or handling, and that the air flow surrounding
the LED lamp be minimized. This is a requirement in relevant industry
standards for the test setup of other lamp types such as GSFLs, and
would ensure consistent LED lamp measurements. DOE also proposed that
humidity of the environment around the LED lamp shall be maintained to
less than 65 percent relative humidity during the lumen maintenance
test as specified in section 4.5 of IES LM-84-14. Id.
DOE did not receive any comments on the proposed test conditions
when determining lifetime and therefore adopts them as described in
this final rule.
2. Test Setup
a. Power Supply
DOE proposed that line voltage waveshape and input voltage of AC
power supplies be as specified in sections 5.2 and 5.4 of IES LM-84-14,
respectively. Section 5.2 specifies that
[[Page 43410]]
an AC power supply must have a sinusoidal voltage waveshape at the
input frequency required by the LED lamp such that the RMS summation of
the harmonic components does not exceed 3.0 percent of the fundamental
frequency while operating the LED lamp. Section 5.4 requires, in part,
that the voltage of an AC power supply (RMS voltage) applied to the LED
lamp be less than or equal to 2.0 percent of the rated RMS voltage.
Lastly, DOE proposed to not reference section 5.3 of IES LM-84-14,
which provides line impedance guidelines, because the procedures are
listed as optional by IES and lack specific line impedance
restrictions. 80 FR at 39651-52.
DOE did not receive any comments on the proposed power supply
requirements and therefore adopts them as described in this final rule.
b. Test Rack Wiring
DOE proposed that test rack wiring requirements during lumen
maintenance testing of LED lamps be as specified in section 5.5 of IES
LM-84-14. This section specifies that wiring of test racks should be in
accordance with national, state or provincial, and local electrical
codes, and in accordance with any manufacturer operation and condition
recommendations for the LED lamp. This section also requires that an
inspection of electric contacts including the lamp socket contacts be
performed each time the LED lamps are installed in the test rack. 80 FR
at 39652.
DOE did not receive any comments on the proposed test rack wiring
requirements and therefore adopts them as described in this final rule.
c. Electrical Settings
DOE proposed requiring lumen maintenance testing of LED lamps at
the rated voltage as specified in section 5.1 of IES LM-84-14. For
lamps with multiple operating voltages, DOE proposed that the
integrated LED lamp be operated at the rated voltage throughout
testing. For an integrated LED lamp with multiple rated voltages
including 120 volts, DOE proposed that the lamp be operated at 120
volts. For cases where an integrated LED lamp with multiple rated
voltages is not rated for 120 volts, DOE proposed that the lamp be
operated at the highest rated input voltage. For LED lamps with
multiple modes of operation, DOE proposed incorporating section 7.0 of
IES LM-79-08, which specifies that dimmable LED lamps should be tested
at maximum input power. For cases where multiple modes (such as
multiple CCTs and CRIs) occur at the maximum input power, DOE proposed
that the manufacturer can select any of these modes for testing. For
certification, DOE proposed that all measurements (lumen output, input
power, efficacy, CCT, CRI, power factor, lifetime, and standby mode
power) be conducted at the same mode of operation. Id.
DOE did not receive any comments on the proposed electrical
settings during lumen maintenance testing and therefore adopts them as
described in this final rule.
d. Operating Orientation
DOE proposed to incorporate the instructions in section 4.7 of IES
LM-84-14, which specifies that the operating orientation of the lamp be
the same as during photometric measurement. Lamp operating orientation
during photometric measurement is discussed in section III.C.2.c. Id.
DOE did not receive any comments on the proposed operating
orientation requirements and therefore adopts them as described in this
final rule.
3. Test Method
DOE proposed that the lumen maintenance test procedure for LED
lamps be as specified in section 7.0 of IES LM-84-14 and section 4.2 of
IES TM-28-14. The test methods outlined in IES LM-84-14 and IES TM-28-
14 ensure reliable, repeatable, and consistent test results without
significant test burden. 80 FR at 39652. The lumen maintenance test
method is discussed in further detail in sections III.D.3.a through
III.D.3.g.
a. Initial Lumen Output Measurements
DOE proposed requiring an initial lumen output measurement
consistent with section 7.6 of IES LM-84-14, which states that an
initial lumen output measurement is required prior to starting the
maintenance test. Initial lumen output is the measured amount of light
that an LED lamp provides at the beginning of its life after it is
initially energized and stabilized using the stabilization procedures
described in section III.C.3.a. The methodology, test conditions, and
setup requirements described in section III.C.3.c would be used when
measuring initial lumen output for the lifetime test procedure.
Manufacturers testing an LED lamp for lifetime would be required to use
the same value of initial lumen output as used in the lamp efficacy
calculation. Id.
DOE did not receive any comments on the proposed initial lumen
output measurement requirements for time to failure testing and
therefore adopts them as described in this final rule.
b. Interval Lumen Output Measurements
DOE also proposed requiring that additional lumen output
measurements (known as interval lumen output measurements) be made
after the initial lumen output measurement and continue at regular
intervals, consistent with the requirements of section 7.6 of IES LM-
84-14. Interval lumen output is measured after the lamp is energized
and stabilized using the stabilization procedures in section III.C.3.a.
80 FR 39652. The methodology, test conditions, and setup requirements
described in section III.C.3.c would be required when measuring
interval lumen output for the lifetime test procedure. Id.
DOE did not receive any comments on the stabilization, methodology,
test conditions, or setup for measuring interval lumen output and
therefore adopts them as described in this final rule. The frequency of
interval lumen output measurements is discussed in section III.D.4.a.
c. Test Duration
In the July 2015 SNOPR, DOE proposed that initial lumen output is
the measured amount of light that a lamp provides at the beginning of
its life, after it is initially energized and stabilized using the
stabilization procedures. 80 FR at 39649. During lumen maintenance
testing, the LED lamps must operate for an extended period of time,
referred to as the ``elapsed operating time.'' The entirety of elapsed
operating time starting immediately after the initial lumen output
measurement and ending with the recording of the final interval lumen
output measurement is then referred to as the ``test duration'' or time
``t.'' The test duration does not include any time when the lamp is not
energized. If lamps are turned off (possibly for transport to another
testing area or during a power outage), DOE proposed that the time
spent in the off state not be included in the test duration. DOE did
not specify minimum test duration requirements so manufacturers can
customize the test duration based on the expected lifetime of the LED
lamp. However, DOE acknowledged that the test duration has a
significant impact on the reliability of the lumen maintenance
prediction and thus proposed maximum time to failure claims that
increase as the test duration increases. 80 FR at 39649-39650. These
lumen maintenance calculation requirements are discussed further in
section III.D.4.
DOE did not receive any comments on the proposed test duration
criteria and
[[Page 43411]]
therefore adopts them as described in this final rule.
d. Lamp Handling and Tracking
DOE proposed that LED lamps be handled, transported, and stored as
specified in Section 7.2 of IES-LM-84-14, which states that care should
be taken to prevent any damage or contamination that may affect the
test results. These handling requirements are practical, prevent lamp
damage that could affect the measured results, and would not be
burdensome to manufacturers.
DOE also proposed that the requirements for LED lamp marking and
tracking during lumen maintenance testing be as specified in section
7.3 of IES-LM-84-14. Section 7.3 of IES-LM-84-14 specifies that each
LED lamp must be tracked during the maintenance test and identified by
marking applied directly to the LED lamps or by labels that can be
attached during transport, operation, and evaluation, or to the test
rack position occupied by the LED lamp. It further provides that the
chosen identification method should also consider the effect of
exposure to light and heat, as this may alter or compromise the marking
or label. Section 7.3 of IES-LM-84-14 also offers several possible
marking methods and materials, including durable bar coding, ceramic
ink marking, high-temperature markers, or any other method that endures
or can be periodically renewed for the duration of the test. These
requirements ensure that the LED lamp can be tracked and identified
correctly throughout lumen maintenance testing. 80 FR at 39652-39653.
DOE did not receive any comments on the proposed lamp handling and
tracking requirements and therefore adopts them as described in this
final rule.
e. Operating Cycle
Lifetime test procedures for other lamp types sometimes require
``cycling,'' which means turning the lamp on and off at specific
intervals over the test period. However, industry has stated that
unlike other lighting technologies, the lifetime of LED lamps is
minimally affected by power cycling.\13\ Thus, in the July 2015 SNOPR,
DOE proposed that cycling of the LED lamp not be required during lumen
maintenance testing by referencing section 7.4 of IES LM-84-14, which
states the LED lamps should be operated continuously. 80 FR at 39653.
---------------------------------------------------------------------------
\13\ NEMA Comments on ENERGY STAR Program Requirements Product
Specification for Lamps (Light Bulbs) Version 1.0, Draft 2 http://energystar.gov/products/specs/sites/products/files/NEMA.pdf.
---------------------------------------------------------------------------
DOE did not receive any comments on the proposal to maintain
continuous operation. However, in order to require continuous operation
rather than recommend it, DOE removes the reference to section 7.4 of
IES LM-84-14 and adopts language in its place that states to operate
the integrated LED lamp continuously. This requirement aligns with
previous industry comments and eliminates any confusion regarding
operating cycle. 80 FR 39644, 39653 (July 9, 2015).
f. Time Recording
Accurate recording of the elapsed operating time is critical for
the lumen maintenance test procedure. Therefore, DOE proposed to adopt
section 7.5 of IES LM-84-14, which states that elapsed time recording
devices must be connected to the particular test positions and
accumulate time only when the LED lamps are operating. The LED lamp is
operating only when the lamp is energized. If lamps are turned off
(possibly for transport to another testing area or during a power
outage), DOE proposed that the time spent in the off state not be
included in the recorded elapsed operating time. Section 7.5 of IES LM-
84-14 also indicates that video monitoring, current monitoring, or
other means can be used to determine elapsed operating time. All
equipment used for measuring elapsed operating time would be calibrated
and have a total minimum temporal resolution of 0.5
percent. These requirements are achievable with minimal testing burden
and provide reasonable stringency that is achievable via commercially
available time recording instrumentation. Id.
DOE did not receive any comments on the proposed time recording
requirements and therefore adopts them as described in this final rule.
g. Lamp Failure
DOE also proposed that LED lamps be checked regularly for failure
as specified in section 7.8 of IES LM-84-14, which requires that
checking for LED lamp operation either by visual observation or
automatic monitoring be done at a minimum at the start of lumen
maintenance testing and during every interval measurement. Section 7.8
of IES LM-84-14 further specifies that each non-operational LED lamp
must be investigated to make certain that it is actually a failure, and
that it is not caused by improper functioning of the test equipment or
electrical connections. DOE proposed that if lumen maintenance of the
LED lamp is measured at or below 0.7 or an LED lamp fails resulting in
complete loss of light output, time to failure has been reached and
therefore it must not be projected using the procedures described in
the following section III.D.4. Instead, the time to failure is equal to
the last elapsed time measurement for which the recorded lumen output
measurement is greater than or equal to 70 percent of initial lumen
output. Id.
Regarding DOE's proposal in section 4.6.2 of appendix BB to subpart
B of part 430, NEMA recommended changing the text to read ``For lumen
maintenance values less than 0.7, including lamp failures that result
in complete loss of light output, time to failure is equal to the
midpoint of the last monitoring interval where the lumen maintenance is
greater than or equal to 70 percent.'' (NEMA, No. 42 at p. 5)
DOE notes that if a lamp fails earlier than expected, manufacturers
may not know exactly when the LED lamp reached 70 percent lumen
maintenance. NEMA's proposal to calculate that time as the midpoint of
the last monitoring interval where the lumen maintenance is greater
than or equal to 70 percent may overestimate the time to failure. DOE's
approach ensures that the actual time to failure is equal to or greater
than the value used in calculations. Therefore, DOE maintains its
proposal in the July 2015 SNOPR, which ensures that the time to failure
represents a lumen maintenance value of 70 percent or greater.
h. Stress Testing
In the July 2015 SNOPR, DOE noted that industry has stated that,
unlike other lighting technologies, the lifetime of LED lamps is
minimally affected by power cycling.\13\ Further, DOE research of
existing literature and industry test procedures indicated that none
are available that use rapid-cycle stress testing to predict the
failure of the complete LED lamp. Therefore, in the July 2015 SNOPR,
DOE proposed to retain the testing conditions that LED lamps operate
without rapid-cycle stress testing. DOE also did not propose to modify
the testing conditions to accommodate a stress testing method based on
elevated temperatures. 80 FR 39650.
DOE received comments from EEAs and CA IOUs on its proposed testing
conditions for LED lamps, stating that it should reconsider adopting an
accelerated life test method for LED lamps. The organizations noted
that accelerated life testing is commonly used in other electronic
industries to identify product flaws under stressed
[[Page 43412]]
operating conditions (e.g., high temperature and high humidity). (EEAs,
No. 43 at p. 2; CA IOUs, No. 44 at p. 6) EEAs commented that because
integrated LED lamps are primarily constructed of electronic
components, their lifetime is often affected by extreme ambient
conditions. (EEAs, No. 43 at p. 2) CA IOUs agreed, adding that LED
lamps utilize electronic drivers to regulate current, which may vary in
performance under different ambient conditions. (CA IOUs, No. 44 at p.
6)
CA IOUs and EEAs referenced prior studies on stress testing in the
LED industry. CA IOUs noted that 85/85 testing has been utilized in the
industry, which is when the LED lamp is subjected to an ambient
environment of 85[deg]C and 85% relative humidity during testing. (CA
IOUs, No. 44 at p. 6) CA IOUs and EEAs cited a study published by DOE
that used a 75/75 testing method for analyzing LED luminaire lifetime
under stressed conditions.\14\ The study concluded that lumen
depreciation alone is not a proxy for predicting LED lifetime and
recommended the use of stress testing to identify product flaws and
manufacturing defects. CA IOUs and EEAs also referenced the most recent
draft of the ENERGY STAR Lamps Specification V2.0,\10\ detailing EPA's
plan to include elevated temperature testing for lamps intended to
operate in recessed or enclosed fixtures. In order to identify and
prevent manufacturing defects and poor quality products, CA IOUs and
EEAs requested that DOE develop an accelerated life test method to
align with EPA's ENERGY STAR program or one based on the LED luminaire
research study. (EEAs, No. 43 at pp. 2-3; CA IOUs, No. 44 at p. 6) CA
IOUs noted that the current lifetime test method as proposed by DOE
does not address operating conditions for lamps that are installed in
recessed or enclosed fixtures and recommended that DOE address this in
its test procedure. (CA IOUs, No. 44 at p. 6)
---------------------------------------------------------------------------
\14\ U.S. Department of Energy, ``Hammer Testing Findings for
Solid-State Lighting Luminaires,'' December 2013. http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/hammer-testing_Dec2013.pdf.
---------------------------------------------------------------------------
DOE notes that it is important to maintain high quality products on
the market. However, DOE is not adopting a stress test or elevated
temperature test in this test procedure. DOE's research of existing
literature and industry test procedures indicate that none are
available that predict the failure of the complete LED lamp. The study
published by DOE analyzing LED luminaire lifetime under stressed
conditions \14\ is not applicable to this test procedure for several
reasons. While the study provided valuable insights on LED luminaires,
it did not determine specific wear-out mechanisms, quantify failure
modes, or determine acceleration factors to provide lifetime estimates
for LED lamps. Further, the study specifically notes that its goal was
to provide insight into failure modes of luminaires and was not
intended to be a universal accelerated life test for luminaires.
Therefore, DOE cannot use this study to develop an accelerated lifetime
test method for the LED lamps test procedure at this time. Lastly, DOE
notes that the adopted approach for lifetime measurements adequately
tests all LED lamps, including lamps intended to operate in enclosed or
recessed fixtures. DOE included lifetime in this test procedure to
support the FTC Lighting Facts Label, and a consistent test method
across all lamp types enables consumers to directly compare lamp
lifetimes. Thus, DOE is not adopting a stress test or an elevated
temperature test in this test procedure.
4. Projection Method
In the July 2015 SNOPR, DOE proposed a new lumen maintenance
projection procedure that addressed many of the stakeholder concerns
regarding the June 2014 and lifetime SNOPR proposals. The proposal was
largely based on the IES TM-28-14 industry standard and provided a
simple, straightforward, and flexible calculation based on the recorded
trend in lumen maintenance of an LED lamp. However, DOE proposed
certain modifications so that the projection method meets DOE's need
for a test procedure that ensures consistent, repeatable results. 80 FR
at 39653.
EEAs and CA IOUs supported DOE's inclusion of IES LM-84-14 and IES
TM-28-14, citing the importance of measuring and projecting lumen
maintenance for LED lamps rather than just LED sources. (EEAs, No. 43
at p. 2; CA IOUs, No. 44 at p. 4) CA IOUs added that DOE's proposal
will encourage longer test durations, which will identify early product
failures during testing. CA IOUs also noted that the proposal will help
manufacturers make more accurate lifetime claims. (CA IOUs, No. 44 at
p. 4)
However, Philips and NEMA disagreed with DOE's proposal to
reference IES LM-84-14 and IES TM-28-14 for lumen maintenance testing
and lifetime projections. They commented that industry is still widely
using IES LM-80-08 and IES TM-21-11 and indicated that the current
proposal would cause significant certification and testing delays,
result in manufacturer test burden, and ultimately stifle innovation in
a rapidly evolving product cycle. (Philips, No. 41 at p. 3; NEMA, No.
42 at p. 3) NEMA also noted that IES LM-80-08 and IES TM-21-11 allow
for test results of one LED source to be used for each product that
uses that LED, which shortens test time for the entire product line.
NEMA asserted that because IES LM-84-14 is a new standard and
manufacturer experience with it is low, it is unknown if IES LM-84-14
will more accurately predict lumen maintenance than IES LM-80-08.
Lastly, NEMA recommended DOE give manufacturers the option to certify
lamps under IES LM-80-08 and IES TM-21-11 or IES LM-84-14 and IES TM-
28-14, which would give the lighting industry sufficient time to be
familiarized with the new standards. (NEMA, No. 42 at pp. 3-4)
DOE notes, as it has in several previous SNOPRs, that measuring and
projecting the performance of the entire lamp rather than the LED
source is more accurate for a test procedure concerning lamp metrics.
Other LED lamp components may cause lamp failure before the LED source
falls below 70 percent of its initial light output, and therefore, it
is undesirable for the lifetime of LED lamps to be approximated by the
lumen maintenance of only the LED source. While NEMA notes that IES LM-
80-08 and IES TM-21-11 allow for test results of one LED source to be
used for each product that uses that LED source, that approach may not
accurately characterize the lifetime of those products. For example,
other electrical components included in the assembled lamp may also
affect the lifetime but this effect would not be captured when testing
only the LED source. Although NEMA claims that industry is still widely
using the LED source to approximate lifetime, ENERGY STAR requires
testing of the whole lamp to determine lifetime and the majority of
integrated LED lamps are already certified to ENERGY STAR.\15\ Finally,
DOE must adopt a test procedure that provides reliable, repeatable, and
consistent results. As such, DOE cannot allow two different methods
(i.e., LM-80-08/TM-21-11 and LM-84-14/TM-28-14) to be used because they
will
[[Page 43413]]
generate different results for the same lamp.
---------------------------------------------------------------------------
\15\ ENERGY STAR estimated the market penetration of ENERGY STAR
certified integrated LED lamps to be 75 percent in the 2014 ENERGY
STAR Unit Shipment and Market Penetration Report, found at http://www.energystar.gov/ia/partners/downloads/unit_shipment_data/2014_USD_Summary_Report.pdf?8691-0d73.
---------------------------------------------------------------------------
a. Interval Lumen Output Measurement Collection Instructions
In the July 2015 SNOPR, DOE proposed that all interval lumen output
measurements meet the requirements specified in section 4.2, 4.2.1, and
4.2.2 of IES TM-28-14. For test durations greater than or equal to
6,000 hours, DOE proposed that section 4.2.1 of IES TM-28-14 be
followed. Section 4.2.1 of IES TM-28-14 specifies that lumen
maintenance data used for direct extrapolation must be collected
initially and at least once every 1,000 hours thereafter. For test
durations greater than or equal to 3,000 hours and less than 6,000
hours, DOE proposed section 4.2.2 of IES TM-28-14 be followed, except
that lumen maintenance data of LED packages and modules would not be
collected. Section 4.2.2 of IES TM-28-14 specifies that lumen
maintenance data must be collected initially after 1,000 hours, and at
least once every 500 hours thereafter.
Lumen maintenance data collected at intervals greater than those
specified in the previous paragraph must not be used as this may
compromise the accuracy of the projection results. In addition, section
4.2 of IES TM-28-14 indicates that lumen maintenance data must be
collected within a 48 hour window of each measurement
point, e.g., for 1000-hour intervals, between 952 hours and 1048 hours,
between 1952 and 2048 hours, etc. This 48 hour data
collection window is also applicable to other intervals smaller than
1,000 hours. Furthermore, section 4.2 specifies that lumen maintenance
data used for the projection calculation must be equally dispersed in
time (to within 48 hours), and that no two consecutive
data collection intervals after the initial 1,000 hours shall differ by
more than 96 hours in length. Therefore, data may be used in the
projection calculation if they are collected every 1,000 hours ( 48 hours), every 500 hours ( 48 hours), etc., but
not every 1,000 hours and occasionally at 500 hours, as this will give
excessive statistical weight to certain data points. Id.
CA IOUs and EEAs agreed with DOE's proposal, stating that regular
data collection intervals, such as 1,000 hours, allow for the
identification of early lamp failures. (CA IOUs, No. 44 at p. 4; EEAs,
No. 43 at p. 2) However, NEMA disagreed with DOE's proposal for lumen
maintenance collection at 1,000 hour intervals. NEMA stated that 1,000
hour test intervals are not common in practice because industry is
using IES LM-80-08 and ENERGY STAR has test collection points at the
3,000 and 6,000 hour intervals. Further, NEMA commented that any change
would invalidate current ENERGY STAR certification data and result in
retesting of many products. (NEMA, No. 42 at p. 5) Philips agreed with
NEMA's comments, adding that FTC also does not typically collect lumen
maintenance data at 1,000 hour intervals and that if the test procedure
is not modified, manufacturer burden will be significant due to
retesting and recertification costs. (Philips, No. 41 at p. 3)
DOE disagrees with NEMA's point that industry is not familiar with
gathering data at 1,000 hour intervals. Industry standards IES LM-80-08
and TM-21-11, recommended by NEMA, require and encourage lumen
maintenance collection intervals of 1,000 hours or less. Thus, LED
source manufacturers should already be conducting tests using 1,000
hour intervals at a minimum. DOE also notes that lamp manufacturers
certify many of their lamps with the ENERGY STAR program, which, as
NEMA states, requires more than one measurement of lumen maintenance.
While DOE requires additional measurements of lumen maintenance, DOE
notes that interval measurements, in general, improve the overall
quality of the lifetime projection. DOE is aware that additional
measurements may increase the burden on manufacturers and accounted for
the testing of lamps in the test burden calculations discussed in
section IV.B. Finally, the ENERGY STAR program references DOE's test
procedures where they exist and has stated its intention to adopt DOE's
test procedure for LED lamps once it is finalized.\16\ Thus, data can
be shared between the two programs. For these reasons, DOE maintained
its approach to collect lumen output measurements at the described
intervals.
---------------------------------------------------------------------------
\16\ See page 3 of Draft 3 of the ENERGY STAR Program
Requirements: Product Specification for Lamps (Light Bulbs) Version
2.0, http://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Lamps%20V2.0%20Draft%203%20Specification.pdf.
---------------------------------------------------------------------------
b. Projection Calculation
Section 5.0 of IES TM-28-14 provides guidance for how to determine
time to failure for an integrated LED lamp. For short test durations
(less than 3,000 hours), IES TM-28-14 does not provide a projection
method so time to failure is determined using actual test data. For
test durations of 3,000 hours or greater, IES TM-28-14 provides two
different methods for projecting time to failure, depending on test
duration. The first is a direct extrapolation method for projecting
time to failure based on lumen maintenance data of a whole LED lamp.
The second is a combined extrapolation method based on both whole LED
lamp and LED source lumen maintenance data. DOE discusses these
provisions of IES TM-28-14 in more detail in this section.
IES TM-28-14 does not provide a lumen maintenance projection method
if IES LM-84-14 testing has been completed for a total elapsed
operating time of less than 3,000 hours. IES TM-28-14 indicates that
the prediction may be unreliable since the spread of prediction
estimates increases significantly for data sets that do not meet the
minimum test duration requirements for the either the direct or
combined extrapolation methods. On the basis of the limited dataset
potentially yielding unreliable projections, DOE proposed in the July
2015 SNOPR no projection of time to failure for test durations less
than 3,000 hours. Instead, time to failure would equal the test
duration. 80 FR at 39653.
For test durations of at least 6,000 hours, the IES TM-28-14
procedures recommend use of a direct extrapolation method. The direct
extrapolation method uses an exponential least squares curve-fit to
extrapolate lumen maintenance measurements of the complete integrated
LED lamp to the time point where lumen maintenance decreases to 70
percent of its initial lumen output. 80 FR at 39653-54.
The direct extrapolation method described in section 5.1 of IES TM-
28-14 for projecting time to failure based on lumen maintenance data of
a whole LED lamp is similar to DOE's June 2014 SNOPR proposal. 79 FR
32035. However, where DOE's June 2014 SNOPR projected time to failure
based on the underlying exponential decay function in ENERGY STAR's
Program Requirements Product Specification for Lamps (Light Bulbs)
Version 1.0,\17\ IES TM-28-14 projects time to failure based on the
data obtained for each individual LED lamp. Thus, in the July 2015
SNOPR, DOE proposed to incorporate the direct extrapolation method
provided in section 5.1 of IES TM-28-14, as this should result in more
accurate projections. 80 FR at 39654.
---------------------------------------------------------------------------
\17\ ``ENERGY STAR Program Requirements Product Specification
for Lamps (Light Bulbs) Version 1.0.'' U.S. Environmental Protection
Agency, August 28, 2013.
---------------------------------------------------------------------------
Although DOE proposed referencing the direct extrapolation method
specified in section 5.1 of IES TM-28-14 for projecting time to failure
of LED lamp lumen maintenance data (tested as
[[Page 43414]]
described in sections III.D.1 through III.D.3), the July 2015 SNOPR
also proposed the following modification for consistency with DOE's
reporting requirements: Measured lumen maintenance data of all the LED
lamp samples must not be averaged, and the averaging procedures
specified in section 5.1.2 of IES TM-28-14 must not be used. Instead,
DOE proposed that the projection calculation be completed for each
individual LED lamp and the projected time to failure values be used to
calculate the lifetime of the sample using proposed alternative
procedures, which are discussed in section III.F.3. Id.
If at least 3,000 hours but less than 6,000 hours of whole-lamp
lumen maintenance data is available, IES TM-28-14 recommends a combined
extrapolation method. This method uses IES TM-21-11 to project the data
collected from IES LM-80-08, which measures lumen maintenance of the
LED source component. This method then corrects for additional lumen
maintenance losses in the complete integrated LED lamp, if they are
observed during whole-lamp testing.
DOE proposed not to reference the combined extrapolation method
described in section 5.2 of IES TM-28-14 for tests where at least 3,000
hours, but less than 6,000 hours, of whole-lamp lumen maintenance test
data are available. The requirement to use lumen maintenance data of
the LED source component would require disassembly of the lamp, which
could necessitate irreversible modifications to the lamp and introduce
potential for error and variation in the measurements. Id. Furthermore,
failure of an integrated LED lamp is often determined by components
other than the LED source, as many stakeholders described in comments
to the NOPR test procedure. 79 FR 32030.
In place of the combined extrapolation method for test durations of
at least 3,000 hours but less than 6,000 hours, DOE proposed to use the
direct extrapolation method specified in section 5.1 of IES TM-28-14
but to lower the maximum allowed time to failure claim. Section 5.1.5
of IES TM-28-14 provides instruction for how to limit time to failure
claims depending on sample size. Because DOE requires a sample size of
a least ten LED lamps, the projected time to failure, as specified in
Table 1 in section 5.1.5 of IES TM-28-14, would be limited to no more
than six times the test duration for test durations greater than or
equal to 6,000 hours. However, to account for the increased uncertainty
in lowering the threshold for the direct extrapolation method to 3,000
hours, DOE proposed to reduce the maximum time to failure claims based
on the test duration. For this test duration range, DOE proposed a
maximum projection limit that scales linearly from one times the test
duration (the effective limit for test durations less than 3,000 hours)
to approximately six times the test duration (the limit for test
durations greater than or equal to 6,000 hours). 80 FR at 39654.
In summary, DOE proposed to determine time to failure using the
following procedures:
(1) If the test duration is less than 3,000 hours:
No projection of lumen maintenance data is permitted, and time to
failure equals the test duration or the recorded time at which the lamp
reaches 70 percent lumen maintenance, whichever is of lesser value. See
section III.D.3.g for more details on how lamp failure is recorded
during lumen maintenance testing.
(2) If the test duration is greater than or equal to 3,000 and less
than 6,000 hours:
The direct extrapolation method specified in sections 5.1.3 and
5.1.4 of IES TM-28-14 must be utilized. The maximum time to failure
claim is determined by multiplying the test duration by the limiting
multiplier calculated in the following equation:
[GRAPHIC] [TIFF OMITTED] TR01JY16.005
Where test duration is expressed in hours.
This equation is a linear function that equals one when the test
duration is equal to 3,000 hours and six at 6,000 hours. As an example,
if an LED lamp is tested for 4,500 hours, the maximum time to failure
that could be reported based on this approach is 15,750 hours (3.5
times the test duration of 4,500 hours). The limiting multiplier
increases as the test duration increases until the test duration equals
6,000 hours where it is set at a value of six.
(3) If the test duration is greater than or equal to 6,000 hours:
The direct extrapolation method specified in sections 5.1.3 and
5.1.4 of IES TM-28-14 must be utilized. The projected time to failure
is limited to no more than six times the test duration.
DOE received several comments regarding the proposed lifetime
projection methods for the LED lamps test procedure. EEAs supported
DOE's proposal of not allowing lamps with test durations less than
3,000 hours to project time to failure. (EEAs, No. 43 at p. 2) CA IOUs
agreed, adding that the formulas provided by DOE to identify the
maximum allowable lifetime claim are appropriate, and they would not
recommend the maximum allowable lifetime claim to be increased based
only on test duration. (CA IOUs, No. 44 at p. 4-5)
Regarding lamps with test durations greater than or equal to 3,000
and less than 6,000 hours, DOE is removing the reference to section
5.1.3 of IES TM-28-14 to describe the data used for the direct
extrapolation method. DOE notes that most of that section refers to
test durations of 6,000 hours or greater and is therefore not relevant.
However, DOE is maintaining the instruction to disregard data collected
prior to 1,000 hours of operating time as this requirement would be
applicable to lamps with test durations greater than or equal to 3,000
and less than 6,000 hours.
NEMA commented that IES TM-28-14 should not be used to project
lifetime for the entire lamp, as the standard is intended to project
lumen maintenance and not electronic failures that may occur in the
lamp. (NEMA, No. 42 at p. 6) CA IOUs similarly noted that DOE's
proposal has the potential to derive misleading results in lifetime
claims, as it currently does not account for the durability of the
electronics that drive the LED source. CA IOUs cited a study that
claimed LED electronics are more likely to fail before the LED
sources.\18\ (CA IOUs, No. 44 at p. 3)
---------------------------------------------------------------------------
\18\ Sarah D. Shepherd, et al., ``New understandings of failure
modes in SSL luminaires,'' September 2014. http://spie.org/Publications/Proceedings/Paper/10.1117/12.2062243.
---------------------------------------------------------------------------
DOE is aware that electronic components in lamps may fail before
the LEDs themselves. As described in section III.D.4, this is why DOE
is adopting a test procedure that measures performance of the whole
lamp rather than just the LED component. While there may be a general
belief in the industry that electrical components will fail before the
LED component, there remains no method in existing literature or
industry standards to predict the
[[Page 43415]]
failure of the electronic components of the LED lamp. DOE will continue
to monitor industry publications and may update the test procedure to
include such a method if it is introduced in the future. In this final
rule, DOE is adopting the lumen maintenance projection methods
described earlier to determine time to failure.
E. Adopted Approach for Standby Mode Power
As explained in the July 2015 SNOPR, EPCA section 325(gg)(2)(A)
directs DOE to establish test procedures to include standby mode,
``taking into consideration the most current versions of Standards
62301 and 62087 of the International Electrotechnical Commission. . .
.'' (42 U.S.C. 6295(gg)(2)(A)) IEC Standard 62087 applies only to
audio, video, and related equipment, but not to lighting equipment. As
IEC Standard 62087 does not apply to this rulemaking, in the July 2015
SNOPR, DOE proposed procedures consistent with those outlined in IEC
Standard 62301, which applies generally to household electrical
appliances. 80 FR at 39654-39655. However, to develop a test method
that would be familiar to LED lamp manufacturers and maintain
consistent requirements to the active mode test procedure, DOE
referenced language and methodologies presented in IES LM-79-08 for
test conditions and test setup requirements.
DOE received several comments questioning whether the test
procedure is intended to address smart or connected lamps (i.e., lamps
that are controlled via wireless network communication). EEAs and CA
IOUs requested that the test procedure specifically address smart or
connected LED lamps in its test procedure for measuring standby power.
The organizations noted that these particular LED lamps are increasing
in popularity and suggested that it is imperative for DOE to
incorporate them into the test procedure. (EEAs, No. 43 at p. 3; CA
IOUs, No. 44 at p. 2) CA IOUs also suggested DOE solicit feedback from
industry stakeholders regarding the test procedure's applicability to
connected LED lamps. They requested, though, that if the test procedure
is not addressing these lamps, then DOE should specifically exclude
them from the scope of coverage. (CA IOUs, No. 44 at p. 3)
To further support including connected lamps in this test
procedure, CA IOUs noted that in some scenarios these lamp types may
consume more annual energy in standby mode than in active mode,
therefore standby mode power must be adequately measured and accounted
for to prevent consumers from being misled by the yearly energy cost
label on purchased products. CA IOUs also commented that as currently
written, the DOE test procedure may not be addressing connected lamps
in its reference of IEC 62301. CA IOUs asked DOE to reference IEC 62301
in its entirety and specifically discuss its relation to testing smart
or connected LED lamps. They noted that section 5 of IEC 62301, which
DOE incorporated by reference, does not specifically mention connected
products. CA IOUs also indicated that section 5 may not specifically
cover instructions for connecting a lamp to a wireless network or for
measuring the faster ``cyclic'' power conditions, as described by IEC
62301,\19\ of these product types. They commented that the cyclic
nature of these lamps is likely as fast as several times per second.
(CA IOUs, No. 44 at pp. 2-3)
---------------------------------------------------------------------------
\19\ IEC 62301 describes cyclic as ``a regular sequence of power
states that occur over several minutes or hours.''
---------------------------------------------------------------------------
DOE agrees with CA IOUs and EEAs that the LED lamps test procedure
needs to address the standby mode power of smart or connected LED
lamps. The lamps described by CA IOUs and EEAs meet DOE's definition of
an integrated LED lamp, and, therefore, they are included in the scope
of this test procedure. Further, DOE's definition of standby mode
includes the mode by which connected lamps operate, and the test
procedures found in section 5 of IEC 62301 can be applied to these
lamps. The DOE test procedure outlines the necessary steps to use the
IEC test method for these lamp types.
Regarding the cyclic nature of these lamps, DOE clarifies that,
although IEC 62301 states a regular sequence of power states may occur
over minutes or hours, IEC 62301 contains procedures to collect power
fluctuations within those power states. DOE agrees that power
fluctuations of connected lamps are of concern, and IEC 62301 specifies
to collect data at equal intervals of 0.25 seconds or faster for power
loads that are unsteady or where there are any regular or irregular
power fluctuations. Therefore, IEC 62301 is appropriate for testing
connected lamps.
In the July 2015 SNOPR, DOE noted that a standby mode power
measurement is an input power measurement made while the LED lamp is
connected to the main power source, but is not generating light (an
active mode feature). DOE proposed in the July 2015 SNOPR that all test
condition and test setup requirements used for active mode measurements
(e.g., input power) (see sections III.C.1 and III.C.2) also would apply
to standby mode power measurements. However, because DOE proposed to
measure the power consumed, not the light output (light output is zero
in standby mode by definition), the stabilization procedures are
required for input power only and not lumen output. After the lamp has
stabilized, the technician would send a signal to the LED lamp
instructing it to provide zero light output. The technician would then
measure standby power in accordance with section 5 of IEC 62301. 80 FR
at 39655. In the July 2015 SNOPR, DOE also proposed to clarify that
standby mode measurements may be taken before or after active mode
measurements of lumen output, input power, CCT, CRI, power factor, and
lamp efficacy, but must be taken before the active mode measurement of
and calculation of time to failure. Id.
NEMA commented that it agreed with DOE's proposal to determine
stabilization for standby mode measurements using power measurements
only. (NEMA, No. 42 at p. 6)
Since the publication of the July 2015 SNOPR, DOE has discovered
that the stabilization criteria in IES LM-79-08 may result in a
scenario where lamps operating in standby mode are unable to be
stabilized, due to the variable nature of standby mode power in LED
lamps. Therefore, DOE has modified its approach for stabilizing lamps
to use the stabilization criteria specified in section 5 of IEC 62301
instead of IES LM-79-08. The criteria detailed in IEC 62301 were
designed to specifically address power patterns that occur in a standby
state. IEC 62301 specifies to take the average power of several
comparison periods (rather than picking individual power measurements
as in IES LM-79-08), and to determine that stabilization has occurred
after the power difference between the two comparison periods divided
by the time difference of the midpoints of the comparison periods has a
slope less than 10 mW/h (for products with input powers less than or
equal to 1 W) or 1 percent of the measured input power per hour (for
products where the input power is greater than 1 W). Using the average
power of the comparison periods when determining stabilization accounts
for power fluctuations during standby mode. Thus, DOE is requiring in
this final rule that LED lamps be stabilized per section 5 of IEC 62301
prior to standby mode power measurements.
CA IOUs requested that DOE define network mode and suggested that
if a product is designed to be connected to
[[Page 43416]]
a wireless network in order to fully operate, then the test procedure
should specify that the lamp is to be connected to the network before
standby mode testing begins. Connected lamps may require the use of an
external control system or hub to serve as a communication point
between the lamp and end user, and CA IOUs asked DOE to specify a
maximum permissible distance the control system can be from the lamp
during testing. (CA IOUs, No. 44 at p. 3)
DOE agrees that the test procedure needs additional detail to
specify that the lamp must remain connected to the communication
network through the entirety of the standby mode test. If the lamp
becomes disconnected, the lamp may exit standby mode or otherwise have
its power consumption impacted, which would yield inaccurate test
results. Therefore, DOE is adding detail to section 5 of appendix BB to
subpart B of part 430 to specify that the integrated LED lamp must be
connected to the communication network prior to testing and must remain
connected throughout the entire duration of the test. DOE did not
specify a maximum distance the lamp can be from the control system or
hub during testing. DOE's requirement for the lamp to remain connected
throughout the entire duration of the test ensures that if a lamp is
moved to a distance such that it disconnects from the communication
network, the test results are invalid.
CA IOUs also commented that connected lamps may experience cycles
or power fluctuations when lamps are communicating with the wireless
network, so the test procedure should specifically provide instructions
to account for this in an average power metric over a minimum five
minute test duration. (CA IOUs, No. 44 at p. 3) DOE notes that section
5 of IEC 62301 gives manufacturers the flexibility to choose the
measurement method that best applies to the nature of their products'
power supply. Further, each of the methods available for use in IEC
62301 specify that the product must have test durations of at least ten
minutes, which is an adequate test duration to ensure wattage
fluctuations have been recorded.
Lastly, CA IOUs provided several general recommendations for DOE to
enhance the standby portion of the test procedure. They recommended DOE
review EU Regulation 801/2013,\20\ which has made advancements in
standby power measurements for household electronic equipment.
Additionally, CA IOUs advised DOE to conduct testing on connected lamps
to further develop the test procedure based on the results from testing
and CA IOUs' suggestions. (CA IOUs, No. 44 at p. 3)
---------------------------------------------------------------------------
\20\ European Union, ``Commission Regulation No 801/2013,''
August 2013. http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:225:0001:0012:en:PDF.
---------------------------------------------------------------------------
DOE appreciates the feedback from CA IOUs on the standby mode test
procedure. DOE notes it is required by statute, as previously
mentioned, to consider IEC 62301 or IEC 62087 to establish test
procedures for standby mode power consumption. Thus, if DOE were to
include provisions from EU Regulation 801/2013, it would be
supplementary material that DOE has determined is necessary for
accurately measuring the standby power consumption of LED lamps. DOE
reviewed EU Regulation 801/2013 and found several similarities between
it and IEC 62301. For example, EU Regulation 801/2013 indicates tests
are to be conducted at ambient temperatures, directs the test unit to
be put into a standby state for testing, and requires the lamp to
remain connected to the network throughout testing. DOE's test
procedure, which references IEC 62301, also includes these directions.
Although EU Regulation 801/2013 addresses how to test products with
multiple network connections, DOE has not identified any integrated LED
lamps at this time with multiple network ports. In its review, DOE did
not find any instruction in EU Regulation 801/2013 that would more
accurately measure standby mode power and, therefore, DOE is not adding
specific methodology from EU Regulation 801/2013 to this test
procedure. DOE notes that it conducted testing on connected lamps \21\
and modified this test procedure as appropriate using results from
testing (e.g., the modified stabilization criteria), suggestions from
stakeholders, and additional research into commercially available LED
lamps that can operate in standby mode.
---------------------------------------------------------------------------
\21\ DOE conducted testing on connected LED lamps for the GSL
energy conservation standards NOPR to determine standby power
consumption for these lamp types. Test results are discussed in
detail in the GSL NOPR TSD, which can be found at http://www.regulations.gov/#!docketDetail;D=EERE-2013-BT-STD-0051.
---------------------------------------------------------------------------
F. Basic Model, Minimum Sample Size, and Determination of Represented
Values
1. Basic Model
In the June 2014 SNOPR, DOE proposed to revise the term ``basic
model'' in 10 CFR 430.2 for LED lamps; however upon further review, DOE
determined in the July 2015 SNOPR that a revised definition of basic
model specific to integrated LED lamps is not necessary for the general
service lamp energy conservation rulemaking (see public docket EERE-
2013-BT-STD-0051). LED lamps with different CCT, CRI, or lifetime could
be categorized as the same basic model if they have the same efficacy.
DOE noted that all products included in a basic model must comply with
the certified values, and products in the same basic model must also
have the same light output and electrical characteristics (including
lumens per watt) when represented in manufacturer literature. 80 FR at
39655.
2. Minimum Sample Size
In the July 2015 SNOPR, DOE maintained its proposal to require a
sample size of at least ten LED lamps. DOE proposed that a minimum of
ten LED lamps must be tested to determine the input power, lumen
output, efficacy, power factor, CCT, CRI, lifetime, and standby mode
power. 80 FR at 39655-56. DOE also proposed that the general
requirements of 429.11(a) are applicable except that the sample must be
comprised of production units. 80 FR at 39664. Regarding inclusion of
all 10 lamps in the reported results, DOE maintained in the July 2015
SNOPR that LED lamp failure should not be exempt from reporting because
this would potentially mislead consumers, particularly with respect to
lamp lifetime. 80 FR at 39656.
3. Determination of Represented Values
In the July 2015 SNOPR, DOE proposed calculations to determine
represented values for CCT, lumen output, efficacy, power factor, and
CRI using a lower confidence limit (LCL) equation, and input power and
standby mode power using an upper confidence limit (UCL) equation. 80
FR at 39656-57. LED lamp test data provided by ENERGY STAR as well as
Pacific Gas and Electric Company (hereafter referred to as PG&E), the
Collaborative Labeling and Appliance Standards Program (hereafter
referred to as CLASP), and California Lighting Technology Center
(hereafter referred to as CLTC) were used to derive the confidence
level and sample maximum divisor for each metric. Because certification
testing is permitted to take place at one test laboratory, the sample
set is unlikely to include inter-lab variability. Therefore, as stated
in the July 2015 SNOPR, DOE does not include an inter-lab variability
parameter in its calculation of the divisor when establishing rating
requirements that are based on certification testing for which the
manufacturer chooses the lab to
[[Page 43417]]
conduct such testing. 80 FR at 39657. Descriptions of each of the LCL
and UCL calculations are provided as follows.
DOE proposed in the July 2015 SNOPR that the CCT of the units be
averaged and that average be rounded as specified in the July 2015
SNOPR. 80 FR at 39656. The average CCT would be calculated using the
following equation:
[GRAPHIC] [TIFF OMITTED] TR01JY16.006
Where,
x is the sample mean;
n is the number of units; and
xi is the ith unit.
DOE proposed in the July 2015 SNOPR that the represented values of
lumen output or efficacy be equal to or less than the lower of the
average lumen output or efficacy of the sample set and the 99 percent
LCL of the true mean divided by 0.96. Additionally, DOE proposed that
the represented value of CRI or power factor be equal to or less than
the lower of the average CRI or power factor of the sample set and the
99 percent LCL of the true mean divided by 0.98. 80 FR at 39656-57. DOE
proposed the following equation to calculate LCL for lumen output,
efficacy, CRI, and power factor:
[GRAPHIC] [TIFF OMITTED] TR01JY16.007
Where,
x is the sample mean;
s is the sample standard deviation;
n is the number of samples; and
t0.99 is the t statistic for a 99 percent one-tailed
confidence interval with n-1 degrees of freedom.
DOE also proposed in the July 2015 SNOPR that the represented value
of input power and standby mode power be equal to or greater than the
greater of the average lumen output of the sample set and the 99
percent UCL of the true mean divided by 1.02. Id. DOE proposed the
following equation to calculate UCL:
[GRAPHIC] [TIFF OMITTED] TR01JY16.008
Where,
x is the sample mean;
s is the sample standard deviation;
n is the number of samples; and
t0.99 is the t statistic for a 99 percent one-tailed
confidence interval with n-1 degrees of freedom.
Regarding DOE's proposed LCL/D and UCL/D statistical methodology to
determine represented values, NEMA asked DOE to instead consider using
just the sample mean for statistical estimation. NEMA asserted that
DOE's current approach is not an unbiased methodology, because the
choice of divisor, D, is fixed through an assumed standard deviation of
the sample population. Therefore, NEMA noted that if the actual
standard deviation varies from that assumed in calculating the fixed
divisor, then bias or inaccuracies in the statistical representation
may occur. (NEMA, No. 42 at pp. 6-7)
DOE notes that the statistical divisors are based on multiple data
sources and are based on the average expected standard deviation in a
sample set of lamps. If a manufacturer finds its sample set of lamps
has higher standard deviation than DOE's average estimate, the LCL/D is
likely to be the lower value. If the standard deviation is less than
DOE's estimate, then the mean is expected to be the lower value. This
system does not bias the represented value, rather the represented
value is in part a function of the variability in the sample of lamps.
Samples of lamps with higher than expected variability are expected to
report a value equal to or lesser than the LCL/D to limit the degree to
which consumers experience less than advertised performance in any
given lamp unit. DOE further notes that NEMA's suggestion, using only
the sample mean, will not account for the variability that was observed
within each data set. Thus, the proposed represented value requirements
present the ``best'' value that manufacturers may report, and DOE
maintains the statistical approach that was proposed in the July 2015
SNOPR.
Similarly, DOE received comment on the data provided by ENERGY
STAR, PG&E, CLASP, and CLTC that DOE used to derive the confidence
level and sample mean divisor for lumen output, input power, efficacy,
CRI, and power factor. NEMA disagreed with the use of these data as the
sample sets used do not account for inter-lab variation. NEMA noted
that this may create an unbalanced testing and verification system
where labs that generate more favorable results for manufacturers will
be used more often than their counterparts. NEMA asked DOE to consider
inter-lab variation in the standards rulemaking or incorporate it into
the LED lamps test procedure. (NEMA, No. 42 at p. 7) DOE notes that
manufacturers must use the test procedures adopted in this rulemaking
to both certify compliance with applicable energy conservation
standards and make representations for integrated LED lamps. A
manufacturer may choose any lab that meets the accreditation
requirements adopted in 10 CFR 430.25 to test its products. Regardless
of the lab chosen, the manufacturer must follow the relevant sampling
requirements and calculations in 10 CFR 429 to determine the
represented values, which use statistical methods to account for test
procedure and production variability based upon a multi-unit sample. In
addition, if DOE has reason to believe that a basic model does not
comply with the applicable energy conservation standard, then DOE may
initiate an enforcement investigation to determine whether a particular
basic model complies. As to NEMA's concern regarding inter-lab
variation, DOE notes that its enforcement provisions address inter-lab
variability because they use a confidence limit that is broader than
the one used for certification testing and also require a multi-unit
sample to determine compliance. Therefore, DOE is not revising its test
procedure at this time because the existing enforcement provisions
already account for inter-lab variation with regards to determining
compliance and address NEMA's concern.
NEMA also disagreed with DOE's proposal for power factor
variability in the July 2015 SNOPR, citing that the input power in the
numerator and the product of input current and input voltage in the
denominator are highly correlated. As an alternative, NEMA noted that
it is in the process of revising LSD-63 to include a direct measurement
of power factor at four independent labs. Lastly, NEMA recommended for
DOE to gather power factor measurements from a random production
sample, measure the lamps at several different labs to correctly
estimate inter-lab variation, specify the reporting of the sample mean
in the LED lamps test procedure, and add a tolerance for inter-lab
variation in the standards rulemaking. (NEMA, No. 42 at p. 7)
DOE disagrees with NEMA's assertion that power factor variability
was incorrectly accounted for in the July 2015 SNOPR. DOE used a power
factor divisor of 0.98 (same divisor as input power) because power
factor is a ratio of power measurements and is expected to have
comparable variability to input power. Therefore, DOE maintained the
proposal in the July 2015 SNOPR. DOE also notes that it will review
LSD-63 as it becomes available and that DOE has addressed inter-lab
variation as described above.
Additionally in the July 2015 SNOPR, DOE proposed that the
definition of lifetime should be revised to better align with the EPCA
definition of lifetime in 42 U.S.C. 6291(30)(P). 80 FR 39656.
Therefore, DOE added that the lifetime of an integrated LED lamp is
calculated
[[Page 43418]]
by determining the median time to failure of the sample (calculated as
the arithmetic mean of the time to failure of the two middle sample
units when the numbers are sorted in value order).
DOE received comments from EEAs and CA IOUs regarding the proposed
method for determining LED lamp lifetime. EEAs and CA IOUs disagreed
with DOE's proposal, which calculates lifetime as the median time to
failure of a sample of 10 lamps. EEAs cited early failure concerns with
LED lamps as a deterrent for having the lifetime test method based only
on lumen maintenance and median time to failure. EEAs pointed to the
CFL early failure study (as discussed in section III.D.4.b) as a
possible reason for concern with LED lamps. (EEAs, No. 43 at pp. 1-2)
EEAs and CA IOUs requested that DOE reinterpret its definition of
lifetime, which is currently based on the statutory definition of
lifetime in 42 U.S.C. 6291(30)(P). EEAs and CA IOUs noted that DOE's
current proposal (i.e., median time to failure) can create a situation
in which manufacturers can project a typical lifetime for an LED lamp
based on a sample that actually had four early failures. They cautioned
DOE that manufacturers may be able to take advantage of this potential
loophole in the test procedure and avoid having to account for early
failures. EEAs and CA IOUs recommended DOE interpret the statute so
that it can define failure of 50 percent of the sample units as the
mean time to failure of the entire sample set, instead of the mean of
the middle two units. (EEAs, No. 43 at p. 2; CA IOUs, No. 44 at pp. 4-
5) Alternatively, CA IOUs suggested using a calculation to project out
the rate at which 50 percent of the sample would be expected to fail
for a sample set that had multiple products fail before the end of the
test duration. (CA IOUs, No. 44 at p. 5)
DOE understands the concern from EEAs and CA IOUs regarding the
effect of lamps with early failures on overall lifetime projections.
However, the definition of lamp lifetime is set by statute in 42 U.S.C.
6291(30)(P). DOE notes that the current definition is also consistent
with other lighting products. Further, DOE expects that if there is an
issue with consistent early failures for a particular lamp model, then
the whole sample would generally be impacted. If a product line often
has early failures, it would be very unlikely for manufacturers to be
able to manipulate the sample by selecting only a few lamps that do not
fail early and represent an inflated lifetime. Additionally, it is
impossible to determine if a lamp will fail early by visibly inspecting
the lamp unless there is obvious physical damage. Such lamps would not
qualify to be tested so manufacturers cannot employ this strategy in
their test samples.
In the July 2015 SNOPR, DOE also proposed that the represented
value of life (in years) of an integrated LED lamp be calculated by
dividing the lifetime by the estimated annual operating hours as
specified in 16 CFR 305.15(b)(3)(iii). Further, DOE proposed that the
represented value of estimated annual energy cost (expressed in dollars
per year) must be the product of the input power in kilowatts, an
electricity cost rate as specified in 16 CFR 305.15(b)(1)(ii) and an
estimated average annual use as specified in 16 CFR 305.15(b)(1)(ii).
80 FR 39664-39665.
DOE received comments from NEMA asking DOE to incorporate a three
percent tolerance in measured lumen output values, which would align
with the ENERGY STAR Lamps Specification V2.0. NEMA reasoned that this
would improve consistency between the two programs and reduce burden on
manufacturers. (NEMA, No. 42 at p. 8) DOE notes that it does not
incorporate tolerances into test procedures and variability is
accounted for in the sampling plan discussed previously. Therefore, DOE
did not adopt a three percent tolerance in measured lumen output values
in this test procedure.
G. Rounding Requirements
In the July 2015 SNOPR, DOE proposed individual unit and sample
rounding requirements for lumen output, input power, efficacy, CCT,
CRI, lifetime, time to failure, standby mode power, and power factor.
In this final rule, DOE removed all individual unit rounding
requirements for these metrics and maintained rounding requirements for
only the represented values.
DOE proposed that the active mode and standby mode input power of
integrated LED lamps be rounded to the nearest tenths of a watt. DOE
also proposed that the efficacy of LED lamps be rounded to the nearest
tenth of a lumen per watt as this is consistent with rounding for other
lighting technologies and is achievable with today's equipment. 80 FR
at 39665. Based on a review of commercially available LED lamps as well
as testing equipment measurement capabilities, DOE proposed that the
lumen output of LED lamps be rounded to three significant figures as
this is an achievable level of accuracy for LED lamps. DOE further
proposed that lifetime of LED lamps be rounded to the nearest whole
hour. Rounding to the nearest whole hour is consistent with the unit of
time used for lifetime metrics for other lamp technologies, and is a
level of accuracy a laboratory is capable of measuring with a standard
time-keeping device. 80 FR at 39657.
DOE only received comments on the proposals for CCT and power
factor and therefore adopts the rounding requirements for the other
metrics in this final rule. The following sections describe the
specific comments on the proposals for rounding CCT and power factor in
the July 2015 SNOPR.
1. Correlated Color Temperature
In the July 2015 SNOPR, DOE proposed to round CCT values for
individual units to the tens place and round the certified CCT values
for the sample to the hundreds place. DOE is not following a nominal
CCT methodology and therefore proposed rounding to the nearest tens
digit for measurements of individual lamp units, and proposed rounding
certified CCT values for the complete sample to the hundreds place. 80
FR at 39657.
NEMA commented that the text in CFR 430.23(dd)(4) should be
modified to round CCT to the nearest 100 Kelvin. (NEMA, No. 42 at p. 8)
DOE notes that in this final rule it is removing the rounding
requirements for individual units and requiring the represented value
of CCT to be rounded to the nearest 100 Kelvin.
The Republic of Korea raised a concern to DOE regarding the
measurement uncertainty of LED lamps with high CCTs. They cited a study
from the International Energy Agency \22\ and noted that lamps with
CCTs above 6,500 K have measurement uncertainty over 100 K.
The Republic of Korea commented that the proposed rounding requirements
may lead to a certified CCT range of approximately 50 K
from the individual lamp units. Due to the possibility of high CCT
measurement uncertainty, the Republic of Korea requested DOE to provide
a range of CCT values that are considered for tolerance and measurement
uncertainty. (Republic of Korea, No. 45 at p. 2)
---------------------------------------------------------------------------
\22\ International Energy Agency, ``Solid State Lighting Annex
2013 Interlaboratory Comparison Final Report,'' September 2014.
http://ssl.iea-4e.org/files/otherfiles/0000/0067/IC2013_Final_Report_final_10.09.2014a.pdf.
---------------------------------------------------------------------------
As mentioned previously, DOE does not incorporate measurement
tolerances into test methods. Tolerances are accounted for in the
sampling provisions and requirements for representations. Further, this
test procedure has been developed to ensure reliable results across
varying color temperatures. The same test method must be used for lamps
of all possible
[[Page 43419]]
CCT values in order for manufacturers to make consistent
representations of CCT on product labels and marketing materials. When
measuring CCT, the represented value of the sample is equal to the mean
of the sample. DOE notes that in this final rule, DOE has removed
rounding requirements for individual units and maintained rounding
requirements for only represented values. As DOE is requiring the
represented value to be rounded to the nearest 100 K, this should
account for the potential range of values cited by the Republic of
Korea.
2. Power Factor
In the July 2015 SNOPR, DOE proposed that power factor be rounded
to the nearest hundredths place, consistent with common usage in
industry literature. 80 FR at 39657.
NEMA noted a discrepancy in two sections of the test procedure
language in the July 2015 SNOPR, indicating DOE proposed to round power
factor for individual test units to the nearest tenths place in 10 CFR
430.23(dd)(7) and to the nearest hundredths place in 10 CFR
429.56(c)(6). NEMA recommended rounding power factor to the nearest
tenths place. (NEMA, No. 42 at pp. 7-8)
The proposal to round an individual unit value to a lower degree of
specificity than what was required for the larger sample was an
unintended error. However, DOE notes that it has removed the
requirement to round individual test units in this final rule, thus no
longer requiring individual test units to be rounded to the nearest
tenths place. DOE is maintaining the proposal from the July 2015 SNOPR
to round power factor for the sample to the nearest hundredths place to
be consistent with common usage in industry literature and other
lighting test procedures. DOE notes that these rounding requirements
are consistent with the CFL test procedure rulemaking. 80 FR 45723,
(July 31, 2015).
H. Interaction With ENERGY STAR
In the June 2014 SNOPR, to reduce test burden, DOE proposed
allowing measurements collected for the ENERGY STAR Program
Requirements Product Specification for Lamps (Light Bulbs) Version 1.0
to be used for calculating represented values of lumen output, input
power, lamp efficacy, CCT, CRI, and lifetime. In the July 2015 SNOPR,
DOE proposed a new test procedure for lifetime that was largely based
on the IES LM-84-14 and IES TM-28-14 industry standards and provided a
simple, straightforward, and flexible test procedure to account for
potential future changes in the lifetime of LED products. DOE noted
that the proposal in the July 2015 SNOPR projected time to failure
based on data obtained for each individual LED lamp rather than
assuming the same relationship between test duration and lumen
maintenance applies to every LED lamp. Because DOE revised its approach
for lifetime measurement and projection, there was no longer
significant similarity between the DOE and ENERGY STAR lifetime test
procedures. DOE noted it will work with ENERGY STAR to revise the test
procedures for lifetime accordingly. 80 FR at 39657-58.
DOE received comments from NEMA regarding differences between the
LED lamps test procedure and the ENERGY STAR Lamps Specification V2.0.
NEMA requested that DOE analyze the increased burden of the LED lamps
test procedure with respect to potential deviations from existing
practices (e.g., ENERGY STAR). NEMA noted that a test procedure with
significant differences from existing methods will affect existing
products, in addition to new products, and many products on the market
would have to be retested. Therefore, NEMA asked DOE to minimize
changes between the ENERGY STAR Lamps Specification V2.0 and DOE's LED
lamps test procedure. (NEMA, No. 42 at p. 2) NEMA also cautioned that
because the ENERGY STAR program accommodates DOE test procedures in its
specifications, any additional revisions to the LED lamps test
procedure will delay the finalization of the ENERGY STAR Lamps
Specification V2.0. (NEMA, No. 42 at pp. 5-6)
As mentioned in section III.D.4.a, ENERGY STAR has stated that it
will reference DOE's test procedure upon completion.\16\ DOE further
notes that measurements collected for the ENERGY STAR Lamps
Specification V1.1 and ENERGY STAR Lamps Specification V2.0 (when it
requires compliance) can be used for calculating represented values of
energy efficiency or consumption metrics covered by the DOE test
procedure as long as those measurements were collected in accordance
with the DOE test procedure. Manufacturers must make representations in
accordance with the DOE test procedure and represented value
determination method beginning 180 days after publication of the final
rule in the Federal Register.
I. Laboratory Accreditation
Regarding the National Voluntary Laboratory Accreditation Program
(NVLAP) accreditation, in the July 2015 SNOPR DOE proposed to require
lumen output, input power, lamp efficacy, power factor, CCT, CRI,
lifetime, and standby mode power (if applicable) testing be conducted
by test laboratories accredited by NVLAP or an accrediting organization
recognized by the International Laboratory Accreditation Cooperation
(ILAC). NVLAP is a member of ILAC, so test data collected by any
laboratory accredited by an accrediting body recognized by ILAC would
be acceptable. DOE also proposed to state directly that accreditation
by an Accreditation Body that is a signatory member to the ILAC Mutual
Recognition Arrangement (MRA) is an acceptable means of laboratory
accreditation. 80 FR at 39658.
DOE received comments on a possible issue with test laboratories
achieving accreditation to the DOE test procedure. NEMA recommended
that DOE adopt industry standards and test procedures without
modification, citing that this would reduce burden and prevent issues
with laboratory accreditation to the LED TP. NEMA also commented that
labs accredited to an industry standard by NVLAP must conduct testing
using that particular standard rather than a test procedure styled
after an industry standard. (NEMA, No. 42 at p. 4) DOE notes that
laboratories and other testing bodies can obtain accreditation directly
to a DOE test procedure through NVLAP (e.g., the fluorescent lamp
ballast test procedure), thus DOE maintains the lab accreditation
requirements from the July 2015 SNOPR.
J. Certification
In the July 2015 SNOPR, DOE proposed certification requirements for
LED lamps. Manufacturers will not have to certify values to DOE unless
standards are promulgated for LED lamps as part of the rulemaking for
general service lamps. However, DOE provided certification requirements
and the ability to certify by CCMS to enable FTC to allow manufacturers
to submit data through DOE's Compliance Certification Management System
(CCMS) related to FTC labeling requirements. Id.
DOE recognized that testing of LED lamp lifetime can require
considerably more time than testing of other LED lamp metrics.
Therefore, DOE proposed to allow new basic models of LED lamps to be
distributed prior to completion of the full testing for lifetime.
Similar to treatment of GSFLs and incandescent reflector lamps in 10
CFR 429.12(e)(2), DOE proposed that prior to distribution of a new
basic model of LED lamp, manufacturers must submit an initial
[[Page 43420]]
certification report. If testing for time to failure is not complete,
manufacturers may include estimated values for lifetime and life. If
reporting estimated values, the certification report must describe the
prediction method and the prediction method must be generally
representative of the methods specified in appendix BB to subpart B of
part 430. Manufacturers are also required to maintain records per 10
CFR 429.71 of the development of all estimated values and any
associated initial test data. If reporting estimated values for
lifetime and life, the certification report must indicate that the
values are estimated until testing for time to failure is complete. 80
FR at 39665. If, prior to completion of testing, a manufacturer ceases
to distribute in commerce a basic model, the manufacturer must submit a
full certification report and provide all of the information listed in
10 CFR 429.12(b), including the product-specific information required
by 10 CFR 429.56(b)(2), as part of its notification to DOE that the
model has been discontinued. 80 FR at 39664. For any metrics covered by
the LED lamps test procedure, manufacturers must make representations
in accordance with the DOE test procedure and represented value
determination method beginning 180 days after publication of the final
rule in the Federal Register.
DOE received comments on the quality of LED lamps entering the
market. EEAs illustrated this concern to DOE, noting the LED lamps test
procedure should ensure that poor quality LED lamps cannot be sold to
consumers. They presented a series of CFL verification tests, known as
the Program for the Evaluation and Assessment of Residential Lighting
(PEARL), which determined compliance rates of ENERGY STAR qualified
CFLs. The program tested commercially-available CFLs from 2000-2009,
ultimately concluding there were a significant amount of non-compliant
CFLs that were ENERGY STAR qualified. EEAs paired this with a
discussion of CFL early failure rates, emphasizing that there were high
early failure rates in the PEARL results for products that should have
long lifetimes. The full discussion of the PEARL analysis can be found
in EEAs' public comment on regulations.gov under docket number EERE-
2011-BT-TP-0071. Ultimately, EEAs urged DOE to learn from prior
experiences, such as this issue with CFLs, to prevent similar issues
from occurring with LED lamps. EEAs emphasized that LED lamps are
rapidly developing products and continually demanded at lower prices,
which may lead manufacturers to release poor quality products. (EEAs,
No. 43 at pp. 4-6)
DOE understands EEAs' concern regarding the prevention of poor
quality LED lamps entering the market. DOE's adoption of a reliable,
repeatable test procedure helps to ensure that the performance
characteristics of integrated LED lamps are accurately represented.
DOE's general service lamp rulemaking addresses energy conservation
standards for certain metrics (i.e., lamp efficacy and power factor).
Lastly, DOE has the Compliance Certification and Enforcement (CCE)
program to ensure manufacturers are testing their products and making
accurate representations.
K. Effective and Compliance Date
The effective date for this test procedure will be 30 days after
publication of this test procedure final rule in the Federal Register.
Pursuant to EPCA, manufacturers of covered products must use the
applicable test procedure as the basis for determining that their
products comply with the applicable energy conservation standards
adopted and for making representations about the efficiency of those
products. (42 U.S.C. 6293(c); 42 U.S.C. 6295(s)) For those energy
efficiency or consumption metrics covered by the DOE test procedure,
manufacturers must make representations, including certification of
compliance with an applicable standard, in accordance with the DOE test
procedure beginning 180 days after publication of this final rule in
the Federal Register.
Philips expressed concern in response to the July 2015 SNOPR that
the 180 day period is not sufficient based on the current LED lamp
lifetime projection methods in the test procedure. Philips noted that
DOE is not taking into account the additional time required to expand
existing test infrastructure, estimating this expansion would take at
least four months to complete. Therefore, Philips suggested that DOE
modify the certification period to one year. (Philips, No. 41 at p. 3)
The Republic of Korea followed with a similar concern, claiming the
test duration for some lamps will require a test period of ten months
and also requested that DOE set its certification period to one year.
(Republic of Korea, No. 45 at p. 2)
DOE did not modify the 180 day certification period in this final
rule. If the in-house testing infrastructure expansion has not been
completed in sufficient time, DOE has accounted for any third party
testing costs that may be required for manufacturers that are unable to
test their products themselves. Further, DOE notes that there is no
minimum test duration for the time to failure test procedure. While DOE
agrees that some tests would take at least ten months to project
certain LED lamp lifetimes, DOE notes that manufacturers may submit
certification reports with estimated values of lifetime until time to
failure testing is complete. See section III.J for a more detailed
description of the certification process.
L. Ceiling Fan Light Kits Using LED Lamps
DOE proposed to harmonize the test procedures for lamps, including
LEDs, used in ceiling fan lights kits in a notice published on October
31, 2014. 79 FR 64688 (Docket EERE-2013-BT-TP-0050). The comments
received as part of that docket were generally supportive of this
approach and are discussed as part of that rulemaking docket. In the
July 2015 SNOPR, DOE proposed to add the appropriate cross-references
in the ceiling fan light kit test procedures at 429.33 and 430.23 to
the integrated LED lamp test procedures. 80 FR at 39659; 39664-65. DOE
received no comments on these cross references and therefore adopts
them in this final rule.
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
The Office of Management and Budget (OMB) has determined that test
procedure rulemakings do not constitute ``significant regulatory
actions'' under section 3(f) of Executive Order 12866, Regulatory
Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this
action was not subject to review under the Executive Order by the
Office of Information and Regulatory Affairs (OIRA) in OMB.
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis (IRFA) for
any rule that by law must be proposed for public comment, and a final
regulatory flexibility analysis (FRFA) for any such rule that an agency
adopts as a final rule, 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
[[Page 43421]]
potential impacts of its rules on small entities are properly
considered during the DOE rulemaking process. 68 FR 7990. DOE has made
its procedures and policies available on the Office of the General
Counsel's Web site: http://energy.gov/gc/office-general-counsel.
DOE reviewed the July 2015 SNOPR and today's final rule under the
provisions of the Regulatory Flexibility Act (RFA) and the policies and
procedures published on February 19, 2003. DOE certifies that the rule
will not have a significant economic impact on a substantial number of
small entities. The factual basis for this certification is set forth
in the following sections.
The Small Business Administration (SBA) considers a business entity
to be a small business, if, together with its affiliates, it employs
less than a threshold number of workers specified in 13 CFR part 121.
These size standards and codes are established by the North American
Industry Classification System (NAICS). The threshold number for NAICS
classification code 335110, which applies to electric lamp
manufacturing and includes LED lamps, is 1,250 or fewer employees.
For the July 2015 SNOPR, DOE examined the number of small
businesses that will potentially be affected by the LED lamps test
procedure. This evaluation revealed that the test procedure
requirements proposed in the July 2015 SNOPR will apply to about 41
small business manufacturers of LED lamps. DOE compiled this list of
manufacturers by reviewing the DOE LED Lighting Facts label list of
partner manufacturers,\23\ the SBA database, ENERGY STAR's list of
qualified products,\24\ performing a general search for LED
manufacturers, and conferring with representatives of the DOE's solid
state lighting program. DOE determined which companies manufacture LED
lamps by reviewing company Web sites, the SBA Web site when applicable,
calling companies directly, and/or reviewing the Hoovers Inc. company
profile database. Through this process, DOE identified 41 small
businesses that manufacture LED lamps.
---------------------------------------------------------------------------
\23\ DOE LED Lighting Facts Partner List, http://www.lightingfacts.com/Partners/Manufacturer.
\24\ ENERGY STAR Qualified Lamps Product List, http://downloads.energystar.gov/bi/qplist/Lamps_Qualified_Product_List.xls?dee3-e997.
---------------------------------------------------------------------------
NEMA commented that DOE should confirm the number of basic models
used in its calculations of testing burden including test setup and
testing costs. NEMA stated that DOE did not appear to account for the
different lamps that need to be tested, such as lamps of varying CCT or
beam angle. NEMA further reasoned that because the LED lamp market is
rapidly evolving, manufacturers produce lamps that may not reach the
market but are still subject to testing as part of the development
process. NEMA noted that using a number of basic models that is too low
risks underweighting actual burden. (NEMA, No. 42 at pp. 2, 4)
For this final rule, DOE reviewed its estimated number of small
businesses. DOE updated its list of small businesses by reviewing the
DOE LED Lighting Facts Database, ENERGY STAR's list of qualified
products, individual company Web sites, SBA's database, and market
research tools (e.g., Hoover's reports \25\). DOE screened out
companies that do not offer products covered by this rulemaking, do not
meet the definition of a ``small business,'' or are completely foreign
owned and operated. DOE determined that seven companies were small
businesses that maintain domestic production facilities for the
integrated LED lamps covered by this rulemaking.
---------------------------------------------------------------------------
\25\ Hoovers [bond] Company Information [bond] Industry
Information [bond] Lists, http://www.hoovers.com.
---------------------------------------------------------------------------
DOE understands NEMA's concerns regarding underestimating testing
burden. In this final rule, DOE reports the cost of testing per basic
model rather than using an average number of basic models because
manufacturers may offer a greater or fewer number of basic models than
the average value. DOE notes that while manufacturers may test a higher
number of models than the number that are commercially available, these
testing costs are not attributable to DOE's testing and certification
requirements and instead are the costs associated with the typical
product development cycle. DOE only accounts for testing costs that are
a direct result of compliance with its test procedures and standards.
Additionally, DOE notes that as discussed in section III.F, LED lamps
with different CCT, CRI, lifetime, or other performance characteristics
could be categorized as the same basic model provided all products
included in the basic model comply with the certified values and have
the same light output and electrical characteristics (including lumens
per watt) when represented in manufacturer literature.
In the July 2015 SNOPR, DOE estimated that the labor costs
associated with conducting the input power, lumen output, CCT, CRI, and
standby mode power testing is $31.68 per hour. 80 FR 39659. Calculating
efficacy and power factor of an LED lamp was determined not to result
in any incremental testing burden beyond the cost of carrying out lumen
output and input power testing. 80 FR 39659-39660. DOE also expected
standby mode power testing to require a negligible incremental amount
of time in addition to the time required for the other metrics. In
total, DOE estimated that using the July 2015 SNOPR test method to
determine light output, input power, CCT, CRI, and standby mode power
would result in an estimated incremental labor burden of $29,140 for
each manufacturer.
The July 2015 SNOPR also estimated that lifetime testing would
contribute to overall cost burden. The initial setup including the cost
to custom build test racks capable of holding 23 different LED lamp
models, each tested in sample sets of ten lamps (a total of 230 LED
lamps) would be $25,800. 80 FR 39660. The labor cost for lifetime
testing was also determined to contribute to overall burden. For the
revised lifetime test procedure proposed in the July 2015 SNOPR, a
lumen output measurement is required to be recorded for multiple time
intervals at a minimum of every 1,000 hours of elapsed operating time.
This represented an increase in the number of required measurements in
the lifetime test procedure compared to the previous proposal. DOE
estimated that the combination of monitoring the lamps during the test
duration, measuring lumen maintenance at multiple time intervals, and
calculating lifetime at the end of the test duration would require
approximately eight hours per lamp by an electrical engineering
technician. DOE estimated that using this test method to determine
lifetime would result in testing-related labor costs of $58,280 for
each manufacturer. Id.
NEMA requested clarification on DOE's burden calculation.
Specifically, NEMA stated that DOE's estimate of lifetime testing labor
costs of $29,140 per manufacturer was debatable since the number of
products varies significantly between manufacturers and is constantly
changing due to the evolving nature of LED lamps. (NEMA, No. 42 at p.
8) DOE understands that the LED market is dynamic and products are
continuing to evolve, however as stated previously, DOE only accounts
for testing costs attributable to compliance with DOE test procedures
and standards. Product development costs are not factored into this
analysis. Further, DOE notes that in the July 2015 SNOPR, the estimated
labor cost for lifetime testing per manufacturer was increased from
$29,140 to $58,280 to reflect the additional testing intervals and
increased test duration required.
Additionally, for this final rule, DOE updated its calculations to
reflect an increase in labor rates and to report the
[[Page 43422]]
cost per basic model. DOE also updated its calculations to include a
cost for standby power testing. DOE estimates the time needed for
standby power testing to be approximately one hour per lamp. DOE
estimates that the labor costs associated with conducting the input
power, lumen output, CCT, CRI, and standby mode power testing is $41.68
per hour. In total, DOE estimates that using the final rule test method
to determine light output, input power, CCT, CRI, and standby mode
power would result in an estimated incremental labor burden of $2,080
per basic model. DOE maintains that calculating efficacy and power
factor of an LED lamp would not result in any incremental testing
burden beyond the cost of carrying out lumen output and input power
testing. Further, DOE notes that although the cost for standby mode
power testing is included, only a small portion of LED lamps are
capable of standby operation and this cost would not be recognized by
all manufacturers.
For this final rule, DOE also updated the lifetime testing costs
based on the revised labor rates and to report a cost per basic model.
DOE determined the initial setup, including the cost to custom build
test racks, would be $1,410 per basic model. DOE again estimated that
the combination of monitoring the lamps during the test duration,
measuring lumen maintenance at multiple time intervals, and calculating
lifetime at the end of the test duration would require approximately
eight hours per lamp by an electrical engineering technician. Based on
the revised labor rate, DOE estimates that using this test method to
determine lifetime would result in testing-related labor costs of
$3,330 per basic model.
Because NVLAP \26\ imposes a variety of fees during the
accreditation process, including fixed administrative fees, variable
assessment fees, and proficiency testing fees, DOE also provided cost
estimates in the July 2015 SNOPR for light output, input power, CCT,
CRI, lifetime, and standby mode power (if applicable) testing to be
NVLAP-accredited or accredited by an organization recognized by NVLAP.
Assuming testing instrumentation is already available, in the July 2015
SNOPR, DOE estimated the first year NVLAP accreditation cost would be
$15,320, initial setup cost would be $25,800, and the labor costs to
carry out testing would be approximately $87,420 for each manufacturer
producing 23 basic models. Id. Therefore, in the first year, for
manufacturers without testing racks or NVLAP accreditation who choose
to test in-house, DOE estimated a maximum total cost burden of
$128,540, or about $559 per LED lamp tested. DOE expected the setup
cost to be a onetime cost to manufacturers. Further, the labor costs to
perform testing would likely be smaller than $87,420 after the first
year because only new products or redesigned products would need to be
tested. Alternatively, if a manufacturer opts to send lamps to a third-
party test facility, DOE estimated testing of lumen output, input
power, CCT, CRI, lifetime, and standby mode power to cost $600 per
lamp. In total, DOE estimated in the July 2015 SNOPR that the LED lamp
test procedure would result in expected third-party testing costs of
$138,000 for each manufacturer for 23 basic models. DOE noted this
would not be an annual cost. Id.
---------------------------------------------------------------------------
\26\ As discussed in section III.I, laboratories can be
accredited by any accreditation body that is a signatory member to
the ILAC MRA. DOE based its estimate of the costs associated with
accreditation on the NVLAP accreditation body.
---------------------------------------------------------------------------
NEMA expressed concern that DOE's calculations for test burden do
not account for normal process issues involved with third party testing
and noted the calculation appears to be based only on the time required
to perform the testing. NEMA commented that if a manufacturer does not
have the ability to test in-house and uses a third-party lab for
testing, the costs increase three to four times. (NEMA, No. 42 at p. 8)
DOE agrees that testing costs at third party labs are typically higher
than in-house testing and therefore, as stated previously, DOE
estimated both in-house testing costs and third-party testing costs to
represent the range of testing costs experienced by manufacturers.
For this final rule, DOE updated the labor rate used to calculate
in-house testing costs and also updated the third-party testing costs
to reflect any changes since the July 2015 SNOPR was published. DOE
also reviewed the fee structure published by NVLAP,\27\ which includes
annual fees, assessment fees, and proficiency tests. Assuming testing
instrumentation is already available, DOE estimates the average NVLAP
accreditation cost per year would be $370 per basic model and, as
discussed previously in this section, initial setup cost would be
$1,410 per basic model and the labor costs to carry out testing would
be approximately $5,420 per basic model. Therefore, in the first year,
for manufacturers without testing racks or NVLAP accreditation who
choose to test in-house, DOE estimates a maximum total cost burden of
about $7,190 per basic model tested. Further, after the first year, the
testing cost would decrease to about $5,780 per basic model tested,
because the setup cost would be a onetime cost to manufacturers. For
this final rule, DOE estimates the third-party testing costs would be
about $7,880 per basic model.
---------------------------------------------------------------------------
\27\ NVLAP Fee Structure
http://www.nist.gov/nvlap/nvlap-fee-policy.cfm--last accessed
Feb. 10, 2016
---------------------------------------------------------------------------
NEMA also noted that with the inclusion of IES LM-84-14,
manufacturers will incur increased costs associated with a larger test
setup required for testing whole LED lamps instead of LED chips.
Additionally, NEMA asked DOE to include in its test burden calculations
the added lab capacity required from adopting LM-84 because an LED lamp
manufacturer may now have to equip and staff a lab when it previously
relied on LED chip testing from the supplier. (NEMA, No. 42 at p. 4)
DOE understands there are additional costs incurred by the
manufacturers as a result of this rulemaking. As discussed previously,
DOE factored in the costs of testing in-house including a new test
setup for testing LED lamps, NVLAP accreditation, and labor costs. In
addition, manufacturers also have the option to test at a third-party
lab if they prefer which DOE provided estimated costs for in this final
rule.
As described in the July 2015 SNOPR, DOE notes that the cost
estimates described are much larger than the actual cost increase most
manufacturers will experience. The majority of manufacturers are
already testing for lumen output, input power, CCT, and CRI, as these
metrics are well established and required within the industry standard
IES LM-79-08. The IES LM-79-08 standard is also the recommended
standard for testing LED lamps for the FTC Lighting Facts Label as well
as the ENERGY STAR program. DOE notes that manufacturers test
integrated LED lamps to provide performance characteristics for these
lamps in catalogs. This testing is likely conducted according to the
relevant industry standards because they represent best practice. DOE's
test procedures for integrated LED lamps adopted in this final rule
largely reference those industry standards. Therefore, testing
integrated LED lamps according to DOE's test procedure should not be
substantially different in setup and methodology.
Further, most manufacturers of integrated LED lamps already
participate in the ENERGY STAR program, which includes requirements for
lifetime, input power, lumen output, CCT, and CRI. 80 FR at 39660. DOE
maintains that while its adopted test procedure differs from ENERGY
STAR in some respects, DOE expects the
[[Page 43423]]
incremental difference in testing costs under the two test procedures
to be significantly less than full cost of testing under the adopted
DOE test procedure. This is because most manufacturers already own the
requisite test equipment (e.g., test racks) and already have labor
expenditures corresponding to carrying out testing for ENERGY STAR. DOE
and ENERGY STAR testing costs would not be additive because ENERGY STAR
references DOE test procedures where they exist and revises its
specification to reference new DOE test procedures when they are
finalized.\28\ Based on these revisions, manufacturers would not need
to complete separate testing for the ENERGY STAR and DOE programs.
---------------------------------------------------------------------------
\28\ ENERGY STAR published a second draft of its Lamps
Specification V2.0 on April 10, 2015 and included the following note
on page 2: ``In an effort to provide partners with continuity and
honor the Agency's intention to harmonize with applicable DOE Test
Procedures, this Draft proposes to allow for use of the final test
procedure for LED Lamps once it is published by DOE, where
applicable.''
---------------------------------------------------------------------------
In summary, DOE does not consider the test procedures adopted in
this final rule to have a significant economic impact on small
entities. The final cost per manufacturer primarily depends on the
number of basic models the manufacturer offers. The quantified testing
costs are not annual costs because DOE does not require manufacturers
to retest a basic model annually. The test results used to generate a
certified rating for a basic model remain valid as long as the basic
model has not been modified from the tested design in a way that makes
it less efficient or more consumptive, which would require a change to
the certified rating. If a manufacturer has modified a basic model in a
way that makes it more efficient or less consumptive, new testing is
required only if the manufacturer wishes to make representations of the
new, more efficient rating.
Based on the criteria outlined earlier and the reasons discussed
above, DOE certifies that the test procedures adopted in this final
rule would not have a significant economic impact on a substantial
number of small entities, and the preparation of a final regulatory
flexibility analysis is not warranted. DOE has submitted a
certification and supporting statement of factual basis to the Chief
Counsel for Advocacy of the SBA for review under 5 U.S.C. 605(b).
C. Review Under the Paperwork Reduction Act of 1995
DOE established regulations for the certification and recordkeeping
requirements for certain covered consumer products and commercial
equipment. 10 CFR part 429, subpart B. This collection-of-information
requirement was approved by OMB under OMB Control Number 1910-1400.
DOE requested OMB approval of an extension of this information
collection for three years, specifically including the collection of
information in the present rulemaking, and estimated that the annual
number of burden hours under this extension is 30 hours per company. In
response to DOE's request, OMB approved DOE's information collection
requirements covered under OMB control number 1910-1400 through
November 30, 2017. 80 FR 5099 (January 30, 2015).
Notwithstanding any other provision of the law, no person is
required to respond to, nor must any person be subject to a penalty for
failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.
D. Review Under the National Environmental Policy Act of 1969
In this final rule, DOE adopts a test procedure for LED lamps that
will be used to support the upcoming general service lamps energy
conservation standard rulemaking as well as FTC's Lighting Facts
labeling program. DOE has determined that this rule falls into a class
of actions that are categorically excluded from review under the
National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and
DOE's implementing regulations at 10 CFR part 1021. Specifically, this
final rule adopts existing industry test procedures for LED lamps, so
it will not affect the amount, quality or distribution of energy usage,
and, therefore, will 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 final rule and
determined that it will 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 final rule. States can
petition DOE for exemption from such preemption to the extent, and
based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further
action is required by Executive Order 13132.
F. Review Under Executive Order 12988
Regarding the review of existing regulations and the promulgation
of new regulations, section 3(a) of Executive Order 12988, ``Civil
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal
agencies the general duty to adhere to the following requirements: (1)
Eliminate drafting errors and ambiguity; (2) write regulations to
minimize litigation; (3) provide a clear legal standard for affected
conduct rather than a general standard; and (4) promote simplification
and burden reduction. Section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation: (1) Clearly specifies the
preemptive effect, if any; (2) clearly specifies any effect on existing
Federal law or regulation; (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction;
(4) specifies the retroactive effect, if any; (5) adequately defines
key terms; and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
sections 3(a) and 3(b) to determine whether they are met or it is
unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
this final rule meets the relevant standards of Executive Order 12988.
[[Page 43424]]
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. Pub. L. 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a regulatory action likely to result in a rule that may cause the
expenditure by State, local, and Tribal governments, in the aggregate,
or by the private sector of $100 million or more in any one year
(adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under UMRA. 62 FR 12820; also available
at http://energy.gov/gc/office-general-counsel. DOE examined this final
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 finale rule will 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 will not
result in any takings that might require compensation under the Fifth
Amendment to the U.S. Constitution.
J. Review Under Treasury and General Government Appropriations Act,
2001
Section 515 of the Treasury and General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most
disseminations of information to the public under guidelines
established by each agency pursuant to general guidelines issued by
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has
reviewed this final 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 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 significant energy action, the
agency must give a detailed statement of any adverse effects on energy
supply, distribution, or use if the regulation is implemented, and of
reasonable alternatives to the action and their expected benefits on
energy supply, distribution, and use.
This regulatory action to establish a test procedure for measuring
the lumen output, input power, lamp efficacy, CCT, CRI, power factor,
lifetime, and standby mode power of LED lamps is not a significant
regulatory action under Executive Order 12866. Moreover, it will not
have a significant adverse effect on the supply, distribution, or use
of energy, nor has it been designated as a significant energy action by
the Administrator of OIRA. Therefore, it is not a significant energy
action, and, accordingly, DOE has not prepared a Statement of Energy
Effects.
L. Review Under Section 32 of the Federal Energy Administration Act of
1974
Under section 301 of the Department of Energy Organization Act
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the
Federal Energy Administration Act of 1974, as amended by the Federal
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA)
Section 32 essentially provides in relevant part that, where a proposed
rule authorizes or requires use of commercial standards, the notice of
proposed rulemaking must inform the public of the use and background of
such standards. In addition, section 32(c) requires DOE to consult with
the Attorney General and the Chairman of the FTC concerning the impact
of the commercial or industry standards on competition.
This final rule incorporates test methods contained in the
following commercial standards: ANSI/IES RP-16-2010, ``Nomenclature and
Definitions for Illuminating Engineering;'' IES LM-84-14, ``Approved
Method: Measuring Luminous Flux and Color Maintenance of LED Lamps,
Light Engines, and Luminaires;'' and IES TM-28-14, ``Projecting Long-
Term Luminous Flux Maintenance of LED Lamps and Luminaires.'' The
Department has evaluated these standards and is unable to conclude
whether they fully comply with the requirements of section 32(b) of the
FEAA, (i.e., that they were developed in a manner that fully provides
for public participation, comment, and review). DOE has consulted with
the Attorney General and the Chairman of the FTC concerning the impact
of these test procedures on competition and has received no comments
objecting to their use.
M. Description of Standards Incorporated by Reference
In this final rule, DOE incorporates by reference the test standard
published by IEC, titled ``Household electrical appliances--Measurement
of standby power,'' IEC 62301 (Edition 2.0, 2011-01). IEC 62301 is an
industry accepted standard that specifies test methods for
determination of standby power of household electrical appliances. The
test procedure for standby power adopted in this final rule references
IEC 62301. IEC 62301 can be purchased from ANSI and is readily
available on ANSI's Web site at http://webstore.ansi.org.
DOE also incorporates by reference the test standard published by
ANSI and
[[Page 43425]]
IES, titled ``Nomenclature and Definitions for Illuminating
Engineering,'' ANSI/IES RP-16-2010. ANSI/IES RP-16-2010 is an industry
accepted standard that specifies definitions related to lighting and is
applicable to products sold in North America. The definition of
integrated LED lamp adopted in this final rule references ANSI/IES RP-
16-2010. ANSI/IES RP-16-2010 is readily available on IES's Web site at
http://www.ies.org/.
DOE also incorporates by reference the test standard published by
IES, titled ``Approved Method: Electrical and Photometric Measurements
of Solid-State Lighting Products''. IES LM-79-2008. IES LM-79-2008 is
an industry accepted standard that specifies test methods for
determination of lumen output, input power, lamp efficacy, power
factor, CCT, and CRI and is applicable to LED lamp products sold in
North America. The test procedure for lumen output, input power, lamp
efficacy, power factor, CCT, and CRI adopted in this final rule
references IES LM-79-08. IES LM-79-08 is readily available on IES's Web
site at http://www.ies.org/.
DOE also incorporates by reference the test standard published by
IES, titled ``Approved Method: Measuring Luminous Flux and Color
Maintenance of LED Lamps, Light Engines, and Luminaires,'' IES LM-84-
2014. IES LM-84 is an industry accepted standard that specifies test
methods for determination of lumen maintenance and is applicable to LED
lamp products sold in North America. The test procedure for lifetime
adopted in this final rule references IES LM-84. IES LM-84 is readily
available on IES's Web site at http://www.ies.org/.
DOE also incorporates by reference the test standard published by
IES, titled ``Projecting Long-Term Luminous Flux Maintenance of LED
Lamps and Luminaires,'' IES TM-28-2014. IES TM-28 is an industry
accepted standard that specifies test methods for projection of lumen
maintenance and is applicable to LED lamp products sold in North
America. The test procedure for lifetime adopted in this final rule
references IES TM-28. IES TM-28 is readily available on IES's Web site
at http://www.ies.org/.
N. Congressional Notification
As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of this rule before its effective date. The report will
state that it has been determined that the rule is not a ``major rule''
as defined by 5 U.S.C. 804(2).
V. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this final
rule.
List of Subjects
10 CFR Part 429
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Reporting and recordkeeping requirements.
10 CFR Part 430
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Incorporation by reference, Intergovernmental relations, Small
businesses.
Issued in Washington, DC, on June 9, 2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and
Renewable Energy.
For the reasons stated in the preamble, DOE is amending parts 429
and 430 of chapter II, subchapter D, of title 10, of the Code of
Federal Regulations, as set forth below:
PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT
0
1. The authority citation for part 429 continues to read as follows:
Authority: 42 U.S.C. 6291-6317.
0
2. Section 429.12(f) is revised to read as follows:
Sec. 429.12 General requirements applicable to certification reports.
* * * * *
(f) Discontinued model filing. When production of a basic model has
ceased and it is no longer being sold or offered for sale by the
manufacturer or private labeler, the manufacturer must report this
discontinued status to DOE as part of the next annual certification
report following such cessation. For each basic model, the report must
include the information specified in paragraphs (b)(1) through (b)(7)
of this section, except that for integrated light-emitting diode lamps,
the manufacturer must submit a full certification report, including all
of the information required by paragraph (b) of this section and the
product-specific information required by Sec. 429.56(b)(2).
* * * * *
0
3. Section 429.33 is amended by adding paragraphs (a)(2)(ii),
(a)(3)(i)(D), and (a)(3)(i)(F) to read as follows:
Sec. 429.33 Ceiling fan light kits.
(a) * * *
(2) * * *
(ii) For ceiling fan light kits with medium screw base sockets that
are packaged with integrated light-emitting diode lamps, determine the
represented values of each basic model of lamp packaged with the
ceiling fan light kit in accordance with Sec. 429.56.
* * * * *
(3) * * *
(i) * * *
(D) For integrated LED lamps, Sec. 429.56.
* * * * *
(F) For other SSL lamps (not integrated LED lamps), Sec. 429.56.
* * * * *
0
4. Section 429.56 is added to read as follows:
Sec. 429.56 Integrated light-emitting diode lamps.
(a) Determination of Represented Value. Manufacturers must
determine the represented value, which includes the certified rating,
for each basic model of integrated light-emitting diode lamps by
testing, in conjunction with the sampling provisions in this section.
(1) Units to be tested.
(i) The general requirements of Sec. 429.11 (a) are applicable
except that the sample must be comprised of production units; and
(ii) For each basic model of integrated light-emitting diode lamp,
the minimum number of units tested must be no less than 10 and the same
sample comprised of the same units must be used for testing all
metrics. If more than 10 units are tested as part of the sample, the
total number of units must be a multiple of two. For each basic model,
a sample of sufficient size must be randomly selected and tested to
ensure that:
(A) Represented values of initial lumen output, lamp efficacy,
color rendering index (CRI), power factor, or other measure of energy
consumption of a basic model for which consumers would favor higher
values are less than or equal to the lower of:
(1) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TR01JY16.009
and, x is the sample mean; n is the number of units; and xi
is the measured value for the ith unit; Or,
(2) The lower 99 percent confidence limit (LCL) of the true mean
divided by
[[Page 43426]]
0.96; or the lower 99 percent confidence limit (LCL) of the true mean
divided by 0.98 for CRI and power factor, where:
[GRAPHIC] [TIFF OMITTED] TR01JY16.010
and, x is the sample mean; s is the sample standard deviation; n is the
number of samples; and t0.99 is the t statistic for a 99
percent one-tailed confidence interval with n-1 degrees of freedom
(from appendix A to this subpart).
(B) Represented values of input power, standby mode power or other
measure of energy consumption of a basic model for which consumers
would favor lower values are greater than or equal to the higher of:
(1) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TR01JY16.011
and, x is the sample mean; n is the number of units; and xi
is the measured value for the ith unit;
Or,
(2) The upper 99 percent confidence limit (UCL) of the true mean
divided by 1.02, where:
[GRAPHIC] [TIFF OMITTED] TR01JY16.012
and, x is the sample mean; s is the sample standard deviation; n is the
number of samples; and t0.99 is the t statistic for a 99
percent one-tailed confidence interval with n-1 degrees of freedom
(from appendix A to this subpart);
(C) Represented values of correlated color temperature (CCT) of a
basic model must be equal to the mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TR01JY16.013
and, x is the sample mean; n is the number of units in the sample; and
xi is the measured CCT for the ith unit.
(D) The represented value of lifetime of an integrated light-
emitting diode lamp must be equal to or less than the median time to
failure of the sample (calculated as the arithmetic mean of the time to
failure of the two middle sample units when the numbers are sorted in
value order) rounded to the nearest hour.
(2) The represented value of life (in years) of an integrated
light-emitting diode lamp must be calculated by dividing the lifetime
of an integrated light-emitting diode lamp by the estimated annual
operating hours as specified in 16 CFR 305.15(b)(3)(iii).
(3) The represented value of estimated annual energy cost for an
integrated light-emitting diode lamp, expressed in dollars per year,
must be the product of the input power in kilowatts, an electricity
cost rate as specified in 16 CFR 305.15(b)(1)(ii), and an estimated
average annual use as specified in 16 CFR 305.15(b)(1)(ii).
(b) Certification reports. (1) The requirements of Sec. 429.12 are
applicable to integrated light-emitting diode lamps;
(2) Values reported in certification reports are represented
values. Pursuant to Sec. 429.12(b)(13), a certification report must
include the following public product-specific information: The testing
laboratory's NVLAP identification number or other NVLAP-approved
accreditation identification, the date of manufacture, initial lumen
output in lumens (lm), input power in watts (W), lamp efficacy in
lumens per watt (lm/W), CCT in kelvin (K), power factor, lifetime in
years (and whether value is estimated), and life (and whether value is
estimated). For lamps with multiple modes of operation (such as
variable CCT or CRI), the certification report must also list which
mode was selected for testing and include detail such that another
laboratory could operate the lamp in the same mode. Lifetime and life
are estimated values until testing is complete. When reporting
estimated values, the certification report must specifically describe
the prediction method, which must be generally representative of the
methods specified in appendix BB. Manufacturers are required to
maintain records per Sec. 429.71 of the development of all estimated
values and any associated initial test data.
(c) Rounding requirements. (1) Round input power to the nearest
tenth of a watt.
(2) Round lumen output to three significant digits.
(3) Round lamp efficacy to the nearest tenth of a lumen per watt.
(4) Round correlated color temperature to the nearest 100 Kelvin.
(5) Round color rendering index to the nearest whole number.
(6) Round power factor to the nearest hundredths place.
(7) Round lifetime to the nearest whole hour.
(8) Round standby mode power to the nearest tenth of a watt.
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
0
5. The authority citation for part 430 continues to read as follows:
Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.
0
6. Section 430.2 is amended by adding in alphabetical order the
definitions of ``Integrated light-emitting diode lamp'' and ``Lifetime
of an integrated light-emitting diode lamp'' to read as follows:
Sec. 430.2 Definitions.
* * * * *
Integrated light-emitting diode lamp means an integrated LED lamp
as defined in ANSI/IES RP-16 (incorporated by reference; see Sec.
430.3).
* * * * *
Lifetime of an integrated light-emitting diode lamp means the
length of operating time between first use and failure of 50 percent of
the sample units (as required by Sec. 429.56(a)(1) of this chapter),
when measured in accordance with the test procedures described in
section 4 of appendix BB to subpart B of this part.
* * * * *
0
7. Section 430.3 is amended by:
0
a. Removing the text ``appendix V1'' in paragraph (o)(9), and adding in
its place, the text ``appendices V1 and BB'';
0
b. Adding paragraphs (o)(10), (o)(11) and (o)(12); and
0
c. Removing the text ``and Z'' in paragraph (p)(5), and adding in its
place, the text ``, Z, and BB''.
The additions read as follows:
Sec. 430.3 Materials incorporated by reference.
* * * * *
(o) * * *
(10) IES LM-84-14, (``IES LM-84''), Approved Method: Measuring
Luminous Flux and Color Maintenance of LED Lamps, Light Engines, and
Luminaires, approved March 31, 2014; IBR approved for appendix BB to
subpart B.
(11) ANSI/IES RP-16-10 (``ANSI/IES RP-16''), Nomenclature and
Definitions for Illuminating Engineering, approved October 15, 2005;
IBR approved for Sec. 430.2.
(12) IES TM-28-14, (``IES TM-28''), Projecting Long-Term Luminous
Flux Maintenance of LED Lamps and Luminaires, approved May 20, 2014;
IBR approved for appendix BB to subpart B.
* * * * *
0
8. Section 430.23 is amended by adding paragraphs (x)(1)(ii),
(x)(2)(iv), and (ee) to read as follows:
Sec. 430.23 Test procedures for the measurement of energy and water
consumption.
* * * * *
(x) * * *
[[Page 43427]]
(1) * * *
(ii) For a ceiling fan light kit with medium screw base sockets
that is packaged with integrated LED lamps, measure lamp efficacy in
accordance with paragraph (ee) of this section.
* * * * *
(2) * * *
(iv) For a ceiling fan light kit packaged with integrated LED
lamps, measure lamp efficacy in accordance with paragraph (ee) of this
section for each lamp basic model.
* * * * *
(ee) Integrated light-emitting diode lamp. (1) The input power of
an integrated light-emitting diode lamp must be measured in accordance
with section 3 of appendix BB of this subpart.
(2) The lumen output of an integrated light-emitting diode lamp
must be measured in accordance with section 3 of appendix BB of this
subpart.
(3) The lamp efficacy of an integrated light-emitting diode lamp
must be calculated in accordance with section 3 of appendix BB of this
subpart.
(4) The correlated color temperature of an integrated light-
emitting diode lamp must be measured in accordance with section 3 of
appendix BB of this subpart.
(5) The color rendering index of an integrated light-emitting diode
lamp must be measured in accordance with section 3 of appendix BB of
this subpart.
(6) The power factor of an integrated light-emitting diode lamp
must be measured in accordance with section 3 of appendix BB of this
subpart.
(7) The time to failure of an integrated light-emitting diode lamp
must be measured in accordance with section 4 of appendix BB of this
subpart.
(8) The standby mode power must be measured in accordance with
section 5 of appendix BB of this subpart.
0
9. Section 430.25 is revised to read as follows:
Sec. 430.25 Laboratory Accreditation Program.
The testing for general service fluorescent lamps, general service
incandescent lamps (with the exception of lifetime testing),
incandescent reflector lamps, medium base compact fluorescent lamps,
fluorescent lamp ballasts, and integrated light-emitting diode lamps
must be conducted by test laboratories accredited by an Accreditation
Body that is a signatory member to the International Laboratory
Accreditation Cooperation (ILAC) Mutual Recognition Arrangement (MRA).
A manufacturer's or importer's own laboratory, if accredited, may
conduct the applicable testing.
0
10. Appendix BB to subpart B of part 430 is added to read as follows:
Appendix BB to Subpart B of Part 430--Uniform Test Method for Measuring
the Input Power, Lumen Output, Lamp Efficacy, Correlated Color
Temperature (CCT), Color Rendering Index (CRI), Power Factor, Time to
Failure, and Standby Mode Power of Integrated Light-Emitting Diode
(LED) Lamps
Note: On or after December 28, 2016, any representations made
with respect to the energy use or efficiency of integrated light-
emitting diode lamps must be made in accordance with the results of
testing pursuant to this appendix.
1. Scope: This appendix specifies the test methods required to
measure input power, lumen output, lamp efficacy, CCT, CRI, power
factor, time to failure, and standby mode power for integrated LED
lamps.
2. Definitions
2.1. The definitions specified in section 1.3 of IES LM-79-08
except section 1.3(f) (incorporated by reference; see Sec. 430.3)
apply.
2.2. Initial lumen output means the measured lumen output after
the lamp is initially energized and stabilized using the
stabilization procedures in section 3 of this appendix.
2.3. Interval lumen output means the measured lumen output at
constant intervals after the initial lumen output measurement in
accordance with section 4 of this appendix.
2.4. Rated input voltage means the voltage(s) marked on the lamp
as the intended operating voltage. If not marked on the lamp, assume
120 V.
2.5. Test duration means the operating time of the LED lamp
after the initial lumen output measurement and before, during, and
including the final lumen output measurement, in units of hours.
2.6. Time to failure means the time elapsed between the initial
lumen output measurement and the point at which the lamp reaches 70
percent lumen maintenance as measured in section 4 of this appendix.
3. Active Mode Test Method for Determining Lumen Output, Input
Power, CCT, CRI, Power Factor, and Lamp Efficacy
In cases where there is a conflict, the language of the test
procedure in this appendix takes precedence over IES LM-79-08
(incorporated by reference; see Sec. 430.3).
3.1. Test Conditions and Setup
3.1.1. Establish the ambient conditions, power supply,
electrical settings, and instrumentation in accordance with the
specifications in sections 2.0, 3.0, 7.0, and 8.0 of IES LM-79-08
(incorporated by reference; see Sec. 430.3), respectively.
3.1.2. Position an equal number of integrated LED lamps in the
base-up and base-down orientations throughout testing; if the
position is restricted by the manufacturer, test units in the
manufacturer-specified position.
3.1.3. Operate the integrated LED lamp at the rated voltage
throughout testing. For an integrated LED lamp with multiple rated
voltages including 120 volts, operate the lamp at 120 volts. If an
integrated LED lamp with multiple rated voltages is not rated for
120 volts, operate the lamp at the highest rated input voltage.
Additional tests may be conducted at other rated voltages.
3.1.4. Operate the lamp at the maximum input power. If multiple
modes occur at the same maximum input power (such as variable CCT or
CRI), the manufacturer can select any of these modes for testing;
however, all measurements described in sections 3 and 4 of this
appendix must be taken at the same selected mode. The test report
must indicate which mode was selected for testing and include detail
such that another laboratory could operate the lamp in the same
mode.
3.2. Test Method, Measurements, and Calculations
3.2.1. The test conditions and setup described in section 3.1 of
this appendix apply to this section 3.2.
3.2.2. Stabilize the integrated LED lamp prior to measurement as
specified in section 5.0 of IES LM-79-08 (incorporated by reference;
see Sec. 430.3). Calculate the stabilization variation as
[(maximum--minimum)/minimum] of at least three readings of the input
power and lumen output over a period of 30 minutes, taken 15 minutes
apart.
3.2.3. Measure the input power in watts as specified in section
8.0 of IES LM-79-08.
3.2.4. Measure the input voltage in volts as specified in
section 8.0 of IES LM-79-08.
3.2.5. Measure the input current in amps as specified in section
8.0 of IES LM-79-08.
3.2.6. Measure lumen output as specified in section 9.1 and 9.2
of IES LM-79-08. Do not use goniophotometers.
3.2.7. Determine CCT according to the method specified in
section 12.0 of IES LM-79-08 with the exclusion of section 12.2 and
12.5 of IES LM-79-08. Do not use goniophotometers.
3.2.8. Determine CRI according to the method specified in
section 12.0 of IES LM-79-08 with the exclusion of section 12.2 and
12.5 of IES LM-79-08. Do not use goniophotometers.
3.2.9. Determine lamp efficacy by dividing measured initial
lumen output by the measured input power.
3.2.10. Determine power factor for AC-input lamps by dividing
measured input power by the product of the measured input voltage
and measured input current.
4. Active Mode Test Method to Measure Time to Failure
In cases where there is a conflict, the language of the test
procedure in this appendix takes precedence over IES LM-84
(incorporated by reference; see Sec. 430.3) and IES TM-28
(incorporated by reference; see Sec. 430.3).
4.1. Lamp Handling, Tracking, and Time Recording
4.1.1. Handle, transport, and store the integrated LED lamp as
described in section 7.2 of IES LM-84 (incorporated by reference;
see Sec. 430.3).
[[Page 43428]]
4.1.2. Mark and track the integrated LED lamp as specified in
section 7.3 of IES LM-84.
4.1.3. Measure elapsed operating time and calibrate all
equipment as described in section 7.5 of IES LM-84.
4.1.4. Check the integrated LED lamps regularly for failure as
specified in section 7.8 of IES LM-84.
4.2. Measure Initial Lumen Output. Measure the initial lumen
output according to section 3 of this appendix.
4.3. Test Duration. Operate the integrated LED lamp for a period
of time (the test duration) after the initial lumen output
measurement and before, during, and including the final lumen output
measurement.
4.3.1. There is no minimum test duration requirement for the
integrated LED lamp. The test duration is selected by the
manufacturer. See section 4.6 of this appendix for instruction on
the maximum time to failure.
4.3.2. The test duration only includes time when the integrated
LED lamp is energized and operating.
4.4. Operating Conditions and Setup Between Lumen Output
Measurements
4.4.1. Electrical settings must be as described in section 5.1
of IES LM-84 (incorporated by reference; see Sec. 430.3).
4.4.2. LED lamps must be handled and cleaned as described in
section 4.1 of IES LM-84.
4.4.3. Vibration around each lamp must be as described in
section 4.3 of IES LM-84.
4.4.4. Ambient temperature conditions must be as described in
section 4.4 of IES LM-84. Maintain the ambient temperature at 25
[deg]C 5 [deg]C.
4.4.5. Humidity in the testing environment must be as described
in section 4.5 of IES LM-84.
4.4.6. Air movement around each lamp must be as described in
section 4.6 of IES LM-84.
4.4.7. Position a lamp in either the base-up and base-down
orientation throughout testing. An equal number of lamps in the
sample must be tested in the base-up and base-down orientations,
except that, if the manufacturer restricts the position, test all of
the units in the sample in the manufacturer-specified position.
4.4.8. Operate the lamp at the rated input voltage as described
in section 3.1.3 of this appendix for the entire test duration.
4.4.9. Operate the lamp at the maximum input power as described
in section 3.1.4 of this appendix for the entire test duration.
4.4.10. Line voltage waveshape must be as described in section
5.2 of IES LM-84.
4.4.11. Monitor and regulate rated input voltage as described in
section 5.4 of IES LM-84.
4.4.12. Wiring of test racks must be as specified in section 5.5
of IES LM-84.
4.4.13. Operate the integrated LED lamp continuously.
4.5. Measure Interval Lumen Output. Measure interval lumen
output according to section 3 of this appendix.
4.5.1. Record interval lumen output and elapsed operating time
as described in section 4.2 of IES TM-28 (incorporated by reference;
see Sec. 430.3).
4.5.1.1. For test duration values greater than or equal to 3,000
hours and less than 6,000 hours, measure lumen maintenance of the
integrated LED lamp at an interval in accordance with section 4.2.2
of IES TM-28.
4.5.1.2. For test duration values greater than or equal to 6,000
hours, measure lumen maintenance at an interval in accordance with
section 4.2.1 of IES TM-28.
4.6. Calculate Lumen Maintenance and Time to Failure
4.6.1. Calculate the lumen maintenance of the lamp at each
interval by dividing the interval lumen output ``xt'' by
the initial lumen output ``x0''. Measure initial and
interval lumen output in accordance with sections 4.2 and 4.5 of
this appendix, respectively.
4.6.2. For lumen maintenance values less than 0.7, including
lamp failures that result in complete loss of light output, time to
failure is equal to the previously recorded lumen output measurement
(at a shorter test duration) where the lumen maintenance is greater
than or equal to 0.7.
4.6.3. For lumen maintenance values equal to 0.7, time to
failure is equal to the test duration.
4.6.4. For lumen maintenance values greater than 0.7, use the
following method:
4.6.4.1. For test duration values less than 3,000 hours, do not
project time to failure. Time to failure equals the test duration.
4.6.4.2. For test duration values greater than or equal to 3,000
hours but less than 6,000 hours, time to failure is equal to the
lesser of the projected time to failure calculated according to
section 4.6.4.2.1 of this appendix or the test duration multiplied
by the limiting multiplier calculated in section 4.6.4.2.2 of this
appendix.
4.6.4.2.1. Project time to failure using the projection method
described in section 5.1.4 of IES TM-28 (incorporated by reference;
see Sec. 430.3). Project time to failure for each individual LED
lamp. Do not use data obtained prior to a test duration value of
1,000 hours.
4.6.4.2.2. Calculate the limiting multiplier from the following
equation:
[GRAPHIC] [TIFF OMITTED] TR01JY16.014
4.6.4.3. For test duration values greater than 6,000 hours, time
to failure is equal to the lesser of the projected time to failure
calculated according to section 4.6.4.3.1 or the test duration
multiplied by six.
4.6.4.3.1. Project time to failure using the projection method
described in section 5.1.4 of IES TM-28 (incorporated by reference;
see Sec. 430.3). Project time to failure for each individual LED
lamp. Data used for the time to failure projection method must be as
specified in section 5.1.3 of IES TM-28.
5. Standby Mode Test Method for Determining Standby Mode Power
Measure standby mode power consumption for integrated LED lamps
capable of operating in standby mode. The standby mode test method
in this section 5 may be completed before or after the active mode
test method for determining lumen output, input power, CCT, CRI,
power factor, and lamp efficacy in section 3 of this appendix. The
standby mode test method in this section 5 must be completed before
the active mode test method for determining time to failure in
section 4 of this appendix. In cases where there is a conflict, the
language of the test procedure in this appendix takes precedence
over IES LM-79 (incorporated by reference; see Sec. 430.3) and IEC
62301 (incorporated by reference; see Sec. 430.3).
5.1. Test Conditions and Setup
5.1.1. Establish the ambient conditions, power supply,
electrical settings, and instrumentation in accordance with the
specifications in sections 2.0, 3.0, 7.0, and 8.0 of IES LM-79
(incorporated by reference; see Sec. 430.3), respectively. Maintain
the ambient temperature at 25 [deg]C 1 [deg]C.
5.1.2. Position a lamp in either the base-up and base-down
orientation throughout testing. An equal number of lamps in the
sample must be tested in the base-up and base-down orientations.
5.1.3. Operate the integrated LED lamp at the rated voltage
throughout testing. For an integrated LED lamp with multiple rated
voltages, operate the integrated LED lamp at 120 volts. If an
integrated LED lamp with multiple rated voltages is not rated for
120 volts, operate the integrated LED lamp at the highest rated
input voltage.
5.2. Test Method, Measurements, and Calculations
5.2.1. The test conditions and setup described in section 3.1 of
this appendix apply to this section.
5.2.2. Connect the integrated LED lamp to the manufacturer-
specified wireless control network (if applicable) and configure the
integrated LED lamp in standby mode by sending a signal to the
integrated LED lamp instructing it to have zero light output. Lamp
must remain connected to the network throughout the duration of the
test.
5.2.3. Stabilize the integrated LED lamp as specified in section
5 of IEC 62301 (incorporated by reference; see Sec. 430.3) prior to
measurement.
5.2.4. Measure the standby mode power in watts as specified in
section 5 of IEC 62301.
[FR Doc. 2016-14481 Filed 6-30-16; 8:45 am]
BILLING CODE 6450-01-P