Bright Tomorrow Lighting Competition (L Prize )

Competition Requirements for PAR 38 Halogen Replacement Lamps

Revision 4 July 2013

REVISION SUMMARY
Revision 4 Release Date July 2013 This document supersedes all previous L Prize Competition Requirements documents. Revision 4.1: Revision to Eligibility Requirements The eligibility requirements for the competition have been revised. The changes reflect currently viable domestic manufacturing options, promote technology innovation, and remove barriers for companies to participate in the L Prize competition. The changes can be found in Section III Eligibility Requirements, which uses the following newly inserted text:

In addition to meeting the technical performance specifications discussed in Section IV,

qualified entrants must meet each of the three following requirements: A. Final assembly of the lamp must be done in the US. Final assembly encompasses operations that integrate electronic subassemblies (e.g., the driver and LED packages) with other electrical, mechanical and optical content (e.g., heat sink, screw base, supporting structures and envelope); B. In the case of a private entity, the entity shall be incorporated in and maintain a primary place of business in the US; and in the case of an individual, (whether participating as a single individual or in a group), the individual shall be a citizen or a lawful permanent resident of the US. C. The requirements of paragraphs A and B shall apply to all units sold in the US for the first two years after award of the L Prize PAR 38. Related to Revision 4.1, the following dependent sections have also been modified: Section V.B.7 Commercial Manufacturing Plan Revision 4.2: Revision to Technical Performance Specifications, Luminous Intensity Distribution The Luminous Intensity Distribution specification has been revised to increase the allowable beam angle from a maximum of 12 degrees to a new maximum of 15 degrees. The center beam intensity requirement has been revised to be consistent with the revised beam angle requirement. See Section V.B.7 Commercial Manufacturing Plan. Revision 4.3: Revision to Submission Requirements, Commercial Manufacturing Plan The requirement to describe production of at least 250,000 units in the first year after award has been dropped. Under sub-bullet Change Control Plan, clarifying language has been added to define the time period during which the change control requirement applies.

L Prize PAR 38 Competition

L Prize PAR 38 Competition Requirements

I. INTRODUCTION

The Bright Tomorrow Lighting Competition was authorized in the Energy Independence and Security Act of 2007 (EISA), Subtitle E, Section 655, to encourage development and deployment of highly energy efficient solid-state lighting (SSL) products to replace several of the most common lighting products currently used in the United States, including 60 watt A19 incandescent and PAR 38 halogen incandescent lamps. To significantly impact the national market and lighting use, the SSL products selected must perform similarly to the incandescent lamps they are intended to replace in terms of color appearance, light output, light distribution, lamp shape and size, form factor, appearance, and operating environment. This document details requirements for the PAR 38 halogen replacement lamp category. The specifications detailed in this document are intended to ensure products will be suitable for replacement of existing light sources in appropriate applications. II. THE PRIZE EISA authorizes cash prizes for the first successful entrant in each prize category. Cash prizes are based on the availability of funding from future appropriations and private funding contributions as authorized by the legislation. Subject to the availability of appropriated funds, as provided for in EISA section 655(g)(2), the prize amount is $5 million for the PAR 38 halogen incandescent replacement lamp. The monetary prize will go to the first successful entrant with the earliest timestamp. Nothing contained herein shall be construed to obligate the DOE to any expenditure or obligation of funds in excess or in advance of appropriations in violation of the AntiDeficiency Act, 31 U.S.C. Section 1341. In addition, as soon as practicable after the award of the PAR 38 halogen replacement lamp, DOE will consult with the Administrator of General Services to develop government-wide federal purchase guidelines with the goal of replacing PAR 38 halogen lamps in Federal Government buildings with the L Prize winning product. Up to two additional products may be recognized by DOE if they pass all L Prize requirements. Recognized products will be eligible for Federal purchasing and promotion by L Prize Partners (see below), but will not receive a cash prize. Additional Market Promotion In addition to the L Prize winning product, up to two (2) additional products entered in the PAR 38 competition and meeting all technical and other requirements may be recognized by DOE and eligible for L Prize Partner promotion. The L Prize Partners consist of more than 30 electric utilities and energy efficiency programs that have expressed interest in promoting L Prize winning products through their energy efficiency programs, provided the products meet economic and performance criteria (which vary by program). Energy efficiency program actions may include cooperative marketing support, retailer promotions, direct product incentives, customer education, public service

L Prize PAR 38 Competition

announcements, and other activities. In all cases, these programs are offered at the discretion of individual partner organizations. More information on participating partners and available programs can be found at www.lightingprize.org.

DOE reserves the right to close the contest to additional entries after three (3) successful entries have been received, or upon announcement of a winner, or for other reasons identified by DOE. Subject to other guidelines of this document, the prize will be awarded to the winner, which will be the first entrant (the product with the earliest timestamp) to successfully meet the full competition requirements.

III. ELIGIBILITY REQUIREMENTS In addition to meeting the technical performance specifications discussed in Section IV, qualified entrants must meet each of the three following requirements: A. Final assembly of the lamp must be done in the US. Final assembly encompasses operations that integrate electronic subassemblies (e.g., the driver and LED packages) with other electrical, mechanical and optical content (e.g., heat sink, screw base, supporting structures and envelope); B. In the case of a private entity, the entity shall be incorporated in and maintain a primary place of business in the US; and in the case of an individual, (whether participating as a single individual or in a group), the individual shall be a citizen or a lawful permanent resident of the US. C. The requirements of paragraphs A and B shall apply to all units sold in the US for the first two years after award of the L Prize PAR 38. IV. TECHNICAL PERFORMANCE SPECIFICATIONS This section addresses technical performance specifications for the L Prize PAR 38 competition. These lamps are intended to be suitable for replacing 90-watt 120V standard halogen or 70-watt 120V halogen infrared (HIR) PAR 38 lamps. These products will allow direct replacement of halogen PAR 38 lamps in lighting fixtures with medium screw-in (Edison) sockets. As such, winning products must be similar to the products targeted for replacement, in terms of size, shape, operating environment, and light output, distribution, and quality. The performance criteria detailed below seek to ensure that winning products will meet the expectations of lighting users and specifiers for products of the types specified. The following sections detail full specification requirements that must be met in order to be eligible to receive the L Prize award and consideration for energy efficiency program promotion. Detailed requirements are based upon compliance with existing lighting industry reference standards and test procedures, as well as new or revised standards and test procedures developed by the DOE, lighting industry organizations, and other organizations. To allow for measurement error, and manufacturing variability, allowable

L Prize PAR 38 Competition

tolerances are indicated wherever possible. All technical performance values will be individually evaluated to determine compliance with the minimum requirements and specified tolerances. Decision of the Technical Review Committee (described in the next section below) shall be final as to all aspects of whether a product meets the following requirements.

Table 1 PRODUCT REQUIREMENTS Light Output Product shall produce a luminous flux greater than or equal to 1,350 lumens (initial). At least 90% of the units shall emit at least 1,350 lumens and no unit may emit less than 1,215 lumens. Product shall consume less than or equal to 11 watts. Wattage At least 90% of the units shall draw no more than 11 watts, and no unit may draw more than 12.1 watts. Products shall have an initial efficacy greater than 123 lumens Luminous Efficacy per watt. (derived from output and wattage) Products shall have correlated color temperature of 2750 K (+55 Correlated Color or -105) or 3000 K (+145 or -55). 1 Temperatures At least 90% of the units shall have a chromaticity which lies (CCTs) within the tolerances specified above. In addition, at least 90% of the units shall have a Duv of 0.004or less. No units shall have a Duv exceeding 0.006. For a complete definition of Duv, please see ANSI_NEMA_ANSLG C78.377-2008. Dimensions Base Type Lumen Maintenance Color Maintenance Color Rendering Index (CRI) Size and shape shall fit within the maximum dimensions and form factor of a PAR 38 lamp in accordance with ANSI C78.21 2003, figure C78.21-238. Products shall have a single contact medium screw base E26/24, per ANSI C81.61-2009. The product shall maintain at least 70% of initial lumen output exceeding 25,000 hours. (See Section V. E.3 for additional information on this requirement.) The change of chromaticity (uv) over the initial 6000 hours of operation shall be 0.004 or less. (See Section V.E.3 for additional information on this requirement.) Products shall have a CRI (Ra) greater than or equal to 90. In addition, the R9 value must be greater than or equal to 50. At least 90% of the units must have an Ra value greater than 90 and no unit may have less than 87. At least 90% of the units must have an R9 value greater than 50 and no unit may have less than 47. Included documentation must clearly state any known incompatibility with photo-controls, dimmers, or timing devices.

Incompatibility with Controls and Application

1

The EISA legislation requires that lamps meeting this requirement fall within the range of 2750K to 3000K. To conform with this requirement, and make the requirements conform with industry standard color targets (2725K and 3045K) as specified in ANSI C78.377-2008, asymmetric distributions around 2750K and 3000K are specified above. 5 L Prize PAR 38 Competition

Starting Time Dimmability Luminous Intensity Distribution

Light source shall illuminate within 0.5 seconds after power is applied. All units must meet this requirement. Products are not required to be dimmable. Products shall have a minimum beam angle (defined as 2 times the angle from nadir at which luminous intensity is 50% of maximum) of 9 to a maximum of 15 (per ANSI C78.379-2006, American National Standard for Electric Lamps Classification of the Beam Patterns of Reflector Lamps, Section 4.1, state degrees rounded to the nearest integer) 2. In addition, the following requirements apply: - No more than 60% of total lumens shall be in the beam angle. - The measured field angle (defined as 2 times the angle from nadir at which luminous intensity is 10% of maximum) shall be no less than 2 times the measured beam angle. - Beams shall be axially symmetric. At least 90% of the units must comply with the requirements above. Luminous intensity distribution vertical angular measurements shall be made in increments of no more than 1 within the beam cone and no more than 2.5 outside the beam cone. Vertical angular measurements shall be made in the 0, 45, 90, and 135 planes, with each measurement plane extending through the center axis of the lamp. Products shall have minimum center beam luminous intensity of 11,200 candela (cd). At least 90% of the units must be greater than 11,200 cd and no unit may have less than 10,100 cd. The absolute chromaticity value in different directions (i.e., with a change in viewing angle) shall be within 0.004 from the average point on the CIE 1976 (u, v) diagram. At least 90% of the units shall be within 0.004 from the average point, and no units shall be more than 0.006 from the average point. Vertical angular chromaticity measurements shall be made in increments of no more than 2.5.

Center Beam Luminous Intensity Color Spatial Uniformity

Table 2 DRIVER REQUIREMENTS Mean time to failure Driver shall have MTTF > 25,000 hours when operated in an (MTTF) ambient temperature of 45 C. Operating Voltage Driver shall be capable of operation on 120 Volts (+/- 10%) alternating current circuits. Power Factor Driver shall have power factor 0.70. At least 90% of the units must comply with this requirement. No unit shall have a power factor of less than 0.63.

Note: The beam angle tolerances listed in ANSI C78.379-2006, Section 4.3, Beam angle tolerance of PAR and R lamps, do not apply. 6 L Prize PAR 38 Competition
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Minimum Operating Temperature Electromagnetic Frequency f Noise Audible Transient Protection Safety Ratings

Driver shall have a minimum operating temperature of -20C or below. Driver shall meet FCC requirements for consumer use (FCC 47 CFR Part 15, Class B). Driver shall have a Class A sound rating. Driver shall comply with IEEE C.62.41-1991, Class A operation. The line transient shall consist of seven strikes of a 100 kHz ring wave, Driver shall meet applicable safety ratings for self-ballasted

V. EVALUATION OF APPLICATIONS

A. Technical Review Committee EISA requires DOE to establish a Technical Review Committee (TRC) composed of non-Federal officers to review entries submitted under this competition to determine whether product performance data successfully meet the prize specifications detailed in this document. The TRC will review all eligibility qualifications and technical performance specifications for submitted products. In addition, the TRC will evaluate the ability of the entrant to manufacture its product in large scale production quantities, as well as its ability to rapidly move quantities of products to market. The TRC is composed of individuals who collectively are knowledgeable of lighting sciences, SSL technologies, lighting manufacturing processes, energy efficiency, and corporate business and marketing strategies. B. Submission Requirements Step 1: Notification of Intent to Submit. Prospective entrants must provide to the DOE a notification of their intent to submit a product. The notification must be submitted to the DOE a minimum of 30 days and no more than 45 days prior to full product submission. Notification must be sent electronically to [email protected]. At a minimum, the notification must include the following information:
Names and full contact information of the proposing organization and team

partners including suppliers of all major components

Anticipated performance characteristics of the replacement lamp product,

including light output, wattage, luminous efficacy, beam angle, center beam intensity, color rendering index, correlated color temperature, and lifetime Confirmation that the prospective entrant has read and agrees to the L Prize Guidelines and Process Integrity document at http://www.lightingprize.org/pdfs/L_Prize_IntegrityGuidelines-010813_Final.pdf. Anticipated submission date

The purpose of the notification is to allow the DOE sufficient preparation time for the acceptance of product entries. DOE will coordinate public announcements regarding entries in the L Prize competition. Following the notification of intent to submit, the entrant may continue with the remaining entry processes detailed below.

L Prize PAR 38 Competition

Step 2: Full Submission. In order to be considered a complete package, the following must be included with each entry:

1) Data Release Form. In conducting the evaluation of product entries, the DOE may obtain and share performance data from various testing laboratories involved in performance testing and other organizations involved in product field assessments. The DOE will seek the advice of the TRC. The DOE may also make performance data available to the L Prize Partners. Entrants must complete the Data Release Form (Attachment 1), stating their agreement to share data with these parties.

All non-Federal parties (including, but not limited to, TRC members, energy efficiency program partners, independent testing laboratories, and independent technical experts) requiring product information for the purposes of this competition must sign conflict of interest and non-disclosure agreements prior to receiving entry information. Entrants must clearly mark all data in their entry package considered to be patentable, trade secret, proprietary or sensitive information. Conflicts of interest must be resolved to the satisfaction of the DOE prior to that non-Federal party participating in the competition. 2) Certification of Eligibility. The entrant must provide a certification that the eligibility requirements detailed in Section III Eligibility Requirements are fully met. Entrants must do so by completing the Certification of Eligibility (Attachment 2). 3) One thousand (1,000) commercially acceptable quality control units. Units must meet the full criteria specified in Section IV Technical Performance Specifications for the PAR 38 halogen replacement lamp category. Units must be packaged to ensure safe and intact arrival at the designated address identified in Section C How to Submit Entries. The DOE assumes no responsibility for delivery or condition of units at receipt. This quantity of samples is needed to provide adequate samples for laboratory testing, stress testing, and field testing. Submission of fewer than the required number of functional units will constitute an incomplete entry and will not be eligible for award. 4) A technical information document, which, at a minimum, clearly provides the following information:

Initial light output Initial input watts Luminous efficacy Initial correlated color temperature (CCT), chromaticity, and Duv Lamp dimensions Lamp base type Lumen maintenance (L70); based on LM-80 and ISTM tests Initial color rendering index (CRI) report Ra and R9 values Known incompatibilities with controls Starting time (seconds) Beam angle and field angle Initial color spatial uniformity (maximum distance from average point (in u,v
space)
Initial center beam luminous intensity

L Prize PAR 38 Competition

 Driver mean time to failure (hours), including documentation showing compliance with MTTF requirement of 25,000 hours Operating voltage Initial power factor Minimum operating temperature Declaration of compliance with FCC 47 CFR Part 15 Class B requirements Declaration of compliance with Class A sound rating Declaration of compliance with IEEE C.62.41-1991 Class A transient protection Declaration of compliance with all applicable safety ratings Known restrictions with regard to totally-enclosed fixtures, insulation contact, air tight (ICAT) recessed fixtures, damp location fixtures, wet location fixtures, etc. Maximum storage temperature Drive current applied to LEDs

5) Lumen maintenance and in-situ temperature test results. The entrant must provide test results and calculations demonstrating lumen maintenance performance of the LED packages used in the entry lamp. Two sets of test results are required: Test Results Set #1: LM-80 Data. Minimum sample size for LM-80 data is 25 units for LED packages, or 10 units for LED modules or arrays. Values and supporting data to be reported in this set include: Lumen maintenance data (at least 6,000 hours) for the LED package(s), module(s), or array(s) used in the integral lamp, collected in accordance with IESNA LM-80-08 test procedure. For products using more than one type of LED package, the above information shall be provided for each package type. Test Results Set #2: In-Situ Temperature Measurement Test (ISTMT) Data. Sample size: 2 units. Values and supporting data to be reported in this set include: ISTMT reporting the case or solder joint temperature (Tc or Ts) of the hottest LED package(s)/module(s)/array(s) inside the lamp when the lamp is operated in a 45C ambient environment in a base-up position. Measured in-situ LED case or solder joint temperature must be less than or equal to the maximum LED temperature for which the LED package LM-80 data substantiate 25,000 hour L70 lumen maintenance. For products using more than one type of LED package, a temperature
measurement shall be provided for each package type.
Thermal images clearly indicating the hottest spot(s) used in measuring Tc or Ts. Using the above test data (Sets 1 and 2) in combination with the extrapolation methodology defined in IES TM-21, the entrant must provide documentation showing calculations for estimated lumen maintenance performance for the lamp. These calculations must demonstrate the L70 lumen maintenance performance of the lamp exceeds 25,000 hours when operated in a 45C ambient environment in a base-up position.

L Prize PAR 38 Competition

6) Agreement to pay for photometric (LM-79) testing. Upon receipt of the complete entry, DOE will randomly select 32 lamps from the 1,000 and forward these 32 lamps to an independent test laboratory that is NVLAP accredited for IESNA LM-79- 2008 testing. Photometric measurements will be made using an integrating sphere. The sample size for this testing is 32 units, with all lamps measured in base-up position. Measurements will include: Light output Input power Correlated color temperature, chromaticity, and Duv Color rendering index (Ra and R9) Power factor Additional photometric measurements will be made using a goniophotometer. The sample size for this testing is 10 units, with all lamps measured in base-up position. Measurements will include: Luminous intensity distribution, according to measurement requirements
explained in Table 1.
Color spatial uniformity, according to measurement requirements explained in Table 1. The entrant is responsible for the cost of LM-79 testing, and must make payment arrangements with the laboratory selected by DOE for the actual test costs up to the not-to-exceed amount identified in Attachment 3. Test results will be simultaneously sent to DOE and the entrant upon completion. The test lamps will be returned to DOE after testing for elevated temperature lumen maintenance testing to be performed by DOE. The reason the lamps will be sent from DOE to the testing laboratories, rather than the entrants sending them directly to testing labs prior to submission, is to avoid unfair advantage to any entrant with regard to testing lab access and therefore ability to obtain the earliest possible timestamp in the L Prize competition. Please sign Agreement to Pay for Photometric (LM-79) Testing (Attachment 3), then scan and include that signature page with the electronic documents submitted per Section V.C. How to Submit Entries, below. 7) A Commercial Manufacturing Plan, describing mass production and distribution capacity in the first year following award of the prize, and in subsequent years, describing production capacity and distribution capacity sufficient to support a national market. To support mass production for a national market, the final assembly, associated testing, supply chain of critical components, subsystems and manufacturing partners and their capabilities to meet volume and product performance in the future must be described. The manufactured units shall meet all technical performance specifications called out in Section IV Technical Performance Specifications of this document. The following information is required at the time of submittal: A detailed description of how the manufacturing of the product will continue to comply with the requirements in Section III Eligibility Requirements. Continued use of the L Prize logo requires continued compliance with the L Prize Eligibility
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Requirements. A detailed description of how the product will be brought to market, including target market description, product price information, value proposition, and expected sales and distribution channels. Written evidence of the entrants capability to direct that capacity to the commercialization of this product must be provided. A description of the source of LED chips and location of final assembly of the product. Identification of corporate officers and management team responsible for the proposed product. Change control plan a description of the entrants policy and process for technical and engineering changes to the product over time. To ensure the integrity of the L Prize winning products, DOE requires L Prize entrants to provide a change control plan, detailing the entrants proposed procedures to qualify and document product variations that typically occur over time. An entrant is required to notify DOE of any proposed product change (design, specification, test limits, materials, components, assembly method, facility, supplier, or process), and the rationale behind the change, before the change is implemented. DOE will approve or deny the request to make the change. If a change is approved, it may then be implemented provisionally. The entrant must then provide DOE with documented test data to show that the change has not materially affected product performance or reliability. DOE will review and may approve the change, or may require additional information. This change control requirement applies from the time an entry is submitted to DOE to the time an entry has been declared as not meeting all requirements, or for those entries that have been declared by DOE as meeting all requirements, to the time the entrant is no longer authorized by DOE to use the L Prize name with the winning product.

Finalized details of the Commercial Manufacturing Plan may be submitted after the initial submission but must be submitted prior to award. Minimum additional details in the final plan include the following: a full description of production capacity for the proposed product, including owned manufacturing and/or contracted manufacturing facilities. Documentation must include any letters of commitment or contract agreements, as applicable. C. How to Submit Entries Entrants are limited to one entry at a time for the PAR 38 competition. A complete entry package that includes all items listed in Section V. B - Submission Requirements, Step 2, must be delivered to the following location/address where they will be time-stamped upon receipt: The required 1,000 product units must be sent to: Pacific Northwest National Laboratory US DOE L Prize Competition ATTN: Theresa Shoemaker 790 6th Street Richland, WA 99354

Mark PRODUCT SAMPLES in large letters on the outside of the container so it is

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clearly visible.

If your chosen method of delivery requires phone verification, the number (509) 3724333 may be used. However, please do not direct technical questions to this number.

All other documentation must be submitted electronically. Entrants must complete and sign Attachment 1 Data Release, Attachment 2 Certification of Eligibility, and Attachment 3 Agreement to Pay for Photometric (LM-79) Testing. Electronic copies of the completed Data Release form, Certification of Eligibility form, Agreement to Pay for Photometric (LM-79) Testing form, Technical Information Document, and Commercial Manufacturing Plan must be submitted to [email protected]. The initial timestamp will be the later of the timestamp on the physical shipment (the 1,000 product units) and the timestamp on the electronic documents.

D. Timestamp Entries will be time-stamped when a complete entry package is received. If DOE determines material is missing from an entry package, applicants will be notified of the missing information within 10 business days of receipt of the entry package. A timestamp will be given once the missing information is received by DOE. If the missing information is received within 45 days of notification of missing information, then the timestamp will be equal to the initial timestamp plus the elapsed time between notification of missing information and receipt of all missing information by DOE. However, if the missing information is received by DOE later than 45 days from notification of incomplete or missing information, then the entry will receive a new timestamp equal to the time the complete entry is received. All requirements listed in Section B - Submission Requirements must be fully satisfied for the entry to be considered complete. Entries from multiple entrants will be evaluated for completeness in the order in which they were received. If, after DOE determines an entry is complete, a product fails any portion of the evaluation, DOE will notify the entrant. Entrant may submit a revised product within 60 days of DOE notification to retain the original timestamp. If the revision takes longer than 60 days, the revised entry will receive a new timestamp upon receipt of the revised product and supporting information. Entrants may use the above described process for revising their products only one time. Revised entries that still do not meet all requirements will be disqualified. E. Evaluation Process Entry evaluation will consist of a review of laboratory testing, field assessment, lumen maintenance and reliability documentation, stress testing, and the commercial manufacturing plan provided by the entrant. The following will be conducted as part of the evaluation process: 1) Review of Laboratory Testing. All laboratory test results and supporting data will be reviewed. DOE may request additional testing data or engineering information to support this review. DOE may conduct additional laboratory testing to verify that the

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lamp performs in a manner meeting buyer needs.

2) Field Assessment. Field assessments will be conducted in cooperation with L Prize Partners to determine suitability as a replacement lamp for customers likely to purchase these lamps. Field assessments may include:
Installation in host customer facilities. Installation in utility technology demonstration facilities. Focus group testing with retailers, builders, and/or specifiers/designers.

The objectives of the field assessments are:

Evaluate energy use of the products when installed in-situ as compared to the

existing technology(ies) and generate reproducible energy and demand savings data. Characterize the lighting system performance of the products installed in-situ as compared to the existing technology(ies). Assess reliability of the products during the test period. Identify operational or performance problems not revealed in laboratory testing. Assess customer acceptance of the products. Assess criteria for cost-effective deployment of the product through utility energy efficiency programs.

3) Review of Lumen Maintenance and Reliability Documentation and the Lumen and Color Maintenance Test Results. This will consist of review of driver MTTF documentation; LM-80 data for the LEDs used in the lamp; verification of LED case temperature during lamp operation in a 45 C ambient environment; verification of the drive current applied to the LEDs; and evaluation of light output and chromaticity of the integral lamp after 6,000 hours of operation by DOE in a 45C environment. DOE will apply TM-21 methodology to this data set for estimating lumen maintenance performance at 25,000 hours. DOE will compare chromaticity from the t=0 hours and t=6000 hours data sets to determine compliance with the color maintenance requirements. 4) Stress Testing. Stress testing will be conducted by DOE to identify potential failure modes. Tests may include but are not limited to the following:

Temperature cycling Mechanical vibration Voltage fluctuation and wave form distortion High humidity

Stress testing is intended to help DOE assess the overall durability of the lamps, especially in comparison to other types of PAR 38 lamps. 5) Review of Commercial Manufacturing Plan for Mass Production. The intent of the L Prize is for products to be available on a mass production basis in a competitive commercial market. The entrants capabilities to rapidly produce and bring to market large quantities of lighting products meeting the L Prize PAR 38 technical specifications will be evaluated by the TRC. Entrants must submit a Commercial Manufacturing Plan describing mass production and distribution capacity in the first

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year following award of the prize, and increased production and national distribution in subsequent years. Production units shall meet all technical performance specifications called out in Section IV Technical Performance Specifications of this document. Information to be reviewed by the TRC includes, but is not limited to, the following:

Evidence verifying eligibility as specified in Section III Eligibility Requirements Experience and capabilities of corporate officers and management team members

responsible for the proposed product Manufacturing capability Change control plan Distribution and sales capability Experience with similar products and markets Quality and completeness of production and marketing strategies Cost effectiveness value proposition Other evidence, as chosen by the entrant, which demonstrates the entrants capability to compete and succeed with commercialization of the submitted product.

In order to assess the entrants capability to mass produce, entries successfully completing the laboratory performance testing and the initial production and distribution assessment will be personally interviewed by the TRC at the location of final product assembly or other location as deemed suitable by the DOE. F. Selection Selection of the winner of the L Prize will be determined based on the TRCs findings. VI. QUESTIONS/COMMENTS Questions and/or comments regarding this competition, its requirements, technical specifications or test procedures can be addressed to [email protected].

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Attachment 1

Data Release Form

(Signed form must accompany complete entry package.)

The entrant does hereby accept release of all technical performance and commercial manufacturing information provided in the entry package or gained through product testing, as necessary, to each of the following: The Technical Review Committee (TRC) Product testing laboratories (no commercial manufacturing information) Host sites for field assessments (no commercial manufacturing
information)
Energy efficiency program partner organizations Other independent technical experts on a need-to-know basis

Signature

Date

Print Name of Responsible Signatory Name: Title: Phone: Email:

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Attachment 2

Certification of Eligibility Form

(Signed form must accompany complete entry package.)

The undersigned does hereby certify that the entrant meets the Eligibility Requirements from Section III.

Signature

Date

Print Name of Responsible Signatory Name: Title: Phone: Email:

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Attachment 3

Agreement to Pay for Photometric (LM-79) Testing

(Signed form must accompany complete entry package)

The undersigned does hereby agree to pay for required photometric (IES LM-79) testing for 32 lamps. Payment arrangements will be made between the entrant and the testing laboratory selected by US DOE. Testing costs borne by the undersigned will not exceed $20,000 per entry.

Signature

Date

Print Name of Responsible Signatory Name: Title: Phone: Email:

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Attachment 4 Commercial Manufacturing Plan Review Supplemental Information

This document provides additional detail regarding the Technical Review Committee (TRC) evaluation of the required Commercial Manufacturing Plan (Section V.E.5). The TRC will review oral and written information presented to the DOE by the applicant, independent testing by external and DOE laboratories, and field evaluations conducted by L Prize Program Partners. In addition to reviewing the specific technical performance data of the products submitted for testing and field trials, the TRC will also perform a business due diligence consistent with the requirements of the L Prize. The TRC will review the material and commercial manufacturing plan submitted by entrant; cross reference data and information from generally available parties and sources; conduct independent due diligence to check facts, trends, and observations; and make appropriate visits to relevant entrant entities, personnel, vendors, and other useful parties. As part of this review, the TRC will have discussions with appropriate entrant team members on the published plan and background details submitted to DOE, including marketing, manufacturing, and future technical development. Information not generally available via public domain sources is subject to TRC proprietary treatment and confidentiality. The identities of TRC members are bound by non-disclosure agreements to protect the integrity of the TRC process. Member names are revealed only to DOE and entrant team members on a needto-know basis. All TRC direct contact with entrant team members will be arranged via the appropriate DOE SSL team members. Entrants must clearly mark all data in their entry package considered to be patentable, trade secret, proprietary or sensitive information. The following is a summary of the checklist of Commercial Manufacturing Plan items to be reviewed by the TRC for each entrant. Commercial Manufacturing Plan Review Checklist Evidence of Eligibility US incorporation US assembly requirement

Market Analysis Market size and growth potential Competitive environment Price projections Barriers Market projections by market segment Market segments: needs and opportunities

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Price vs. benefits sensitivity analysis

Applicant Marketing Assessment Value proposition Internal vs. external benchmarks Price targets Standards analysis Market penetration plan

Manufacturing Assessment Pilot capacity Expansion to mass production Manufacturing engineering Initial cost targets Cost reduction plan External specification verification, continuity plan Performance improvement plan USA Location commitment Change Control and Quality Control processes Sales Strategy Assessment Promotion and market communications Distribution Channels Players-status-impact Incentive programs-external Sales Organization Training Customer feedback and field trials Cannibalization and replacement issues SSL Partnership roles Overall Commercialization Commitment Commitment of senior management Resources and ability to execute commercially

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