[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





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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]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

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


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

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

ACTION: Final rule.

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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).
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    \1\ International Electrotechnical Commission.
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    2. ANSI \2\/IES \3\ RP-16-2010, ``Nomenclature and Definitions for 
Illuminating Engineering,'' approved July 15, 2005.
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    \2\ American National Standards Institute
    \3\ Illuminating Engineering Society.
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    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).
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    \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.
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    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.
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    \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.
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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.
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    \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.
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    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.
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    \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.
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    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.
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    \9\ ``Method of Measuring and Specifying Colour Rendering 
Properties of Light Sources.'' Approved by CIE in 1995.
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    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.
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    \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.
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    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