Energy Conservation Program for Certain Commercial and Industrial Equipment: Test Procedures for High-Intensity Discharge Lamps, 77914-77934 [2011-32162]

Download as PDF 77914 Proposed Rules Federal Register Vol. 76, No. 241 Thursday, December 15, 2011 This section of the FEDERAL REGISTER contains notices to the public of the proposed issuance of rules and regulations. The purpose of these notices is to give interested persons an opportunity to participate in the rule making prior to the adoption of the final rules. DEPARTMENT OF AGRICULTURE Animal and Plant Health Inspection Service 7 CFR Part 331 9 CFR Part 121 [Docket No. APHIS–2009–0070] RIN 0579–AD09 We are reopening the comment period for our proposed rule that would amend and republish the list of select agents and toxins that have the potential to pose a severe threat to animal or plant health, or to animal or plant products, reorganize the list of select agents and toxins based on the relative potential of each select agent or toxin to be misused to adversely affect human, plant, or animal health, and amend the regulations in order to add definitions and clarify language concerning security, training, biosafety, biocontainment, and incident response. This action will allow interested persons additional time to prepare and submit comments. DATES: The comment period for the proposed rule published October 3, 2011 (76 FR 61228), is reopened. We will consider all comments that we receive on or before January 17, 2012. ADDRESSES: You may submit comments by either of the following methods: • Federal eRulemaking Portal: Go to https://www.regulations.gov/ #!documentDetail;D=APHIS-2009-00700035. • Postal Mail/Commercial Delivery: Send your comment to Docket No. APHIS–2009–0070, Regulatory Analysis pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 SUMMARY: Jkt 226001 On October 3, 2011, we published in the Federal Register (76 FR 61228–61244, Docket No. APHIS–2009–0070) a proposal to amend and republish the list of select agents and toxins that have the potential to pose a severe threat to animal or plant health, or to animal or plant products, reorganize the list of select agents and toxins based on the relative potential of each select agent or toxin to be misused to adversely affect human, plant, or animal health, and amend the regulations in order to add definitions and clarify language concerning security, training, biosafety, biocontainment, and incident response. Comments on the proposed rule were required to be received on or before December 2, 2011. We are reopening the comment period on Docket No. APHIS– 2009–0070 for an additional 30 days. This action will allow interested persons additional time to prepare and submit comments. We will also consider all comments we receive between December 3, 2011, and the date of this document. SUPPLEMENTARY INFORMATION: Animal and Plant Health Inspection Service, USDA. ACTION: Proposed rule; reopening of comment period. AGENCY: 14:53 Dec 14, 2011 Mr. Charles L. Divan, Branch Chief, APHIS Agriculture Select Agent Program, APHIS, 4700 River Road Unit 2, Riverdale, MD 20737–1231; (301) 734– 5960. FOR FURTHER INFORMATION CONTACT: Agricultural Bioterrorism Protection Act of 2002; Biennial Review and Republication of the Select Agent and Toxin List; Amendments to the Select Agent and Toxin Regulations VerDate Mar<15>2010 and Development, PPD, APHIS, Station 3A–03.8, 4700 River Road Unit 118, Riverdale, MD 20737–1238. Supporting documents and any comments we receive on this docket may be viewed at https:// www.regulations.gov/ #!docketDetail;D=APHIS-2009-0070 or in our reading room, which is located in room 1141 of the USDA South Building, 14th Street and Independence Avenue SW., Washington, DC. Normal reading room hours are 8 a.m. to 4:30 p.m., Monday through Friday, except holidays. To be sure someone is there to help you, please call (202) 690–2817 before coming. Done in Washington, DC, this 12th day of December 2011. Kevin Shea, Acting Administrator, Animal and Plant Health Inspection Service. [FR Doc. 2011–32240 Filed 12–14–11; 8:45 am] BILLING CODE 3410–34–P PO 00000 Frm 00001 Fmt 4702 Sfmt 4702 DEPARTMENT OF ENERGY 10 CFR Parts 429 and 431 [Docket No. EERE–2010–BT–TP–0044] RIN 1904–AC37 Energy Conservation Program for Certain Commercial and Industrial Equipment: Test Procedures for HighIntensity Discharge Lamps Office of Energy Efficiency and Renewable Energy, Department of Energy. ACTION: Notice of proposed rulemaking. AGENCY: The U.S. Department of Energy (DOE) proposes to establish its test procedures for high-intensity discharge (HID) lamps under the Energy Policy and Conservation Act of 1975 (EPCA), as amended. The proposed test procedures are based on industry standard procedures and practices already established by the American National Standards Institute (ANSI), the Illuminating Engineering Society of North America (IES), and the International Commission on Illumination (Commission Internationale de l’Eclairage (CIE)). The proposed test procedures would include measurement of parameters to enable calculation of lamp efficacy (in lumens per watt or lm/W), and would also provide for the efficiency measurement of directional lamps using center beam intensity (in candelas) and beam angle. The proposed procedures would also measure lumen maintenance (i.e., the fraction or percentage of lamp light output relative to initial output, over time) at 40 percent and 70 percent of rated lamp lifetime. Correlated color temperature (CCT) and color rendering index (CRI) would also be measured as potential means to delineate equipment classes for HID lamps. This notice of proposed rulemaking (NOPR) also discusses DOE’s conclusion that HID lamps do not operate or use energy in standby mode or off mode. Therefore, DOE does not propose test procedures for these modes. DATES: DOE will hold a public meeting on Thursday, January 19, 2012, from 9 a.m. to 2 p.m., in Washington, DC. The meeting will also be broadcast as a webinar. See section V, ‘‘Public Participation,’’ for webinar registration information, participant instructions, SUMMARY: E:\FR\FM\15DEP1.SGM 15DEP1 pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules and information about the capabilities available to webinar participants. DOE will accept comments, data, and information regarding this NOPR before and after the public meeting, but no later than February 28, 2012. See section V, ‘‘Public Participation,’’ for details. ADDRESSES: The public meeting will be held at the U.S. Department of Energy, Forrestal Building, Room 8E–089 1000 Independence Avenue SW., Washington, DC 20585. To attend, please notify Ms. Brenda Edwards at (202) 586–2945. Please note that foreign nationals visiting DOE Headquarters are subject to advance security screening procedures. Any foreign national wishing to participate in the meeting should advise DOE as soon as possible by contacting Ms. Brenda Edwards at (202) 586–2945 to initiate the necessary procedures. Please also note that those wishing to bring laptop computers into the Forrestal Building will be required to obtain a property pass. Visitors should avoid bringing laptop computers, or allow an extra 45 minutes for security screening procedures. Persons can attend the public meeting via webinar. For more information, refer to the Public Participation section near the end of this notice. Any comments submitted must identify the NOPR for test procedures for high-intensity discharge lamps, and provide docket number EERE–2010– BT–TP–0044 and/or regulatory information number (RIN) 1904–AC37. Comments may be submitted using any of the following methods: 1. Federal eRulemaking Portal: http: //www.regulations.gov. Follow the instructions for submitting comments. 2. Email: HIDLamps-2010-TP0044@ee.doe.gov. Include the docket number EERE–2010–BT–TP–0044 and/ or RIN 1904–AC37 in the subject line of the message. 3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Program, Mailstop EE–2J, 1000 Independence Avenue SW., Washington, DC 20585–0121. If possible, please submit all items on a CD. It is not necessary to include printed copies. 4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Program, 950 L’Enfant Plaza SW., Suite 600, Washington, DC 20024. Telephone: (202) 586–2945. If possible, please submit all items on a CD. It is not necessary to include printed copies. For detailed instructions on submitting comments and additional information on the rulemaking process, VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 see section V of this document (Public Participation). Docket: The docket is available for review at https://www.regulations.gov, including Federal Register notices, framework documents, public meeting attendee lists and transcripts, comments, and other supporting documents/materials. All documents in the docket are listed in the https:// www.regulations.gov index. However, not all documents listed in the index may be publicly available, such as information that is exempt from public disclosure. A link to the docket web page can be found at: https://www1.eere.energy.gov/ buildings/appliance_standards/ commercial/ high_intensity_discharge_lamps.html. 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. See section V for information on how to submit comments through regulations.gov. FOR FURTHER INFORMATION CONTACT: Dr. Tina Kaarsberg, 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) 287–1393. Email: Tina.Kaarsberg@ee.doe.gov. Ms. Elizabeth Kohl or Ms. Jennifer Tiedeman, U.S. Department of Energy, Office of the General Counsel, GC–71, 1000 Independence Avenue SW., Washington, DC 20585–0121. Telephone: (202) 586–7796 or (202) 287–6111. Email: Elizabeth.Kohl@hq.doe.gov or Jennifer.Tiedeman@hq.doe.gov. SUPPLEMENTARY INFORMATION: I. Background and Authority II. Summary of the Notice of Proposed Rulemaking III. Discussion A. Definitions 1. Definitions Relevant to High-Intensity Discharge Lamps 2. Definition of ‘‘Ballast Efficiency’’ for Metal Halide Lamp Fixtures 3. Definition of ‘‘Basic Model’’ for HighIntensity Discharge Lamps B. Test Procedure for Measuring Energy Efficiency of High-Intensity Discharge Lamps 1. Test Setup and Conditions a. Ambient Conditions i. Ambient Test Temperature ii. Air Speed b. Power Supply Characteristics i. Voltage Waveshape ii. Voltage Regulation iii. Power Supply Impedance PO 00000 Frm 00002 Fmt 4702 Sfmt 4702 77915 c. Reference Ballasts d. Instrumentation i. Instrumentation Required for Electrical Measurement ii. Instrumentation for Photometric Measurement 2. Lamp Selection and Setup a. Basic Model b. Sampling Plans c. Lamp Aging and Stabilization d. Lamp/Circuit Transfer e. Lamp Orientation 3. Special Considerations for Directional Lamps C. Laboratory Accreditation Program D. Test Measurements and Calculations 1. Measurement and Calculation of Efficacy 2. Measurement and Calculation of Center Beam Intensity and Beam Angle 3. Test Method for Measuring Lumen Maintenance 4. Measurement and Calculation of Correlated Color Temperature and Color Rendering Index E. Standby Mode and Off Mode Energy Usage F. Effective Date and Compliance Date to the Test Procedures and Compliance Date for Submitting High-Intensity Discharge Certification Reports 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 the Treasury and General Government Appropriations Act, 2001 K. Review Under Executive Order 13211 L. Review Under Section 32 of the Federal Energy Administration Act of 1974 V. Public Participation A. Attendance at Public Meeting B. Procedure for Submitting Prepared General Statement for Distribution C. Conduct of Public Meeting D. Submission of Comments E. Issues on Which DOE Seeks Comment 1. Definitions 2. Ambient Test Temperatures 3. Air Speed 4. Power Supply Characteristics 5. Reference Ballasts 6. Instrumentation 7. Sampling Plans 8. Lamp Aging and Stabilization 9. Lamp/Circuit Transfer 10. Lamp Orientation 11. Special Consideration for Directional Lamps 12. Laboratory Accreditation Program 13. Test Measurements and Calculations 14. Small Entities VI. Approval of the Office of the Secretary I. Background and Authority Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291, et E:\FR\FM\15DEP1.SGM 15DEP1 77916 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 seq.; ‘‘EPCA’’ or, ‘‘the Act’’) sets forth a variety of provisions designed to improve energy efficiency. (All references to EPCA refer to the statute as amended through the Energy Independence and Security Act of 2007 (EISA 2007), Public Law 110–140 (Dec. 19, 2007)). Part B of title III (42 U.S.C. 6291–6309) establishes the ‘‘Energy Conservation Program for Consumer Products Other Than Automobiles.’’ Part C of title III, ‘‘Certain Industrial Equipment’’ (42 U.S.C. 6311–6317), establishes an energy conservation program for such equipment. (For editorial reasons, Parts B and C were redesignated as Parts A and A–1 on codification in the U.S. Code). While HID lamps are defined in 42 U.S.C. 6291(46), DOE is required to set standards for HID lamps in 42 U.S.C. 6317(a)(1)). Therefore, DOE has determined that the provisions of Part C are applicable to HID lamps. Under EPCA, this program consists essentially of four parts: (1) Testing; (2) labeling; and (3) Federal energy conservation standards; and (4) certification, compliance, and enforcement. The testing requirements consist of test procedures that manufacturers of covered equipment must use (1) As the basis for certifying to DOE that their equipment complies with the applicable energy conservation standards adopted under EPCA (42 U.S.C. 6295(s) and 6316(a)); and (2) for making representations about the efficiency of this equipment (42 U.S.C. 6315(b)). Similarly, DOE must use these test requirements to determine whether the equipment complies with any relevant standards promulgated under EPCA. (42 U.S.C. 6295(s) and 6316(a)(1)) General Test Procedure Rulemaking Process Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures DOE must follow when prescribing or amending test procedures for covered equipment. EPCA provides in relevant part that any test procedures prescribed or amended under this section shall be reasonably designed to produce test results that measure energy efficiency, energy use, or estimated annual operating cost of a covered product or equipment during a representative average use cycle or period of use, as determined by the Secretary of Energy (Secretary), and shall not be unduly burdensome to conduct. (42 U.S.C. 6314(a)(2)) EPCA requires DOE to prescribe test procedures for HID lamps within 30 months of determining that energy conservation standards are technologically feasible and economically justified, and would result VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 in significant energy savings. (42 U.S.C. 6317(a)(1)) DOE published a positive final notice of determination (determination) regarding HID lamps on July 1, 2010, concluding that energy conservation standards for certain HID lamps are technologically feasible and economically justified, and would likely result in significant energy savings. 75 FR 37975. DOE intends to publish any final HID lamp test procedures by January 1, 2013. In today’s NOPR, DOE proposes to establish test procedures for HID lamps based on industry standards pertaining to HID lamp measurements. II. Summary of the Notice of Proposed Rulemaking The proposed test procedures include methods to determine lamp power and lumen output 1 (lamp efficacy in lumens per watt), and would also provide for the efficiency measurement of directional lamps using center beam intensity (in candelas 2) 3 and beam angle. The proposed procedures would also measure lumen maintenance (i.e., the percentage of lamp light output relative to initial output, over time) 4 at 40 percent and 70 percent of rated lamp lifetime. CCT and CRI would also be measured because DOE may consider delineating HID equipment classes using these metrics. Efficacy of HID lamps is calculated based on the measured lumen output and the measured input electrical power. DOE proposes that the input power measurements be performed using the measurement methods for lamp current and voltage prescribed in American National Standards Institute (ANSI) C78.389–2006 (C78.389), ‘‘Electric Lamps—High Intensity Discharge—Methods of Measuring Characteristics,’’ and the measurement method for lumen output prescribed in Illuminating Engineering Society of North America (IES) LM–51 (LM–51), ‘‘Approved Method for the Electrical and Photometric Measurements of High Intensity Discharge Lamps,’’ and the measurement method for luminous intensity prescribed in ANSI C78.379– 2006 (C78.379), ‘‘For Electric Lamps— Classification of Beam Patterns of 1 A lumen is a unit of light output weighted to the spectral response of the human eye. 2 One candela is equal to one lumen per steradian. 3 Center beam intensity is synonymous with centerbeam candlepower (commonly abbreviated as CBCP). Candlepower is now an obsolete term, but equates directly to the candela. 4 Lumen maintenance is the percentage or fraction of initial lumens. The higher the lumen maintenance value (closer to 1.00), the more the source maintains the initial efficacy at the point time measured. PO 00000 Frm 00003 Fmt 4702 Sfmt 4702 Reflector Lamps.’’ DOE also proposes that lamp current, voltage, and lumen output measurements be performed while operating the lamp with an appropriately rated reference ballast.5 DOE proposes that lumen maintenance measurements be performed using the measurement methods prescribed in IES LM–47 (LM–47), ‘‘IESNA Approved Method for Life-Testing of HID Lamps.’’ Under DOE’s proposal, CCT and CRI would be obtained from spectroradiometric measurements of the light output in the visible spectrum.6 CCT and CRI would be calculated by numerical evaluation of the color characteristics as prescribed in International Commission on Illumination (Commission Internationale de l’Eclairage (CIE)) 13.3 and CIE 15 using spectroradiometric measurement data. The following industry standards and test procedures relevant to this NOPR are proposed to be incorporated by reference into the HID test procedure at 10 CFR part 431, subpart Y: 1. ANSI C78.379–2006, ‘‘For Electric Lamps—Classification of Beam Patterns of Reflector Lamps’’; 2. ANSI C78.389–R2009, ‘‘For Electric Lamps—High Intensity Discharge— Methods of Measuring Characteristics’’ (sections 1.0, 2.0, 3.0, and Figure 1); 3. CIE 13.3–1995 (CIE 13.3), ‘‘Technical Report: Method of Measuring and Specifying Colour Rendering Properties of Light Sources’’; 4. CIE 15:2004 (CIE 15), ‘‘Technical Report: Colorimetry’’; 7 5. IES LM–47–01, ‘‘Approved Method for Life Testing of High Intensity Discharge (HID) Lamps’’; and 6. IES LM–51–00, ‘‘Approved Method for the Electrical and Photometric Measurements of High Intensity Discharge Lamps’’ (sections 1.0, 3.2, 9.0, 10.0, 11.0, and 12.0). As discussed in further detail in section III.E, DOE has concluded that HID lamps (without ballasts) are incapable of either standby mode or off mode energy use. HID lamps do not have additional features besides light output and thereby cannot operate in standby mode. HID lamps cannot be in off mode because there is no condition in which the lamp is connected to the 5 An appropriately rated reference ballast provides specified power, voltage, and current required to operate the lamp. Its ballast and power supply specifications are from data sheets listed by the references in ANSI C78.389. They are intended to provide reasonable stringency in terms of power quality and to ensure repeatable and consistent electrical measurements. 6 Spectroradiometry is the measurement of the spectral content of a radiating source as a function of wavelength. 7 ‘‘Colorimetry’’ referenced is the science and technology of human color perception. E:\FR\FM\15DEP1.SGM 15DEP1 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules main power source (via the ballast) and is not in a mode already accounted for in either active mode or standby mode. Therefore, DOE does not propose measurement methods to determine energy use in either standby mode or off mode for HID lamps. pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 III. Discussion DOE proposes to require measurement of both photometric and electrical characteristics of HID lamps to calculate HID lamp efficacy. DOE reviewed ANSI C78.379, ANSI C78.389, CIE 13.3, CIE 15, IES LM–47, and IES LM–51 in developing the proposed test procedures for HID lamps. From these industry test procedures, DOE proposes lamp selection, test setup, and test conditions for HID lamps. The proposed photometric measurement methods for lamp light output (also referred to as luminous flux) for omni-directional lamps, measured in lumens, and luminous intensity for directional lamps, measured in candelas,8 are detailed in LM–51. CCT and CRI typically are derived from spectroradiometric measurement of lamp light output. Color measurement and calculation of CCT are detailed in CIE 15. Calculation of CRI is detailed in CIE 13.3. The proposed electrical measurement methods are provided in ANSI C78.389 and include line voltage, lamp voltage, current (measured in amperes), and lamp electrical power input (measured in watts). Under ANSI C78.389, electrical measurements are to be performed when operating the lamp with an appropriately rated reference ballast that provides specified power, voltage, and current required to operate the lamp as stated in data sheets referenced by ANSI C78.389. The reference ballast itself is to be operated from a power supply with specified voltage and impedance requirements. Reference ballast and power supply specifications, set forth in the standards referenced by ANSI C78.389, are intended to provide a level of power quality that enables repeatable and consistent electrical measurements. DOE further proposes that, prior to any measurement, lamps be stabilized by the methods specified for each lamp type in ANSI C78.389, section 3.7. A lamp is considered to be stabilized when successive electrical characteristic measurements remain within a given percentage range over a given period of time. There is some variation in the 8 Center beam intensity is the intensity at nadir (directly in front of the lamp). Luminous intensity is the output in candelas at multiple angles beyond nadir and is how beam angle is calculated. VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 ANSI measurement procedure to determine lamp stabilization proposed for the three types of HID lamps— mercury vapor (MV), high-pressure sodium (HPS), and metal halide (MH). For MV lamps, electrical characteristic measurement values must remain within 1 percent of each other for three consecutive measurements over a 15 minute period. For HPS lamps, electrical characteristic measurement values must also remain within 1 percent of each other for three consecutive measurements spaced 10– 15 minutes apart. For MH lamps, electrical characteristic measurement values may vary up to 3 percent of each other for three consecutive measurements spaced 10–15 minutes apart. In accordance with the stabilization methods in ANSI C78.389, DOE specifies a lamp aging time and burning position, as described in section III.D. DOE further proposes that all test measurements be performed at an ambient temperature of 25 °C ± 5 °C with an interior air speed rate of less than or equal to 0.5 meters/second. The following sections set forth proposed definitions for the HID test procedure, detailed discussion of the proposed test method, and proposed laboratory accreditation requirements. A. Definitions In today’s proposed rule, DOE proposes definitions for the following terms based on the EPCA definitions of these terms: ‘‘ballast’’ (42 U.S.C. 6291(58)), ‘‘color rendering index’’ (42 U.S.C. 6291(30)(J)), ‘‘correlated color temperature’’ (42 U.S.C. 6291(30)(K)), ‘‘high-intensity discharge lamp’’ (42 U.S.C. 6291(46)), ‘‘mercury vapor lamp’’ (42 U.S.C. 6291(47)(A)), and ‘‘metal halide lamp’’ (42 U.S.C. 6291(63)). As explained in section III.A.1, DOE also proposes to adopt definitions of ‘‘beam angle,’’ ‘‘directional lamp,’’ ‘‘high-pressure sodium lamp,’’ ‘‘lamp electrical power input,’’ ‘‘lamp wattage,’’ ‘‘lumen maintenance,’’ ‘‘rated luminous flux or rated lumen output,’’ and ‘‘self-ballasted lamp.’’ Many of the proposed definitions are identical or very similar to the definitions set forth in 10 CFR part 430 for consumer products. As discussed in section III.A.2, DOE also proposes to amend the definition of ‘‘ballast efficiency.’’ As discussed in III.A.3, DOE proposes a definition of ‘‘basic model’’ for HID lamps. 1. Definitions Relevant to High-Intensity Discharge Lamps In this NOPR, DOE proposes to define the following terms: ‘‘beam angle,’’ PO 00000 Frm 00004 Fmt 4702 Sfmt 4702 77917 ‘‘directional lamp,’’ ‘‘high-pressure sodium lamp,’’ ‘‘lamp efficacy,’’ ‘‘lamp electrical power input,’’ ‘‘lamp wattage,’’ ‘‘lumen maintenance,’’ ‘‘rated luminous flux or rated lumen output,’’ and ‘‘self-ballasted lamp.’’ DOE proposes to define ‘‘beam angle’’ as follows: ‘‘ ‘Beam angle’ means the beam angle (or angles) as measured according to the requirements of ANSI C78.379, including complex beam angles as described in ANSI C78.379.’’ DOE proposes to define ‘‘directional lamp’’ as follows: ‘‘ ‘Directional lamp’ means a lamp emitting at least 80 percent of its light output within a solid angle of p steradians (corresponding to a cone with an angle of 120 degrees).’’ 9 DOE proposes to define ‘‘highpressure sodium lamp’’ as follows: ‘‘ ‘High-pressure sodium (HPS) lamp’ means a high-intensity discharge lamp in which the major portion of the light is produced by radiation from sodium vapor operating at a partial pressure of about 6,670 pascals (approximately 0.066 atmospheres or 50 torr) or greater.’’ By including pressure equivalents in both atmospheres and torr, DOE’s proposed definition would harmonize with the existing statutory definition of ‘‘mercury vapor lamp,’’ which includes both units of pressure (pascals and atmospheres). (42 U.S.C. 6291(47)(A)) 10 DOE proposes to adopt a definition for ‘‘lamp efficacy’’ similar to that set 9 DOE reviewed definitions for directional lamps with optical characteristic similar to those of HID directional lamps (e.g., incandescent reflector lamps) and found that definitions for reflector lamps typically focus on the construction of the lamp and not the direction in which the light leaves the lamp. 10 CFR 430.2 Existing HID lamps that are considered directional are offered in various bulb shapes (e.g., R40, R111, PAR 20, PAR 30, and PAR 38), and future lamps may take different nonconforming shapes and forms while providing similar light output delivery. Therefore the proposed DOE definition is based on the directional delivery of light output and not the construction of the lamp. The proposed definition of ‘‘directional lamp’’ is based on the European Union definition (Commission Regulation (EC) No 244/2009, O.J. L 76, 24 March 2009). 10 DOE proposes to define ‘‘high-pressure sodium lamp’’ based on a comment from the National Electrical Manufacturers Association (NEMA) in response to the HID lamps notice of proposed determination, 75 FR 22031, 22033 (April 27, 2010), and discussed in the HID lamps final determination, 75 FR 37975, 37977 (July 1, 2010). NEMA recommended that DOE adopt the definition for ‘‘HPS lamps’’ from ANSI C82.9–1996, ‘‘American National Standard for High-Intensity Discharge and Low-Pressure Sodium Lamps, Ballasts and Transformers—Definitions (ANSI C82.9).’’ (Docket No. EERE–2006–DET–0112, NEMA, No. 0021.1 at p. 3) Under subsection 3.27, ‘‘Definitions,’’ ANSI C82.9–1996 defines ‘‘HPS lamp’’ as ‘‘[a] high-intensity-discharge (HID) lamp in which the major portion of the light is produced from radiation from sodium vapor operating at a partial pressure of about 6.67 × 103 pascals (50 torr) or greater.’’ DOE proposes to adopt a similar definition. E:\FR\FM\15DEP1.SGM 15DEP1 77918 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 forth at 10 CFR part 430, subpart B, appendix R,11 where DOE defines ‘‘lamp efficacy’’ as ‘‘the ratio of measured lamp lumen output in lumens to the measured lamp electrical power input in watts, rounded to the nearest tenth, in units of lumens per watt.’’ DOE proposes in this rulemaking to replace ‘‘lamp lumen output’’ with ‘‘rated luminous flux or rated lumen output’’ and to add the abbreviation ‘‘lm/W’’ after ‘‘lumens per watt.’’ The term ‘‘rated luminous flux or rated lumen output’’ is consistent with DOE’s proposed definition for ‘‘lumen maintenance,’’ and means the same thing as ‘‘lamp lumen output.’’ Therefore, DOE proposes to define ‘‘lamp efficacy’’ as follows: ‘‘ ‘Lamp efficacy’ means the ratio of rated lumen output (or rated luminous flux) to the measured lamp electrical power input in watts, rounded to the nearest tenth, in units of lumens per watt (lm/W).’’ 12 DOE proposes to define ‘‘lamp electrical power input’’ as follows: ‘‘ ‘Lamp electrical power input’ means the total electrical power input to the lamp, including both arc and cathode power where appropriate, at the reference condition, in units of watts.’’ This definition is the same as that set forth at 10 CFR part 430, subpart B, appendix R. DOE proposes the following definition for ‘‘lamp wattage’’ in this rulemaking: ‘‘ ‘Lamp wattage’ means the total electrical power required by a lamp in watts, measured following the initial aging period referenced in the relevant industry standard.’’ (42 U.S.C. 6291(30)(O)) 13 DOE proposes a definition for ‘‘lumen maintenance’’ as follows: ‘‘ ‘Lumen maintenance’ means the luminous flux or lumen output at a given time in the life of the lamp and expressed as a percentage of the rated luminous flux or rated lumen output, respectively.’’ This 11 10 CFR 430.2 defines lamp efficacy as ‘‘the measured lumen output of a lamp in lumens divided by the measured lamp electrical power input in watts expressed in units of lumens per watt (LPW).’’ 10 CFR part 430, subpart B, appendix R defines it as ‘‘the ratio of measured lamp lumen output in lumens to the measured lamp electrical power input in watts, rounded to the nearest tenth, in units of lumens per watt.’’ The primary difference between the definitions is the rounding of the values. 12 DOE notes that EPCA defines ‘‘lamp efficacy’’ to mean the lumen output of a lamp divided by its wattage, expressed in lumens per watt. This proposed definition interprets the EPCA definition for this rulemaking. 13 The EPCA definition for ‘‘lamp wattage’’ is ‘‘the total electrical power consumed by a lamp in watts, after the initial seasoning period referenced in the appropriate IES standard test procedure and including, for fluorescent, arc watts plus cathode watts.’’ This proposed definition interprets the EPCA definition for this rulemaking. VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 definition is the same as that set forth at 10 CFR part 430, subpart B, appendix W, section (2)(c). DOE proposes a definition for ‘‘rated luminous flux or rated lumen output’’ as follows: ‘‘ ‘Rated luminous flux or rated lumen output’ means the initial lumen rating (100 hour) declared by the manufacturer, which consists of the lumen rating of a lamp at the end of 100 hours of operation.’’ 14 This is the same definition as is set forth at 10 CFR part 430, subpart B, appendix W, section (2)(d). DOE proposes to define ‘‘selfballasted lamp’’ 15 based on the definition for ‘‘self-ballasted CFL lamp’’ found in 10 CFR 430 subpart B, appendix W, section (2)(h), as follows: ‘‘ ‘Self-ballasted lamp’ means a lamp unit that incorporates all elements that are necessary for the starting and stable operation of the lamp in a permanent enclosure, and that does not include any replaceable or interchangeable parts.’’ 2. Definition of ‘‘Ballast Efficiency’’ for Metal Halide Lamp Fixtures DOE proposes an amended definition of ‘‘ballast efficiency’’ for metal halide lamp fixtures, currently set forth at 10 CFR 431.322, to correspond to the definitions proposed in section III.B.1. Currently, ‘‘ballast efficiency’’ for a high-intensity discharge fixture means, in relevant part, the efficiency of a lamp and ballast combination, expressed as a percentage, and calculated in accordance with the following formula: Efficiency = Pout/Pin where: (1) Pout equals the measured operating lamp wattage; (2) Pin equals the measured operating input wattage;’’ 10 CFR 431.322 16 The meaning of the term ‘‘Pout’’ as currently defined for ballast efficiency is the same as DOE is proposing for ‘‘lamp electrical power input.’’ To avoid confusion where ‘‘Pout’’ refers to the lamp wattage when testing a ballast for HID fixtures, and ‘‘lamp electrical power input’’ refers to lamp wattage when testing a HID lamp, DOE proposes to amend the definition of ‘‘ballast 14 Luminous flux is the numerator in the lamp efficacy equation. 15 Self-ballasted lamps have different characteristics from lamps that work with an external ballast. This definition is required to distinguish this lamp type. 16 EPCA provides a similar definition for the ballast efficiency of an HID ballast and authorizes DOE to modify the definition as necessary or appropriate to carry out the purposes of EPCA. (42 U.S.C. 6291(59)) DOE proposes the amended definition for HID fixtures in accordance with this provision of EPCA because the proposed definition would eliminate ambiguity in the terms used to measure energy efficiency for HID fixtures. PO 00000 Frm 00005 Fmt 4702 Sfmt 4702 efficiency’’ as follows: ‘‘ ‘Ballast efficiency’ means, in the case of a highintensity discharge fixture, the efficiency of a lamp and ballast combination, expressed as a percentage, and calculated in accordance with the following formula: Efficiency = Lamp electrical power input/Ballast power input where: (1) Lamp electrical power input means the total electrical power input to the lamp, including both arc and cathode power where appropriate, at the reference condition, units of watts; (2) Ballast power input equals the measured operating input wattage; (3) The lamp, and the capacitor when the capacitor is provided, shall constitute a nominal system in accordance with the ANSI C78.43 (incorporated by reference; see § 431.323); (4) For ballasts with a frequency of 60 Hz, ballast power input and lamp electrical power input shall be measured after lamps have been stabilized according to section 4.4 of ANSI C82.6 (incorporated by reference; see § 431.323) using a wattmeter with accuracy specified in section 4.5 of ANSI C82.6; and (5) For ballasts with a frequency greater than 60 Hz, ballast power input and lamp electrical power input shall have a basic accuracy of ±0.5 percent at the higher of either 3 times the output operating frequency of the ballast or 2.4 kHz.’’ 3. Definition of ‘‘Basic Model’’ for HighIntensity Discharge Lamps DOE also proposes a definition of ‘‘basic model’’ for the HID lamp test procedures. DOE provides extensive discussion of the concept of ‘‘basic model’’ in the 2010 NOPR for certification, compliance, and enforcement. 75 FR 56796, 56798–99 (Sept. 16, 2010). DOE proposes to define ‘‘basic model’’ for HID lamps as follows: ‘‘ ‘Basic model’ with respect to HID lamps means all units of a given type of covered equipment (or class thereof) manufactured by one manufacturer, having the same primary energy source and which have essentially identical electrical, physical, and functional (or hydraulic) characteristics that affect energy consumption, energy efficiency, water consumption, or water efficiency, and are rated to operate a given lamp type and wattage.’’ DOE invites comment on the definitions set forth in this section. E:\FR\FM\15DEP1.SGM 15DEP1 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules B. Test Procedure for Measuring Energy Efficiency of High-Intensity Discharge Lamps 1. Test Setup and Conditions The proposed test procedures adopt the methods and safety precautions set forth in ANSI C78.389 and LM–51 to obtain consistent and reproducible measurements of the electrical and photometric characteristics of HID lamps. In particular, the lamps being tested are to be operated at the specified conditions (i.e., tested at a given temperature and air speed), with the appropriate power supply characteristics, the lamps operating on the reference circuit before measurements are taken, and the appropriate instrumentation. Each of these factors is described in the following discussion. Lamp stabilization and aging are discussed in section III.B.2, Lamp Selection and Setup. As stated previously, photometric characteristics proposed to be measured are total luminous flux (lumens), luminous intensity (candelas), CCT, and CRI. Lamp electrical characteristics proposed to be measured are those required to calculate lamp efficacy during normal operation (e.g., line voltage, lamp voltage, input current, and lamp electrical power input). All measured quantities are proposed to be obtained using an appropriately rated reference ballast or power source whose characteristics are within the required specifications listed in section III.B.1.c. The test equipment required to conduct all the test procedures’ electric and photometric measurements is proposed to be calibrated and meet the required performance specifications in ANSI C78.389 and LM–51. pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 a. Ambient Conditions The test apparatus must be operated in a location where ambient conditions (e.g., ambient temperature and air speed) are stable, in accordance with the specifications listed as follows. i. Ambient Test Temperature DOE proposes an ambient temperature requirement of 25 °C ± 5 °C for HID lamp testing in accordance with ANSI C78.389. This is the industry standard temperature for testing most ballasted and non-ballasted light sources (both HID and other types of sources). It is also the temperature required by the MH lamp ballast 17 test procedures final rule. 75 FR 10950, 10956 (March 9, 2010). Although HID lamps are not as sensitive as other 17 MH (metal halide) is one of the three types of HID lamps. VerDate Mar<15>2010 18:14 Dec 14, 2011 Jkt 226001 77919 lamps to temperature, temperature still affects their performance such that it could affect test results. A specific, standardized, temperature allows for the use of relative photometry for light fixtures. Thus, an ambient temperature requirement of 25 °C ± 5 °C is followed in industry standards and practices for HID lamps. DOE invites comment on the proposed ambient temperature requirement. adopt for HID lamp testing the air speed limit of ≤ 0.5 m/s used for testing MH lamp ballasts (75 FR at 10957 (March 9, 2010)) and invites comment on this proposed requirement. ii. Air Speed DOE proposes an air speed limit of ≤ 0.5 meters per second (m/s) for HID lamp testing because, as detailed in the following, higher air speeds affect photometric and electrical data measurements. Although LM–51, section 2.3, states that special precautions against normal room air movements are unnecessary, ANSI C78.389, section 3.3, states that ambient conditions shall be draft-free (but provides no definition of the term ‘‘draft-free’’). During the public meeting for the MH lamp ballast test procedures NOPR, the National Electrical Manufacturers Association (NEMA) requested a definition of ‘‘draft-free.’’ (Docket No. EERE–2008–BT–TP–0017, NEMA, No. 0013 at p. 13) 18 Following the public meeting and comment period, DOE received a comment from NEMA requesting that DOE either define ‘‘draft-free’’ or remove it from the MH lamp ballast test procedures. (Docket No. EERE–2008–BT–TP–0017, NEMA, No. 0024 at p. 3) In preparing the MH lamp ballast test procedures final rule, DOE reviewed industry test procedures for the topic of air speed. (Various documents use different terms; therefore, DOE also specifically reviewed the terms ‘‘airflow’’ and ‘‘air movement.’’) 75 FR at 10956 (March 9, 2010). DOE found that air speed requirements varied, with some industry test procedures using nonquantitative terms such as ‘‘still air’’ or ‘‘draft free.’’ This proposed HID lamps air speed requirement is the same as the MH lamp ballast testing requirement. DOE’s view is that specifying a maximum air speed requirement as part of the test conditions acknowledges industry practices intended to minimize forced convection cooling that could affect measured photometric and electrical data. Thus, DOE proposes to i. Voltage Waveshape 18 A notation in this form provides a reference for information that is in the docket of DOE’s rulemaking to develop test procedures for metal halide lamp ballasts (Docket No. EERE–2008–BT– TP–0017), which is maintained at https:// www.regulations.gov. This notation indicates that the statement preceding the reference is document number 0013 in the docket for the metal halide lamp ballasts test procedures rulemaking, and appears at page 13 of that document. PO 00000 Frm 00006 Fmt 4702 Sfmt 4702 b. Power Supply Characteristics DOE proposes power supply characteristics for HID lamps test procedures based on ANSI C78.389 and LM–51, as follows. DOE proposes to adopt the waveshape requirements set forth in ANSI C78.389 for HID lamp testing. DOE proposes that any lamp being tested be operated with a sinusoidal voltage supply waveshape as recommended by ANSI C78.389, section 3.2, which states that the waveshape of the power supply shall have a root-mean-square (RMS) 19 summation of the harmonic components that remains below 3 percent of the fundamental frequency (i.e., the lowest frequency of the waveform). DOE invites comment on these proposed voltage waveshape requirements. ii. Voltage Regulation DOE proposes to adopt the voltage regulation requirements set forth in LM– 51, section 3.2, for HID lamp testing, which states that the voltage regulation shall be within ± 0.1 percent. DOE also considered ANSI C78.389, section 3.2, which states that the power supply voltage should be regulated such that it will be steady and free of sudden changes (e.g., noise, line transients) and shall be regulated to within ± 0.5 percent of the reference ballast voltage rating. ANSI C78.389, section 3.2, also notes that if automatic voltage regulation is not provided, constant checking and readjustments of the supply will be necessary for accurate lamp test measurements. DOE proposes to use the LM–51 requirement for voltage regulation, however, to minimize variations in electrical and photometric measurements and provide more consistent test measurements. DOE proposes that voltage regulation be within ± 0.1 percent of the reference ballast voltage rating. DOE invites comment on the voltage requirements proposed. iii. Power Supply Impedance For HID lamp testing, DOE proposes to adopt the power supply impedance 19 RMS—is the root-mean-square and comes from a mathematical formula that calculates the ‘‘effective’’ value of any alternating current wave shape. ‘‘True’’ means that the RMS is calculated to the formula where ‘‘average responding’’ use scaling function to calculate the value. ‘‘True’’ is the more accurate type. E:\FR\FM\15DEP1.SGM 15DEP1 77920 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules measurement method and impedance limit specified in ANSI C78.389, section 3.2, which requires that power supply impedance remain at or below 2 percent of the reference ballast impedance, measured at the point where the reference ballast and lamp are connected. This method requires that variable autotransformers or other voltage transformation devices have kilovolt-ampere ratings of at least five times the lamp wattage. DOE invites comment on this proposed power supply impedance measurement method and impedance limit. pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 c. Reference Ballasts DOE proposes to adopt the reference ballast requirements of ANSI C78.389 for HID lamp testing. For HID lamp measurements (electrical and photometric), ANSI C78.389, section 3.4, requires that tested lamps be operated with (1) An appropriately rated reference ballast or (2) a reference ballast with variable impedance that can be set to match the impedance and electrical requirements for each lamp type to be tested. ANSI C78.389 states that the reference ballast should have the impedance and the electrical characteristics required by the lamp being tested to prevent the measured characteristics from differing from those stated by the lamp manufacturer. DOE notes that a ballast with different electrical characteristics, regardless of its impedance, can materially alter the measured electrical characteristics of the lamp.20 If electrical readings are to be taken on a lamp for which no ANSI standard exists, DOE proposes that the HID reference ballast have impedance appropriate for the lamp as specified in the standards incorporated by reference in ANSI C78.389. DOE has determined that reference ballasts are readily available, based on review of industry literature, communication with independent testing laboratories, and communication with industry, and that their use is likely to provide repeatable and consistent measurements. DOE invites comment on its proposed reference ballast requirements based on ANSI C78.389. d. Instrumentation DOE proposes to adopt the electrical and photometric instrumentation requirements of ANSI C78.389 and LM– 51, respectively, for its HID lamp test procedures. The instruments proposed 20 ANSI C78.389 states that measuring lamp characteristics using ballasts other than reference ballasts produces results that are not consistent with these test procedures and are only valid for the ballast and circuit used to obtain the results. VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 here for electrical measurements are described in ANSI C78.389, section 3.8. The instruments proposed here for photometric instruments are described in LM–51, section 9.0. These instrumentation requirements for electrical and photometric measurements are detailed in the following sections. i. Instrumentation Required for Electrical Measurement DOE proposes that instruments used for electrical measurements be accurate to better than 0.75 percent over a frequency range of 40 to 1000 Hz, with calibration capability (e.g., scale calibration). These accuracy and range requirements are the same as the industry requirement in ANSI C78.389, section 3.8.1. DOE also proposes that instrument impedance be high compared to the load impedance (high impedance is typically in the megaohm range) for voltage measurements, and low compared to the load impedance (low impedance is typically in the milliohm range) for current measurements to reduce the effects of the measurement instrumentation in the circuit. Specifically, for lamp current measurements, instruments connected in series with the HID lamp being tested would have an impedance such that the voltage drop remains at or below 2 percent (1 percent for HPS lamps) of the rated lamp voltage under the proposal, unless the instrument impedance has already been included as part of the reference ballast impedance. If corrections for the presence of instrumentation in the circuit are to be avoided, the voltage drop shall be at or below 0.75 percent (0.50 percent for HPS lamps) of the rated lamp voltage. For lamp voltage measurements, instruments connected in parallel with the lamp being tested are proposed to not draw more than 1 percent of the rated lamp current. If the correction due to the presence of such instruments is to be avoided, then the current draw is proposed to be limited to 0.5 percent of the rated lamp current. These proposals are consistent with section 3.8.2 of ANSI C78.389. DOE proposes that instruments selected for HID lamp voltage and current measurement be of the true RMS type and have a specified accuracy and frequency response adequate to meet the specified uncertainty requirements (i.e., ±0.5 percent for voltage and current and ±0.75 percent for wattage). PO 00000 Frm 00007 Fmt 4702 Sfmt 4702 ii. Instrumentation for Photometric Measurement DOE proposes that the photometer have a relative spectral responsivity that approximates that of the human eye (i.e., the V-lambda (V(l)) function). DOE accepts use of either an integrating sphere or a goniophotometer for such measurements. DOE proposes that photometric measurements of color characteristics be specified in terms of the CIE colorimetry system and CRI. LM–51 provides further details regarding photometric measurements as well as colorimetry and CRI. In the case of integrating sphere measurements, the spectral responsivity would be measured taking into account the relative spectral throughput of the sphere and detector spectral responsivity.21 The detector used in an integrating sphere measurement must have a wide field of view (approximating a cosine response) to maximize the sampled area of the sphere wall during measurement. If a diffuser is used on the detector, its surface would need to be mounted flush with the sphere wall. An integrating sphere for luminous flux measurements must be large enough to allow the sphere’s interior ambient temperature to reach thermal equilibrium at the specified ambient temperature and to permit the internal baffle(s) to be small relative to the size of the integrating sphere. For measurements using a goniophotometer, DOE proposes that the detector required for intensity distribution measurements have a cosine response. This proposed requirement is particularly important for those cases in which the calibration source subtends a smaller viewing angle than the test source. The intensity distribution around a lamp would be determined with a photometer at a recommended minimum distance of five times the longest dimension of the lamp. The axis of rotation used to vary the angle between the lamp and the detector is to preserve the lamp orientation relative to the detector to provide measurement consistency and repeatability. These proposals are consistent with LM–51–00. DOE invites comment on these proposed requirements for instrumentation. 21 The relative spectral throughput of an integrating sphere is the ratio of the spectral irradiance on the detector port of the sphere by a reference light source and the spectral irradiance of the same source measured outside the integrating sphere. E:\FR\FM\15DEP1.SGM 15DEP1 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules For HID lamp testing, DOE proposes that the energy efficiency characteristics of each basic model be determined using these test procedures. As discussed in section III.A.2, a ‘‘basic model’’ is a group of lamp models that are essentially identical in design and performance. The rated performance characteristics proposed to be measured (i.e., lumen output, CCT, and CRI) should be similar for all of the lamps represented by a basic model. b. Sampling Plans pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 For HID lamp testing, DOE proposes a lamp sampling method similar to that used for general service fluorescent lamps, incandescent reflector lamps, and general service incandescent lamps (GSFL/GSIL/IRL).22 10 CFR 430.27(a)(2)(i)–(ii) DOE proposes to adopt the lamp sampling method from 10 CFR 429.27 for HID lamp testing as follows: For each basic model of HID lamps, samples of production lamps from a minimum sample size of 21 lamps are to be tested, and the results for all samples are to be averaged over a consecutive 12-month period. The manufacturer is to randomly select a minimum of three lamps from each month of production for a minimum of 7 months out of the 12-month period. If production occurs during fewer than 7 of such 12 months, the manufacturer is to randomly select three or more lamps from each month of production, and the number of lamps selected for each month is to be distributed as evenly as practicable among the months of production to obtain a minimum sample of 21 lamps. Due to inherent uncertainty in any sample measurement, the confidence limit is set to 95 percent based on the sample’s statistical t-test.23 Any represented characteristic value of a basic model is to be based on this sample and this characteristic value is to be no greater than the lower of: (A) The mean of the sample, where: 22 DOE is currently amending the GSFL/GSIL/IRL test procedures. 76 FR 566661 (Sept. 14, 2011). 23 A t-test is used to determine if two sample groups from the same population are ‘‘statistically’’ different, e.g., variability of distribution about the sample mean. The t-test evaluates this statistical difference by calculating the ratio of sample group mean difference to group variance. This ratio is analogous to a signal to noise ratio: the higher the ratio, the less likely it is that the difference between the two groups is random. VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 Or, (B) The lower 95 percent confidence limit (LCL) of the characteristic value true mean divided by 0.97, where: ¯ and X is the sample mean of the characteristic value, s is the sample standard deviation, n is the number of samples, and t0.95 is the t statistic for a 95-percent onetailed confidence interval with n-1 degrees of freedom (from statistical tables). In determining the proposed sampling plan requirements, DOE reviewed sample size requirements for voluntary programs for HID lamps (ENERGY STAR®), European testing requirements, and sample size requirements for other lighting technologies. ENERGY STAR luminaires (i.e., light fixtures) specification includes testing requirements for luminaires using HID lamps. Metal halide (quartz and ceramic) and HPS lamps are the only HID lamps allowed for ENERGY STARqualified luminaires. ENERGY STAR lamp-ballast efficacy testing requires a minimum sample of three lamp-ballast combinations. The remaining ENERGY STAR criteria (CCT, CRI, and lumen maintenance) require a minimum 10 samples of each lamp model be tested. In 2009, Commission Regulation (EC) No 245 was published in the Official Journal of the European Union. This document included both energy efficiency standards and testing requirements for fluorescent and HID lamps. Annex IV of the document defines the sample size for all lamps as a total of 20 lamps of the same model and from the same manufacturer, randomly selected. DOE also surveyed testing requirements for non-HID light sources. In 2011, the IES published TM–21–11, which provides the methodology for the lumen maintenance of light-emitting diode (LED) sources and requires a sample size of 20 LEDs. Covered lighting products and equipment where non-power values are being measured (e.g., lumens, CCT, CRI, lumen maintenance) typically have sample sizes of 21 including general service fluorescent, general service incandescent, and incandescent reflector lamps (10 CFR 429.27) and candelabra base incandescent lamps and 24 The characteristic value represents the individual observations within a sample. PO 00000 Frm 00008 Fmt 4702 Sfmt 4702 intermediate base incandescent lamps (10 CFR 429.40). Bared or covered (no reflector) medium base compact fluorescent lamps (CFLs), however, have sample sizes that vary with the value being measured. Only 5 lamps are needed for efficacy or lumen maintenance, 6 unique (and not previously tested) lamps are required for rapid cycle stress testing, and a minimum of 10 units are required for life testing for these CFLs. Based on its review of sample size requirements, DOE proposes to use a sample size of 21 for HID lamps. This is the same requirement as GSFL/GSIL/ IRL, and is similar to the European Union’s requirement of 20 samples. An odd number of lamps is required to establish a majority of surviving or failed lamps for life testing, whereas an even number could produce a 50–50 split. Although lamp life is not a metric required in these proposed test procedures, manufacturers will likely use the same set of lamps for life testing as they do for the lumen maintenance testing. The sample size of 21 addresses the variability in lamp production, and the 95 percent confidence limit minimizes the tolerances in the testing instrumentation. In summary, DOE proposes to base the sampling method for HID lamp testing on the method set forth in 10 CFR 429.27. For each basic model of HID lamp, DOE proposes that the same samples be used for measuring color characteristics as were used for luminous output (i.e., lumens and candelas (where required)) and power. The sampling method for HID lamps would be set forth as a new section in 10 CFR part 429. DOE invites comment on the accuracy and applicability of the proposed sampling method, and whether an alternative sampling method would be more appropriate for HID lamps. c. Lamp Aging and Stabilization For HID lamp testing, DOE proposes a lamp aging method based on ANSI C78.389, section 3.7, to ensure stable photometric, color, and electrical characteristics of the lamp being tested. Aging is performed once, for 100 hours, on every lamp before stabilization and testing. ANSI C78.389, section 3.7, requires that, during the aging period, the lamp be operated in the same orientation in which it will be used.25 DOE invites comment on the proposed lamp aging method for HID lamp testing. Standard lamp orientation 25 For example, if the lamp is to be operated in the base-down position, the lamp must be operated (‘‘burned in’’ or ‘‘aged’’) in that base-down position. E:\FR\FM\15DEP1.SGM 15DEP1 EP15DE11.001</GPH> a. Basic Model ¯ and X is the sample mean of the characteristic value,24 n is the number of samples, and xi is the ith sample; EP15DE11.000</GPH> 2. Lamp Selection and Setup 77921 77922 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules (burning position) would be base up unless otherwise designated by the manufacturer.26 Lamps being tested for lumen maintenance are proposed to be operated with an appropriately rated ballast as described in section III.B.1.c, or power source under specified normal operating conditions, defined in the following sections, and be operated in the same orientation used for the test procedures. DOE also proposes a lamp stabilization method based on ANSI C78.389, section 3.7. Under this proposal, after its one-time aging period, a lamp being tested should achieve stable operation prior to any measurements. DOE included metal halide lamp operational stability in the MH lamp ballast test procedures final rule, determining operational stability for tested ballasts based on three consecutive measurements of lamp power, 5 minutes apart, in which the three measurements had to remain within 2.5 percent tolerance. 75 FR at 10958 (March 9, 2010). As detailed in ANSI C78.389, section 3.7, HID lamp stabilization requirements vary with lamp type. Table III.1 lists the lamp warm-up, stabilization, and restabilization requirements for MV, HPS, and MH lamps under ANSI C78.289. For example, MV lamps require a 15 to 20 minute warm-up period, with stable operation indicated by three consecutive measurements of the lamp’s electrical characteristics over a 15 minute period that vary by 1 percent or less. TABLE III.1—ANSI C78.389 HID LAMP WARM-UP AND STABILIZATION CRITERIA Lamp type Lamp warm-up time MV ................................. 15–20 mins ......................................................................... HPS ............................... 1 hour .................................................................................. MH ................................ 6 hours operated within ±10% rated wattage ..................... For HID lamp testing, DOE proposes to adopt the more detailed lamp-specific stabilization requirements of ANSI C78.389, section 3.7, as shown in Table III.1. DOE invites comment on these proposed requirements, as well as any appropriate alternative lamp stabilization procedures. d. Lamp/Circuit Transfer DOE proposes to adopt the lamp transfer and re-stabilization methods of ANSI C78.389, section 3.7, for HID lamp testing. HID lamps are very sensitive to movement once they are warmed up and stabilized. Therefore, any significant movement or disturbance could destabilize the lamp operation, altering its output or electrical characteristics and requiring the lamp to be re-stabilized prior to testing. The restabilization time varies by lamp type, whether the lamp arc has been extinguished, and whether lamp orientation has changed. Lamps are often ‘‘pre-burned’’ on a different ballast than that used for final electrical and photometric testing, which requires Stabilization criteria 3 successive measurements (voltage and current). 5 minute measurement intervals. Change in value < 1.0%. 3 successive measurements (voltage and current). 10–15 minute measurement intervals. Change in value < 1.0%. 3 successive measurements (voltage and current). 10–15 minute measurement intervals. Change in value < 3.0%. moving and re-stabilizing the lamp before final testing can begin. The lamp cool down and transfer requirements of ANSI C78.389, section 3.7, are shown in Table III.2. The requirements vary by HID lamp type and with the specifics of the lamp movement. Under ANSI requirements, MH lamps that will be physically relocated without a change in orientation must be allowed to cool to 60 °C before moving and then be warmed up for 30 minutes in the new location before stabilization measurements may begin. If its orientation changes, the MH lamp is to be operated for 6 hours in the final testing orientation before stabilization measurements may be taken. HPS lamps require a cooling period of at least 1 hour before the lamps may be moved and restarted prior to stabilization measurements. MV lamps do not require cooling, but must be warmed up before stabilization measurements may be taken after the lamps are moved. Alternatively, LM–51, section 6.2, states that stabilization may be minimized by switching the lamp between ballasts without extinguishing the arc. Less warm-up time is required if the two ballasts being switched are electrically equivalent; otherwise, an additional warm-up period of 5 to 10 minutes may be required. According to LM–51, section 6.2, some HID lamps may require a brief cooling period before testing may be restarted, in which case another 10 to 30 minutes of warmup time may be required before stabilization measurements may be taken. LM–51 does not specifically give guidance regarding the cooling requirements, whereas ANSI C78.389 gives specific requirements (e.g., time or temperature) for cooling. LM–51 also generalizes re-stabilization, whereas ANSI C78.389 provides specific guidance for re-stabilization requirements for each of the HID lamp types. Therefore, given the sensitivity to movement of certain types of HID lamps, DOE has opted for the ANSI C78.389 re-stabilization requirements. pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 TABLE III.2—ANSI C78.389 HID LAMP COOL DOWN AND RE-STABILIZATION REQUIREMENTS Lamp type Cooling requirement MV ........................... HPS ......................... None ...................................................... Allow to cool for 1 hour minimum before relocating. 26 Lamp orientation is designated in the lamp designation (catalog code) and included in VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 Re-stabilization time Not in standard, Reconfirm stabilized operations upon transfer/restrike. Not in standard, Reconfirm stabilized operations upon transfer/restrike. manufacturer catalogs, specification sheets, and the packaging. PO 00000 Frm 00009 Fmt 4702 Sfmt 4702 E:\FR\FM\15DEP1.SGM 15DEP1 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules 77923 TABLE III.2—ANSI C78.389 HID LAMP COOL DOWN AND RE-STABILIZATION REQUIREMENTS—Continued Lamp type Cooling requirement Re-stabilization time MH .......................... Cool to below 60 °C if relocating .......... No relocation no reorientation—30 minutes, Relocation with no reorientation— 30 minutes, Reorientation—6 hours. In summary, DOE proposes to adopt the lamp transfer and re-stabilization methods of ANSI C78.389, section 3.7, for HID lamp testing, as summarized in Table III.2. DOE invites comment on these proposed methods, as well as any alternative appropriate lamp transfer and re-stabilization methods. pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 e. Lamp Orientation DOE proposes to adopt the lamp orientation requirements of ANSI C78.389, section 3.6, for HID lamp testing. Lamp orientation is critical for the testing of most HID lamps, and industry procedures have been developed to ensure the correct orientation is maintained for consistent electrical and photometric measurements. ANSI C78.389, section 3.6, requires that a lamp marked or designated on the lamp’s data sheet for use in a specific operating position be tested in that position. If no operating position is specified or the lamp is marked ‘‘universal,’’ the lamp is to be operated in the base up position. In contrast, LM–51 does not contain lamp orientation requirements for testing, except to note that lamp orientation during warm-up must be the same as that during photometry. LM–51 also states that the manufacturer’s specifications should be consulted for any restrictions on lamp orientation. In summary, DOE proposes to adopt the more specific lamp orientation requirements of ANSI C78.389, section 3.6, for HID lamp testing because ANSI provides specific guidance for both MH and MV lamps where lamp position is critical. ANSI C78.389 also provides default guidance if no position is specified. DOE invites comment on these proposed requirements, as well as on any appropriate alternative lamp testing orientation requirements. 3. Special Considerations for Directional Lamps Directional lamps, which are typically reflector lamps with a discernible beam pattern, have different set-up and measurement requirements than do omni-directional lamps. Care must be taken to ensure a directional lamp is properly positioned prior to testing for accurate measurement of center beam intensity and beam angle. There are also additional calculations required to VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 determine the beam angle of directional lamps. DOE proposes that set-up and measurement of directional lamps be done in accordance with ANSI C78.379, which provides classification of beam patterns and specification of directional lamp measurement and evaluation. DOE invites comment on its proposal to adopt the test methods outlined in ANSI C78.379 for directional lamps. C. Laboratory Accreditation Program DOE proposes to adopt the requirements for selecting testing laboratories for HID lamps from the GSFL/GSIL/IRL test procedures final rule. 74 FR 31829, 31841 (July 6, 2009). That rule states that testing is to be conducted by test laboratories accredited by the National Voluntary Laboratory Accreditation Program (NVLAP) or by an accrediting organization recognized by NVLAP. NVLAP establishes standards for the accreditation of laboratories that test for compliance with relevant industry standards pursuant to 15 CFR 285.3. A manufacturer’s or importer’s own laboratory, if accredited, may be used to conduct the applicable testing. 15 CFR 285.3 DOE invites comment on these proposed requirements, as well as any alternative requirements for testing laboratory selection. D. Test Measurements and Calculations 1. Measurement and Calculation of Efficacy DOE proposes that HID lamp efficacy be calculated as the lumen output divided by the input lamp wattage measured, with the resulting quotient rounded off to the nearest tenth of a lumen per watt. This requirement is consistent with the 2009 GSFL/GSIL/ IRL test procedures final rule, in which DOE required testing to a tenth of a lumen per watt. 74 FR 31829, 31836 (July 6, 2009). DOE invites comment on this proposed efficacy calculation method. 2. Measurement and Calculation of Center Beam Intensity and Beam Angle As indicated in section III.B.3, directional lamps have different set-up and measurement requirements than do omni-directional lamps. DOE proposes to adopt the procedure described in PO 00000 Frm 00010 Fmt 4702 Sfmt 4702 ANSI C78.379 for measuring center beam intensity, beam angle, and other relevant characteristics of directional lamps with symmetrical or asymmetrical beams. For lamps with complex beam patterns (e.g., containing multiple lobes of varying intensity), DOE proposes to adopt the procedure described in ANSI C78.379, annex A, for HID lamp testing. DOE invites comment on the proposed test procedures, as well as any appropriate alternative test procedures for center beam intensity measurement. 3. Test Method for Measuring Lumen Maintenance DOE received comments on the proposed HID lamps determination from NEMA supporting DOE’s inclusion of lumen maintenance in potential energy conservation standards. (Docket No. EERE–2006–DET–0112, NEMA, No. 0021 at p. 2) DOE proposes to include measuring lumen maintenance (i.e., the percentage (or fraction) of lamp light output relative to initial output, over time) for HID lamps. As discussed in the HID lamp determination technical support document, different manufacturers choose different points of rated life to measure lumen maintenance for the different HID lamps.27 The proposed DOE test method for lumen maintenance would provide a standard measurement for this metric. In addition, lumen maintenance is a more significant issue for HID lamps than for other electric lamps, and DOE already measures lumen maintenance for compact fluorescent lamps, using the procedure at 10 CFR part 430, subpart B, appendix W. For HID lamp testing, DOE proposes to adopt the test method described in LM–47, wherein lamp lumen maintenance is determined after initial lamp aging and initial lumen output measurement. At a minimum, the lumen maintenance measurements are to be collected at 40 percent and 70 27 U.S. Department of Energy—Office of Energy Efficiency and Renewable Energy. Energy Conservation Program for Commercial and Industrial Equipment: Technical Support Document: High-Intensity Discharge Lamps Analysis of Potential Energy Savings Final Determination. June 2010. Washington, DC www1.eere.energy.gov/buildings/ appliance_standards/commercial/pdfs/ hid_nod_tsd_ch3_ta_07_01_2010.pdf. E:\FR\FM\15DEP1.SGM 15DEP1 77924 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules percent of rated lamp life, as described in LM–47. DOE invites comment on the proposed test method, as well as any appropriate alternative test method for determining HID lamp lumen maintenance. pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 4. Measurement and Calculation of Correlated Color Temperature and Color Rendering Index DOE proposes to adopt CCT and CRI measurement methods based on CIE 15 and CIE 13.3. The CIE is internationally accepted as the authority for industry standards and references for color, colorimetry, and related practices and procedures. CIE recommendations are peer-reviewed by committee and revised and expanded as needed given new developments in lighting practice and science. DOE has previously incorporated these standards in the GSFL/GSIL/IRL test procedures final rule. 74 FR 31829, 31834 (July 6, 2009). In the past, DOE has used CCT to define and categorize certain kinds of lamps (e.g., modified-spectrum fluorescent and incandescent lamps, and general service fluorescent lamps). DOE also created product classes and set efficacy standards based on CCT in the GSFL/GSIL/IRL test procedures final rule. 74 FR at 34097 (July 6, 2009). DOE is considering chromaticity (CCT) as a means to define equipment classes and set energy conservation standards for HID lamps. Currently, there are no industry-accepted color/chromaticity guidelines for HID lamps. DOE examined industry practices and, in particular, the recommendations from IES and CIE organization and industry standards regarding color. For HID lamp testing, DOE proposes to adopt the procedures and methods in CIE 15 to determine HID lamp CCT. DOE is also considering CRI as a means to define equipment classes and set energy conservation standards for HID lamps. DOE proposes to adopt the methods and procedures set forth in CIE 13.3 to determine lamp CRI. In particular, the methods identified in CIE 13.3 determine a set of 14 special CRI values, 8 of which are used to calculate the lamp CRI.28 29 28 The special values or indices are not actually measured. Standard measurement software incorporates algorithms that compare the measured color information against the indices. CRI then averages the values for special values 1–8. 29 DOE notes that individual special CRI values can also be used to assess the color rendering or reproduction ability of a lamp for a certain color or colors. When a lighting application requires saturated color rendering to provide accurate or enhanced color appearance, however, the CRI value may not provide sufficient information to make the appropriate choice of lamp. The special CRI value VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 DOE invites comment on the proposal to adopt the procedures and methods set forth in CIE 15 to determine lamp CCT, and the procedure and methods in CIE 13.3 to determine CRI, as well as any appropriate alternative methods for determining these lamp color properties. E. Standby Mode and Off Mode Energy Usage As discussed previously in section II, there is no standby mode or off mode energy use by HID lamps. DOE has preliminarily concluded that HID lamps do not operate in a standby or off mode. If a covered product is a single-function product and does not offer any secondary user-oriented or protective functions, it does not satisfy the EPCA definition for ‘‘standby mode.’’ (42 U.S.C. 6259(gg)(1)(A)(iii)) All covered equipment that meets a relevant definition of HID lamp is singlefunction equipment that does not offer any secondary user-oriented or protective functions, thus HID lamps do not operate in standby mode. With respect to off mode, HID lamps must be entirely disconnected from the main power source (i.e., the lamp is switched off) in order to not provide any active mode or standby mode functions (i.e., emit light or instant start readiness state), to meet the second provision in the definition of ‘‘off mode.’’ (42 U.S.C. 6259(gg)(1)(A)(ii)) 30 Therefore, DOE has determined that the HID lamps that are the subject of this rulemaking do not operate in standby mode or off mode, and does not propose to incorporate a test method for either of these modes into the test procedures for HID lamps.31 F. Effective Date and Compliance Date to the Test Procedures and Compliance Date for Submitting High-Intensity Discharge Certification Reports The effective date for these test procedures would be 30 days after R9 provides additional color rendering information necessary to select lamps. DOE may consider the CRI value R9 in setting standards for HID lamps but does not propose measurement of that value in today’s test procedures for HID lamps. 30 While EPCA authorizes DOE to amend these mode definitions, DOE believes that amendment is unnecessary because the active mode definition is appropriate for HID lamps, and the proposed active mode test procedure accounts for the energy use of these lamps. 31 In the GSFL/GSIL/IRL test procedure final rule, DOE concluded that measuring off mode and standby mode energy consumption is not applicable to GSFL, GSIL, and IRL because, according to the definitions of ‘‘standby mode’’ and ‘‘off mode,’’ current technologies of GSFL, GSIL, and IRL do not employ these two modes of operation. As such, DOE did not expand the test procedures to incorporate measurement methods for off mode or standby mode energy consumption of GSFL, GSIL, and IRL. 74 FR 31820, 31833 (July 6, 2009). PO 00000 Frm 00011 Fmt 4702 Sfmt 4702 publication of any final test procedures in the Federal Register. The compliance date for making any representations of the energy efficiency derived from the test procedures is 180 days from the date of the publication of any final test procedures in the Federal Register. On or after that date, any such representations, including those made on marketing materials and product labels, would be required to be based on results generated under the final test procedures and the applicable sampling plans. Until DOE establishes energy conservation standards for HID lamps, manufacturers, including importers, are not required to submit compliance statements or certification reports for HID lamps. DOE will address these requirements should DOE establish energy conservation standards for HID lamps. 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 the 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 for any rule that by law must be proposed for public comment, unless the agency certifies that the rule, if promulgated, will not have a significant economic impact on a substantial number of small entities. As required by Executive Order 13272, ‘‘Proper Consideration of Small Entities in Agency Rulemaking,’’ 67 FR 53461 (Aug.16, 2002), DOE published procedures and policies on February 19, 2003 to ensure that the potential impacts of its rules on small entities are properly considered during the DOE rulemaking process. 68 FR 7990. DOE has made its procedures and policies available on the Office of the General Counsel’s web site: https:// www.gc.doe.gov. Today’s proposed rule would adopt test procedures for HID lamps based on active industry testing standards, ANSI C78.379, ANSI C78.389, CIE 13.3, CIE 15, IES LM–47, and IES LM–51. DOE E:\FR\FM\15DEP1.SGM 15DEP1 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules has reviewed today’s proposed rule under the provisions of the Regulatory Flexibility Act and the policies and procedures published on February 19, 2003. For the reasons explained as follows, DOE certifies that this test procedure rulemaking would not have a significant economic impact on a substantial number of small entities. The Small Business Administration (SBA) has set size standards for an entity to be classified as a ‘‘small business’’ for the purpose of the regulatory flexibility analysis. DOE used the SBA’s size standards to determine whether any small entities would be required to comply with the rule. See 13 CFR part 121. The size standards are listed by NAICS code and industry description and are available at https:// www.sba.gov/sites/default/files/ Size_Standards_Table.pdf. DOE identified applicable size standards for HID lamp manufacturers as NAICS 335110, ‘‘Electric Lamp Bulb and Part Manufacturing,’’ and NAICS 335121, ‘‘Residential Electric Lighting Fixture Manufacturing.’’ The SBA’s size standard for the respective NAICS codes are 1,000 employees or less (NAICS 335110) and 500 employees or less (NAICS 335121). DOE examined small business manufacturers of equipment covered by this rulemaking to determine whether any of these manufacturers qualified as 77925 a small business under the SBA size standards. DOE conducted a market survey in which it reviewed industry trade association membership directories (including NEMA), individual company Web sites, and marketing research tools (e.g., Dun and Bradstreet reports, Manta) to create a list of companies that manufacture or sell HID lamps covered by this rulemaking. Using these sources, DOE identified 15 possible manufacturers of HID lamps. Table IV.1 lists these manufacturers, the primary NAICS code for the company, and the SBA size standard for the applicable NAICS code. TABLE IV.1—POSSIBLE MANUFACTURERS OF HID LAMPS Manufacturer NAICS code pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 Eiko ............................................................................................................................................................ Eye (Iwasaki) ............................................................................................................................................. Fulham ....................................................................................................................................................... GE Lighting ................................................................................................................................................ Halco .......................................................................................................................................................... Havells ....................................................................................................................................................... LiteTronics .................................................................................................................................................. OSRAM SYLVANIA ................................................................................................................................... Philips ......................................................................................................................................................... Superior Lamp Inc ..................................................................................................................................... Superior Lamp Inc ..................................................................................................................................... Technical Consumer Products (TCP Inc.) ................................................................................................. Topaz ......................................................................................................................................................... Ushio America ............................................................................................................................................ Venture ....................................................................................................................................................... Westinghouse Lighting ............................................................................................................................... Of the 15 companies listed in the table,32 DOE could not identify any small business manufacturers. All of the companies either exceeded the applicable size standard, were foreign owned and operated, or were not manufacturers of HID lamps. In addition, DOE notes that the proposed test procedures for HID lamps are based on test procedures developed and already in general use by industry. These are the same industry standards that manufacturers would need for existing voluntary performance standards, such as the ENERGY STAR program requirements that are the basis for the proposed test procedures. The costs of this testing are described in the following paragraph. DOE reviewed the potential costs for testing basic models of HID lamps for lumen output, power input, lumen maintenance, color characteristics, and, when applicable, intensity. Recently, NEMA provided a detailed list of costs 32 Table IV.1 has 16 entries because DOE located two headquarters for Superior Lamp Inc.; however, both headquarters appear to belong to the same company. VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 for testing the lifetime of general service incandescent lamps. Although this is a different product, the two test procedures share elements. Per NEMA’s itemized list, $66 is needed for materials per lamp tested and labor and benefits equate to $30 per lamp tested. (Docket No. EERE–2011–BT–TP–0012, NEMA, No. 0008 at p. 4) The HID lamps test procedures involve more tasks (i.e., measuring lumens, measuring power, measuring color characteristics, lumen maintenance) than a lifetime test (e.g., operating the lamps until a sample population fails); therefore, labor and material costs will probably be somewhat greater for the HID test procedures. DOE estimates approximately between $100 to $200 in both materials and labor per lamp for the HID lamp test procedures. Therefore, with a sample size of 21, the total costs per basic model are between $2,100 and $4,200. In this NOPR, DOE also proposes to require test facilities conducting HID lamp efficacy, color, and lumen maintenance testing to be accredited by NVLAP or an organization recognized PO 00000 Frm 00012 Fmt 4702 Sfmt 4702 423610 335121 335311 335121 423610 335110 423610 423490 339112 335110 335110 452990 423610 423610 335110 423610 SBA threshold 100 employees. 500 employees. 100 employees. 500 employees. 1,000 employees. 1,000 employees. 1,000 employees. 100 employees. 500 employees. 1,000 employees. 1,000 employees. $30M in sales. 100 employees. 100 employees. 1000 employees. 100 employees. by NVLAP. When accreditation is sought for the first time, DOE has determined that NVLAP imposes fees of $9,000 and $8,000 on years one and two of accreditation, respectively. For the years following, the fees alternate between $5,000 and $8,000, with the $8,000 fee corresponding to the on-site evaluation required every other year. DOE does not expect this requirement to impose a significant additional burden for most manufacturers. Most HID lamp manufacturers also make other lamps that are currently covered products (e.g., GSFL, GSIL, IRL, medium-base compact fluorescent lamps). The test procedures for those lamps already require a laboratory accredited by NVLAP or an NVLAP-recognized organization. Because the proposed test procedure incorporates the same industry standards that manufacturers would need for existing voluntary performance standards, such as the ENERGY STAR program requirements that are the basis for the proposed test procedures, and because NVLAP certification is already required for other types of lamps typically made by HID manufacturers, E:\FR\FM\15DEP1.SGM 15DEP1 77926 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 DOE does not find that the requirements in this document would result in any significant increase in testing costs. For the reasons stated in this section, DOE certifies that this proposed rule would not have a significant impact on a substantial number of small entities. Accordingly, DOE has not prepared a regulatory flexibility analysis for this rulemaking. DOE’s certification and supporting statement of factual basis will be provided to the Chief Counsel for Advocacy of the Small Business Administration pursuant to 5 U.S.C. 605(b). DOE seeks comment regarding whether the proposed amendments in today’s rule would have a significant economic effect on any small entities. C. Review Under the Paperwork Reduction Act of 1995 There is currently no information collection requirement related to the test procedure for HID lamps. In the event that DOE proposes an energy conservation standard with which manufacturers must demonstrate compliance, or otherwise proposes to require the collection of information derived from the testing of HID lamps according to this test procedure, DOE will seek OMB approval of such information collection requirement. Manufacturers of covered products must certify to DOE that their products comply with any applicable energy conservation standard developed by DOE. In certifying compliance, manufacturers must test their products according to the applicable DOE test procedure, including any amendments adopted for that test procedure. DOE established regulations for the certification and recordkeeping requirements for certain covered consumer products and commercial equipment. 76 FR 12422 (March 7, 2011). The collection-of-information requirement for the certification and recordkeeping was subject to review and approval by OMB under the Paperwork Reduction Act (PRA). This requirement was approved by OMB under OMB Control Number 1910–1400. Public reporting burden for the certification was estimated to average 20 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. As stated above, in the event DOE proposes an energy conservation standard for HID lamps with which manufacturers must demonstrate compliance, DOE will seek OMB approval of the associated information collection requirement. DOE will seek VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 approval either through a proposed amendment to the information collection requirement approved under OMB Control Number 1910–1400 or as a separate proposed information collection requirement. Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the PRA, unless that collection of information displays a currently valid OMB Control Number. D. Review Under the National Environmental Policy Act of 1969 In this proposed rule, DOE proposes test procedures that it expects will be used to develop and implement future energy conservation standards for HID lamps. DOE has determined that this rule falls into a class of actions that are categorically excluded from review under the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE’s implementing regulations at 10 CFR part 1021. Specifically, this proposed rule would establish test procedures without affecting the amount, quality, or distribution of energy usage, and therefore would not result in any environmental impacts. Thus, this rulemaking is covered by Categorical Exclusion A6 under 10 CFR part 1021, subpart D, which applies to any rulemaking that interprets or amends an existing rule without changing the environmental effect of that rule. 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 (Aug. 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 at13735. DOE has examined this proposed rule and PO 00000 Frm 00013 Fmt 4702 Sfmt 4702 has determined that it would not have a substantial direct effect on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government. EPCA governs and prescribes Federal preemption of State regulations as to energy conservation for the equipment that are the subject of today’s proposed rule. States can petition DOE for exemption from such preemption to the extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further action is required by Executive Order 13132. F. Review Under Executive Order 12988 Regarding the review of existing regulations and the promulgation of new regulations, section 3(a) of Executive Order 12988, ‘‘Civil Justice Reform,’’ 61 FR 4729 (Feb. 7, 1996), imposes on Federal agencies the general duty to adhere to the following requirements: (1) Eliminate drafting errors and ambiguity; (2) write regulations to minimize litigation; (3) provide a clear legal standard for affected conduct rather than a general standard; and (4) promote simplification and burden reduction. Section 3(b) of Executive Order 12988 specifically requires that Executive agencies make every reasonable effort to ensure that the regulation: (1) Clearly specifies the preemptive effect, if any; (2) clearly specifies any effect on existing Federal law or regulation; (3) provides a clear legal standard for affected conduct while promoting simplification and burden reduction; (4) specifies the retroactive effect, if any; (5) adequately defines key terms; and (6) addresses other important issues affecting clarity and general draftsmanship under any guidelines issued by the Attorney General. Section 3(c) of Executive Order 12988 requires Executive agencies to review regulations in light of applicable standards in sections 3(a) and 3(b) to determine whether they are met or it is unreasonable to meet one or more of them. DOE has completed the required review and determined that, to the extent permitted by law, the proposed rule meets the relevant standards of Executive Order 12988. G. Review Under the Unfunded Mandates Reform Act of 1995 Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) requires each Federal agency to assess the effects of Federal regulatory actions on State, local, and Tribal governments and the private sector. Public Law 104–4, section 201 (codified at 2 U.S.C. 1531). For a proposed regulatory action likely E:\FR\FM\15DEP1.SGM 15DEP1 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules 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 https://www.gc.doe.gov. DOE examined today’s proposed rule according to UMRA and its statement of policy and determined that the rule contains neither an intergovernmental mandate, nor a mandate that may result in the expenditure of $100 million or more in any year, so these requirements do not apply. pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 H. Review Under the Treasury and General Government Appropriations Act, 1999 Section 654 of the Treasury and General Government Appropriations Act, 1999 (Pub. L. 105–277) requires Federal agencies to issue a Family Policymaking Assessment for any rule that may affect family well-being. This rule would not have any impact on the autonomy or integrity of the family as an institution. Accordingly, DOE has concluded that it is not necessary to prepare a Family Policymaking Assessment. I. Review Under Executive Order 12630 DOE has determined, under Executive Order 12630, ‘‘Governmental Actions and Interference with Constitutionally Protected Property Rights’’ 53 FR 8859 (March 18, 1988), that this regulation would not result in any takings that might require compensation under the Fifth Amendment to the U.S. Constitution. J. Review Under the 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 VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 77927 for agencies to review most disseminations of information to the public under guidelines established by each agency pursuant to general guidelines issued by OMB. OMB’s guidelines were published at 67 FR 8452 (Feb. 22, 2002), and DOE’s guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has reviewed today’s proposed rule under the OMB and DOE guidelines and has concluded that it is consistent with applicable policies in those guidelines. of commercial standards, the notice of proposed rulemaking must inform the public of the use and background of such standards. In addition, section 32(c) requires DOE to consult with the Attorney General and the Chairman of the Federal Trade Commission (FTC) concerning the impact of the commercial or industry standards on competition. The proposed test procedures incorporate testing methods contained in the following commercial standards: K. Review Under Executive Order 13211 Executive Order 13211, ‘‘Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use,’’ 66 FR 28355 (May 22, 2001), requires Federal agencies to prepare and submit to OMB a Statement of Energy Effects for any proposed significant energy action. A ‘‘significant energy action’’ is defined as any action by an agency that promulgated or is expected to lead to promulgation of a final rule, and that: (1) Is a significant regulatory action under Executive Order 12866, or any successor order; and (2) is likely to have a significant adverse effect on the supply, distribution, or use of energy; or (3) is designated by the Administrator of OIRA as a significant energy action. For any proposed significant energy action, the agency must give a detailed statement of any adverse effects on energy supply, distribution, or use should the proposal be implemented, and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use. Today’s regulatory action to create the test procedures for measuring the energy efficiency of HID lamps is not a significant regulatory action under Executive Order 12866. Moreover, it would not have a significant adverse effect on the supply, distribution, or use of energy, nor has it been designated as a significant energy action by the Administrator of OIRA. Therefore, it is not a significant energy action, and, accordingly, DOE has not prepared a Statement of Energy Effects. 1. ANSI C78.379–2006, ‘‘For Electric Lamps—Classification of Beam Patterns of Reflector Lamps’’; 2. ANSI C78.389–R2009, ‘‘For Electric Lamps—High Intensity Discharge— Methods of Measuring Characteristics’’ (sections 1.0, 2.0, 3.0, and Figure 1); 3. CIE 13.3–1995, ‘‘Technical Report: Method of Measuring and Specifying Colour Rendering Properties of Light Sources’’; 4. CIE 15:2004, ‘‘Technical Report: Colorimetry’’; 5. IES LM–47–01, ‘‘Approved Method for Life Testing of High Intensity Discharge (HID) Lamps’’; and 6. IES LM–51–00, ‘‘Approved Method for the Electrical and Photometric Measurements of High Intensity Discharge Lamps’’ (sections 1.0, 3.2, 9.0, 10.0, 11.0, and 12.0). 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 PO 00000 Frm 00014 Fmt 4702 Sfmt 4702 DOE evaluated these standards and is unable to conclude whether they fully comply with the requirements of section 32(b) of the Federal Energy Administration Act, (i.e., that they were developed in a manner that fully provides for public participation, comment, and review). Before prescribing a final rule, DOE will consult with the Attorney General and the Chairman of the FTC about the effect of these test procedures on competition. V. Public Participation A. Attendance at Public Meeting The time, date, and location of the public meeting are listed in the DATES and ADDRESSES sections at the beginning of this document. If you plan to attend the public meeting, please notify Ms. Brenda Edwards at (202) 586–2945 or Brenda.Edwards@ee.doe.gov. As explained in the ADDRESSES section, foreign nationals visiting DOE Headquarters are subject to advance security screening procedures. In addition, you can attend the public meeting via webinar. Webinar registration information, participant instructions, and information about the capabilities available to webinar participants will be published on DOE’s Web site https://www1.eere.energy.gov/ buildings/appliance_standards/ commercial/ high_intensity_discharge_lamps.html. E:\FR\FM\15DEP1.SGM 15DEP1 77928 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules Participants are responsible for ensuring their systems are compatible with the webinar software. pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 B. Procedure for Submitting Prepared General Statement for Distribution Any person who has plans to present a prepared general statement may request that copies of his or her statement be made available at the public meeting. Such persons may submit requests, along with an advance electronic copy of their statement in PDF (preferred), Microsoft Word or Excel, WordPerfect, or text (ASCII) file format, to the appropriate address shown in the ADDRESSES section at the beginning of this notice. The request and advance copy of statements must be received at least one week before the public meeting and may be emailed, hand-delivered, or sent by mail. DOE prefers to receive requests and advance copies via email. Please include a telephone number to enable DOE staff to make a follow-up contact, if needed. C. Conduct of Public Meeting DOE will designate a DOE official to preside at the public meeting and may also use a professional facilitator to aid discussion. The meeting will not be a judicial or evidentiary-type public hearing, but DOE will conduct it in accordance with section 336 of EPCA (42 U.S.C. 6306). A court reporter will be present to record the proceedings and prepare a transcript. DOE reserves the right to schedule the order of presentations and to establish the procedures governing the conduct of the public meeting. After the public meeting, interested parties may submit further comments on the proceedings as well as on any aspect of the rulemaking until the end of the comment period. The public meeting will be conducted in an informal, conference style. DOE will present summaries of comments received before the public meeting, allow time for prepared general statements by participants, and encourage all interested parties to share their views on issues affecting this rulemaking. Each participant will be allowed to make a general statement (within time limits determined by DOE), before the discussion of specific topics. DOE will permit, as time permits, other participants to comment briefly on any general statements. At the end of all prepared statements on a topic, DOE will permit participants to clarify their statements briefly and comment on statements made by others. Participants should be prepared to answer questions by DOE and by other participants concerning these issues. DOE representatives may also ask VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 questions of participants concerning other matters relevant to this rulemaking. The official conducting the public meeting will accept additional comments or questions from those attending, as time permits. The presiding official will announce any further procedural rules or modification of the above procedures that may be needed for the proper conduct of the public meeting. A transcript of the public meeting will be included in the docket, which can be viewed as described in the Docket section at the beginning of this notice. In addition, any person may buy a copy of the transcript from the transcribing reporter. D. Submission of Comments DOE will accept comments, data, and information regarding this proposed rule before or after the public meeting, but no later than the date provided in the DATES section at the beginning of this proposed rule. Interested parties may submit comments using any of the methods described in the ADDRESSES section at the beginning of this notice. Submitting comments via regulations.gov. The regulations.gov web page will require you to provide your name and contact information. Your contact information will be viewable to DOE Building Technologies staff only. Your contact information will not be publicly viewable except for your first and last names, organization name (if any), and submitter representative name (if any). If your comment is not processed properly because of technical difficulties, DOE will use this information to contact you. If DOE cannot read your comment due to technical difficulties and cannot contact you for clarification, DOE may not be able to consider your comment. However, your contact information will be publicly viewable if you include it in the comment or in any documents attached to your comment. Any information that you do not want to be publicly viewable should not be included in your comment, nor in any document attached to your comment. Persons viewing comments will see only first and last names, organization names, correspondence containing comments, and any documents submitted with the comments. Do not submit to regulations.gov information for which disclosure is restricted by statute, such as trade secrets and commercial or financial information (hereinafter referred to as Confidential Business Information (CBI)). Comments submitted through regulations.gov cannot be claimed as CBI. Comments received through the PO 00000 Frm 00015 Fmt 4702 Sfmt 4702 Web site will waive any CBI claims for the information submitted. For information on submitting CBI, see the Confidential Business Information section. DOE processes submissions made through regulations.gov before posting. Normally, comments will be posted within a few days of being submitted. However, if large volumes of comments are being processed simultaneously, your comment may not be viewable for up to several weeks. Please keep the comment tracking number that regulations.gov provides after you have successfully uploaded your comment. Submitting comments via email, hand delivery, or mail. Comments and documents submitted via email, hand delivery, or mail also will be posted to regulations.gov. If you do not want your personal contact information to be publicly viewable, do not include it in your comment or any accompanying documents. Instead, provide your contact information on a cover letter. Include your first and last names, email address, telephone number, and optional mailing address. The cover letter will not be publicly viewable as long as it does not include any comments. Include contact information each time you submit comments, data, documents, and other information to DOE. Email submissions are preferred. If you submit via mail or hand delivery, please provide all items on a CD, if feasible. It is not necessary to submit printed copies. No facsimiles (faxes) will be accepted. Comments, data, and other information submitted to DOE electronically should be provided in PDF (preferred), Microsoft Word or Excel, WordPerfect, or text (ASCII) file format. Provide documents that are not secured, written in English and are free of any defects or viruses. Documents should not contain special characters or any form of encryption and, if possible, they should carry the electronic signature of the author. Campaign form letters. Please submit campaign form letters by the originating organization in batches of between 50 to 500 form letters per PDF or as one form letter with a list of supporters’ names compiled into one or more PDFs. This reduces comment processing and posting time. Confidential Business Information. According to 10 CFR 1004.11, any person submitting information that he or she believes to be confidential and exempt by law from public disclosure should submit via email, postal mail, or hand delivery two well-marked copies: one copy of the document marked E:\FR\FM\15DEP1.SGM 15DEP1 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules confidential including all the information believed to be confidential, and one copy of the document marked non-confidential with the information believed to be confidential deleted. Submit these documents via email or on a CD, if feasible. DOE will make its own determination about the confidential status of the information and treat it according to its determination. Factors of interest to DOE when evaluating requests to treat submitted information as confidential include: (1) A description of the items; (2) whether and why such items are customarily treated as confidential within the industry; (3) whether the information is generally known by or available from other sources; (4) whether the information has previously been made available to others without obligation concerning its confidentiality; (5) an explanation of the competitive injury to the submitting person which would result from public disclosure; (6) when such information might lose its confidential character due to the passage of time; and (7) why disclosure of the information would be contrary to the public interest. It is DOE’s policy that all comments may be included in the public docket, without change and as received, including any personal information provided in the comments (except information deemed to be exempt from public disclosure). E. Issues on Which DOE Seeks Comment DOE proposes that HID lamp efficacy testing be based on the industry standards ANSI C78.379, ANSI C78.389, CIE 13.3, CIE 15, LM–47, and LM–51. DOE invites comments and data on the proposed HID lamp test procedures. Although comments are welcome on all aspects of this rulemaking, DOE is particularly interested in comments on the following: 1. Definitions DOE seeks comments on all of the proposed definitions in this NOPR; see section III.A. pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 2. Ambient Test Temperatures DOE invites comments and data on the applicability of the proposed ambient test temperature requirements (25 °C ±5 °C) based on ANSI C78.389. DOE is particularly interested in comments on whether an alternate set of ambient test conditions might be more appropriate for HID lamp testing. See section III.B.1.a.i for a discussion of the proposed ambient temperature conditions. VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 3. Air Speed DOE invites comments and data on the appropriateness of adopting the maximum air speed limit (5 ≤ meters per second) for HID lamp testing that DOE required for the MH lamp ballast test procedures. See section III.B.1.a.ii for a discussion of the proposed air movement requirements. 77929 method for re-stabilization after lamp transfer should be considered. See section III.B.2.d for a discussion of the method for lamp transfer and restabilization. 10. Lamp Orientation 4. Power Supply Characteristics DOE invites comments on the appropriateness of adopting the waveshape and power source impedance requirements set forth in ANSI C78.389 and the voltage regulation requirement set forth in LM– 51, as summarized and discussed in section III.B.1.b. 5. Reference Ballasts DOE invites comments on the proposed reference ballast requirements and the appropriateness of adopting the recommendations in ANSI C78.389, as summarized and discussed in section III.B.1.c. DOE invites comments on the appropriateness of DOE’s proposed adoption of the lamp orientation requirements specified in section 3.6 of ANSI C78.389, which require base up positioning unless the manufacturer specifies a different orientation on the lamp, lamp packaging, or lamp data sheet. DOE also seeks comments on whether a preferred lamp orientation approach exists within the industry for lamp testing. See section III.B.2.e for a discussion of the proposed lamp orientation requirements. 11. Special Consideration for Directional Lamps 6. Instrumentation DOE invites comments on the proposed instrumentation specifications and the appropriateness of adopting these requirements from the industry standards ANSI C78.389, section 3.8, and LM–51, section 9.0, as summarized and discussed in section III.B.1.d. 7. Sampling Plans DOE invites comments and data on the precision and applicability of the proposed sample of 21 for HID lamps for testing. DOE seeks comments on whether an alternative sampling method exists that might be more appropriate for HID lamps. See section III.B.2.b for a discussion of the proposed sampling method. 8. Lamp Aging and Stabilization DOE invites comments and data on the applicability of the proposed 100hour lamp aging requirement and lamp stabilization method, both of which are set forth in ANSI C78.389, section 3.7. DOE is particularly interested in whether a preferred lamp aging or lamp stabilization approach exists within the industry. See section III.B.2.c for a discussion of the proposed lamp aging and stabilization conditions and requirements. 9. Lamp/Circuit Transfer DOE has proposed that lamp transfer and re-stabilization methods of HID lamps be performed using the method described in section 3.7 of ANSI C78.389. DOE invites data and comments on whether an alternative PO 00000 Frm 00016 Fmt 4702 Sfmt 4702 DOE invites comments on the proposed set-up and measurement methods for directional lamps based on ANSI C78.379. See section III.B.3 for a discussion of proposed beam angle calculations, and section III.D.2 for a discussion of proposed test set-up and measurement requirements. 12. Laboratory Accreditation Program DOE has proposed adopting the lab accreditation plan in the GSFL/GSIL/ IRL test procedures, which would require laboratories that have been accredited by NVLAP or by an accrediting organization recognized by NVLAP for the testing of HID lamps. DOE invites comments on whether additional or alternative requirements for testing laboratories should be considered. See section III.C for a discussion of the proposed laboratory accreditation program. 13. Test Measurements and Calculations DOE invites data and comments on the applicability of the proposed measurement and calculation of lamp efficacy procedures for omni-directional lamps, as well as the proposed efficiency measurements and calculation procedures for directional lamps using center beam intensity and beam angle. DOE also seeks comment on the measurement methods proposed for lumen maintenance and color characteristics (CCT and CRI) according to the requirements of ANSI C78.379, CIE 13.3, CIE 15, IES LM–47, and LM– 51. See section III.E for a discussion of the proposed testing measurements and calculations. E:\FR\FM\15DEP1.SGM 15DEP1 77930 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules 14. Small Entities DOE seeks comments on its reasoning that the proposed test procedures will not have a significant effect on a substantial number of small entities. VI. Approval of the Office of the Secretary The Secretary of Energy has approved publication of this proposed rule. List of Subjects 10 CFR Part 429 Administrative practice and procedure, Buildings and facilities, Business and industry, Energy conservation, Grants programs—energy, Housing, Reporting and recordkeeping requirements, Technical assistance. 10 CFR Part 431 Administrative practice and procedure, Confidential business information, Energy conservation test procedures, Incorporation by reference, Reporting and recordkeeping requirements, and Small business. discharge (HID) lamps. HID lamps include high-pressure sodium, mercury vapor, and metal halide lamps. (2)(i) For each basic model of HID lamp, samples of production lamps shall be obtained from a 12-month period, tested, and the results averaged. A minimum sample of 21 lamps shall be tested. The manufacturer shall randomly select a minimum of 3 lamps from each month of production for a minimum of 7 out of the 12-month period. In the instance where production occurs during fewer than 7 of such 12 months, the manufacturer shall randomly select 3 or more lamps from each month of production, where the number of lamps selected for each month shall be distributed as evenly as practicable among the months of production to attain a minimum sample of 21 lamps. Any represented value of lamp efficacy and lumen maintenance of a basic model shall be based on the sample and shall be less than or equal to the lower of: (A) The mean of the sample, where: Issued in Washington, DC, on November 28, 2011. Kathleen B. Hogan, Deputy Assistant Secretary for Energy Efficiency, Office of Energy Efficiency and Renewable Energy. ¯ and X is the sample mean; n is the number of samples; and xi is the ith sample; For the reasons stated in the preamble, DOE proposes to amend parts 429 and 431 of chapter II of title 10, of the Code of Federal Regulations, as set forth as follows. Or, (B) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.97, where: pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 ¯ and X is the sample mean; s is the sample standard deviation; n is the number of samples, and t0.95 is the t statistic for a 95-percent onetailed confidence interval with n-1 degrees of freedom (from appendix A). (ii) For each basic model of highintensity discharge lamp, the color rendering index (CRI) shall be measured from the same lamps selected for the lumen output and watts input measurements in paragraph (a)(2)(i) of this section i.e., the manufacturer shall measure all lamps for lumens, lamp electrical input power, and CRI. The CRI shall be represented as the average of a minimum sample of 21 lamps and shall be less than or equal to the lower of: (i) The mean of the sample, where: High-intensity discharge (HID) (a) Sampling plan for selection of units for testing. (1) The requirements of § 429.11 are applicable to high-intensity ¯ and X is the sample mean; n is the number of samples; and xi is the ith sample; Or, PO 00000 Frm 00017 Fmt 4702 Sfmt 4702 2. Subpart 431.2 is amended by adding in alphabetical order, definitions for ‘‘Ballast’’, ‘‘Beam angle’’, ‘‘Color rendering index or CRI’’, ‘‘Correlated color temperature’’, ‘‘Directional lamp’’, ‘‘High-intensity discharge lamp’’, ‘‘Highpressure sodium (HPS) lamp’’, ‘‘Lamp efficacy’’, ‘‘Lamp electrical power input’’, ‘‘Lamp wattage’’, ‘‘Lumen maintenance’’, ‘‘Mercury vapor lamp’’, ‘‘Metal halide lamp’’, ‘‘Rated luminous flux or rated lumen output’’, and ‘‘Selfballasted lamp’’ to read as follows: § 431.2 Definitions. * * * * * Ballast means a device used with an electric discharge lamp to obtain necessary circuit conditions (voltage, current, and waveform) for starting and operating. Beam angle means the beam angle (or angles) as measured according to the requirements of ANSI C78.379 (incorporated by reference, see § 431.453), including complex beam angles, as described in ANSI C78.379. Color rendering index or CRI means the measured degree of color shift objects undergo when illuminated by a light source as compared with the color of those same objects when illuminated by a reference source of comparable color temperature. Correlated color temperature means the absolute temperature of a blackbody whose chromaticity most nearly resembles that of the light source. * * * * * E:\FR\FM\15DEP1.SGM 15DEP1 EP15DE11.005</GPH> Definitions. (a) The definitions found in §§ 430.2, 431.2, 431.62 431.72, 431.82, 431.92, 431.102, 431.132, 431.152, 431.172, 431.192, 431.202, 431.222, 431.242, 431.262, 431.282, 431.292, 431.302, 431.322, 431.442, and 431.452 apply for purpose of this part. * * * * * 3. Section 429.55 is added to read as follows: Jkt 226001 1. The authority citation for part 431 continues to read as follows: EP15DE11.004</GPH> 2. In § 429.2 revise paragraph (a) to read as follows: 14:53 Dec 14, 2011 PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT EP15DE11.003</GPH> Authority: 42 U.S.C. 6291–6317. VerDate Mar<15>2010 (b) Certification reports. [Reserved] (c) Test data. Manufacturers must include the production date codes and the accompanying decoding scheme corresponding to all of the units tested for a given basic model in the detailed test records maintained under § 429.71. EP15DE11.002</GPH> 1. The authority citation for part 429 continues to read as follows: § 429.55 lamps. ¯ and X is the sample mean; s is the sample standard deviation; n is the number of samples, and t0.95 is the t statistic for a 95-percent onetailed confidence interval with n-1 degrees of freedom (from appendix A). Authority: 42 U.S.C. 6291–6317. PART 429—CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT § 429.2 (ii) The lower 95 percent confidence limit (LCL) of the true mean divided by 0.97, where: pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules Directional lamp means a lamp emitting at least 80 percent of its light output within a solid angle of p steradians (corresponding to a cone with an angle of 120 degrees). * * * * * High-intensity discharge lamp means an electric-discharge lamp in which— (i) The light-producing arc is stabilized by the arc tube wall temperature; and (ii) The arc tube wall loading is in excess of 3 watts/cm2, including such lamps that are high-pressure sodium, mercury vapor, and metal halide lamps. High-pressure sodium (HPS) lamp means a high-intensity discharge lamp in which the major portion of the light is produced by radiation from sodium vapor operating at a partial pressure of about 6,670 pascals (approximately 0.066 atmospheres or 50 torr) or greater. * * * * * Lamp efficacy means the ratio of rated lumen output (or rated luminous flux) to the measured lamp electrical power input in watts, rounded to the nearest tenth, in units of lumens per watt (lm/W). Lamp electrical power input means the total electrical power input to the lamp, including both arc and cathode power where appropriate, at the reference condition, units of watts. Lamp wattage means the total electrical power required by a lamp in watts measured following the initial aging period referenced in the appropriate industry standard. Lumen maintenance means the luminous flux or lumen output at a given time in the life of the lamp and expressed as a percentage of the rated luminous flux or rated lumen output, respectively. Mercury vapor lamp means a highintensity discharge lamp, including clear, phosphor-coated, and self-ballast screw base lamps, in which the major portion of the light is produced by radiation from mercury typically operating at a partial vapor pressure in excess of 100,000 Pa (approximately 1 atm). Metal halide lamp means a highintensity discharge lamp in which the major portion of the light is produced by radiation of metal halides and their products of dissociation, possibly in combination with metallic vapors. * * * * * Rated luminous flux or rated lumen output means the initial lumen rating (100 hour) declared by the manufacturer, which consists of the lumen rating of a lamp at the end of 100 hours of operation. Self-ballasted lamp means a lamp unit that incorporates all elements that VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 are necessary for the starting and stable operation of the lamp in a permanent enclosure, and that does not include any replaceable or interchangeable parts. * * * * * § 431.282 3. Section 431.282 is amended by removing the definitions of ‘‘ballast’’, ‘‘high intensity discharge lamp’’, and ‘‘mercury vapor lamp’’. 4. Section 431.322 is amended by removing the definitions of ‘‘ballast’’ and ‘‘metal halide ballast’’, and revising the definition of ‘‘ballast efficiency’’ to read as follows: § 431. 322 Definitions concerning metal halide lamp ballasts and fixtures. * * * * * Ballast efficiency means, in the case of a high-intensity discharge fixture, the efficiency of a lamp and ballast combination, expressed as a percentage, and calculated in accordance with the following formula: Efficiency = Lamp electrical power input/Ballast power input where: (1) Lamp electrical power input means the total electrical power input to the lamp, including both arc and cathode power where appropriate, at the reference condition, units of watts; (2) Ballast power input equals the measured operating input wattage; (3) The lamp, and the capacitor when the capacitor is provided, shall constitute a nominal system in accordance with the ANSI C78.43 (incorporated by reference; see § 431.323); (4) For ballasts with a frequency of 60 Hz, ballast power input and lamp electrical power input shall be measured after lamps have been stabilized according to section 4.4 of ANSI C82.6 (incorporated by reference; see § 431.323) using a wattmeter with accuracy specified in section 4.5 of ANSI C82.6; and (5) For ballasts with a frequency greater than 60 Hz, ballast power input and lamp electrical power input shall have a basic accuracy of ±0.5 percent at the higher of either 3 times the output operating frequency of the ballast or 2.4 kHz. * * * * * 5. Subpart Y is added to part 431 to read as follows: Subpart Y—High-Intensity Discharge Lamps Sec. 431.451 Purpose and scope. 431.452 Definitions concerning highintensity discharge lamps. 431.453 Material incorporated by reference. PO 00000 Frm 00018 Fmt 4702 431.454 Uniform test method for calculation of lamp efficacy and lumen maintenance from lamp measurements. 431.455 Energy conservation standards and their dates. § 431.451 [Amended] Sfmt 4702 77931 Purpose and scope. This subpart contains energy conservation requirements for highintensity discharge lamps, pursuant to Part A–1 of Title III of the Energy Policy and Conservation Act, as amended, and 42 U.S.C. 6311–6317. § 431.452 Definitions concerning highintensity discharge lamps. Basic model with respect to HID lamps means lamps that are of the same designation, or class, and that have identical electrical characteristics and performance characteristics—including wattage, bulb shape, base, lumen output, starting method, correlated color temperature (CCT), and color rendering index (CRI)—and do not have any differing physical or functional characteristics that affect their energy use. § 431.453 Material incorporated by reference. (a) General. We incorporate by reference the following standards into Subpart Y of Part 431. The material listed has been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to a standard by the standard-setting organization will not affect the DOE regulations unless and until amended by DOE. Material is incorporated as it exists on the date of the approval, and a notice of any change in the material will be published in the Federal Register. All approved material is available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202) 741–6030 or go to https://www.archives.gov/ federal_register/ code_of_federal_regulations/ ibr_locations.html. Also, this material is available for inspection at U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 6th Floor, 950 L’Enfant Plaza SW., Washington, DC 20024, (202) 586–2945, or go to: https://www1.eere.energy.gov/ buildings/appliance_standards/. Standards can be obtained from the sources listed as follows. (b) ANSI. American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036, (212) E:\FR\FM\15DEP1.SGM 15DEP1 77932 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules 642–4900, or go to https:// www.ansi.org. (1) ANSI C78.379–2006 (‘‘ANSI C78.379’’), For Electric Lamps— Classification of the Beam Patterns of Reflector Lamps, approved 2006, IBR approved for § 431.454. (2) ANSI C78.389–2004 (R2009) (‘‘ANSI C78.389’’), American National Standard Institute Electric Lamps— High Intensity Discharge—Methods of Measuring Characteristics, approved August 9, 2009, IBR approved for § 431.454. (c) CIE. International Commission on Illumination (Commission Internationale de l’Eclairage) Central Bureau, Kegelgasse 27, A– 1030, Vienna, Austria, 011+43 1 714 31 87 0, or go to https:// www.cie.co.at. (1) CIE 13.3–1995 (‘‘CIE 13.3’’), Technical Report: Method of Measuring and Specifying Colour Rendering Properties of Light Sources, 1995. IBR approved for § 431.454. (d) CIE 15:2004 (‘‘CIE 15’’), Technical Report: Colorimetry, 2004. IBR approved for § 431.454. (c) IES. Illuminating Engineering Society of North America, 120 Wall Street, Floor 17, New York, NY 10005–4001, (212) 248–5000, or go to https://www.iesna.org. (1) IES LM–47–01 (‘‘LM–47’’), Approved Method for Life Testing of High Intensity Discharge (HID) Lamps, 2001. IBR approved for § 431.454. (2) IES LM–51–00 (‘‘LM–51’’), Approved Method for the Electrical and Photometric Measurements of High Intensity Discharge Lamps, 2000. IBR approved for § 431.454. pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 § 431.454 Uniform test method for calculation of lamp efficacy and lumen maintenance from lamp measurements. (a) Test Method for Measuring Energy Efficiency of High-Intensity Discharge Lamps—(1) Test Setup and Conditions. The lamps being tested are to be operated at the required specified conditions with the lamps stabilized and operating on the reference circuit before any measurements are taken. Photometric characteristics to be measured are total luminous flux (lumens), luminous intensity (candelas), and color characteristics (CCT and CRI). Lamp electrical characteristics to be measured are those required to calculate lamp efficacy during normal operation (e.g., line voltage, lamp voltage, input current, and lamp electrical power input). All measured quantities must be obtained using an appropriately rated reference ballast or power source whose characteristics are within the required VerDate Mar<15>2010 18:14 Dec 14, 2011 Jkt 226001 specifications listed as follows. The test equipment required to conduct all the necessary test procedure electrical and photometric measurements must be within calibration and meet the required performance specifications in ANSI C78.389 (incorporated by reference, see § 431.453) and LM–51 (incorporated by reference, see § 431.453). All lamps to be tested must be aged for 100 hours in the same burning position as would be used during testing; typical lamp orientation will be base up unless otherwise designated by the manufacturer. Prior to any measurement, all lamps must be stabilized according to specific methods for each lamp type identified in ANSI C78.389, section 3.7. Lamps placed into long-term testing to determine lumen maintenance shall be operated with an appropriately rated ballast, as described as follows, or power source under specified normal operating conditions, outlined as follows, and must be operated in the orientation specified in paragraph (b)(4) of this section. (i) Ambient Conditions The test apparatus must be operated in a location where ambient conditions are stable (e.g., ambient temperature and air movement), in accordance with the specifications listed as follows. A. Ambient Test Temperature The ambient temperature shall be 25 °C ± 5 °C. B. Air Speed The air speed limit shall be ≤ 0.5 meters per second. (ii) Power Supply Characteristics Power supply characteristics and instrumentation requirements are specified in ANSI C78.389 and LM–51. A. Waveshape Waveshape requirements are set forth in ANSI C78.389. The lamp being tested shall be operated with a sinusoidal voltage supply, and the power supply voltage waveshape shall have a rootmean-square summation of the harmonic components that does not exceed 3 percent of the fundamental frequency. B. Voltage Regulation The power supply voltage shall be regulated to within ±0.1 percent of the reference ballast voltage rating. C. Power Supply Impedance The power supply impedance shall not exceed 2 percent of the reference ballast impedance measured at the point where the reference ballast and lamp are PO 00000 Frm 00019 Fmt 4702 Sfmt 4702 connected. This method implies that variable autotransformers or other voltage transformation devices have kilovolt-amperes ratings of at least five times the normal lamp wattage. (iii) Reference Ballasts For HID lamp testing, the reference ballast used must meet the requirements of ANSI C78.389. For HID lamp measurements (electrical and photometric), the tested lamps must be operated with (1) An appropriately rated reference ballast or (2) a reference ballast with variable impedance that can be set to match each lamp type to be tested. The reference ballast must have the impedance and the electrical characteristics required by the lamp being tested. If electrical readings are to be taken on a lamp for which no ANSI standard exists, the ballast used shall comply with the general requirements for HID lamp reference ballasts and have impedance appropriate for the lamp as specified in ANSI C78.389. (iv) Instrumentation The instruments required for electrical measurements are described in ANSI C78.389, section 3.8. The required photometric instruments are described in LM–51, section 9.0. A. Instrumentation Required for Electrical Measurement Instruments used for electrical measurements must be accurate to better than 0.75 percent over a frequency range of 40 to 1000 Hz, with calibration capability (e.g., scale calibration). See ANSI C78.389, section 3.8.1. Instruments connected in series with the HID lamp being tested are to have an impedance such that the voltage drop does not exceed 2 percent (1 percent for HPS lamps) of the rated lamp voltage, unless the impedance has already been included as part of the reference ballast impedance. To avoid instrument-incircuit corrections, the voltage drop shall not exceed 0.75 percent (0.50 percent for HPS lamps) of the rated lamp voltage. For lamp voltage measurements, instruments connected in parallel with the lamp being tested shall draw less than 1 percent of the rated lamp current. To avoid correcting for the presence of such instruments, the current draw shall be limited to 0.5 percent of the rated lamp current. Instruments selected for HID lamp voltage and current measurement shall be of the true RMS type and have a specified accuracy and frequency response adequate to meet the specified uncertainty requirements (i.e., ±0.5 percent for voltage and current and ±0.75 percent for wattage). E:\FR\FM\15DEP1.SGM 15DEP1 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules B. Instrumentation for Photometric Measurement The photometer shall have a relative spectral responsivity that approximates the V-lambda (V(l)) function. The detector used in an integrating sphere measurement shall have a wide field of view (approximating a cosine response). If a diffuser is used on the detector, its surface shall be mounted flush with the sphere wall. An integrating sphere shall be used for luminous flux measurements and must be large enough to allow the sphere interior ambient temperature to reach thermal equilibrium at the specified ambient temperature and to permit the internal baffle(s) to be small relative to the size of the integrating sphere. In the case of goniophotometer measurements, the detector required for intensity distribution measurements shall have a cosine response. The intensity distribution around a lamp may be determined with a photometer at a recommended minimum distance of five times the longest dimension of the lamp. The axis of rotation chosen to vary the angle between the lamp and the detector shall preserve the lamp orientation relative to the detector to provide measurement consistency and repeatability. Photometric measurements of color characteristics shall be specified in terms of the CIE colorimetry system and CRI. (b) Lamp Selection and Setup— (1) Lamp Aging and Stabilization. For HID lamp testing, a lamp must be aged using the aging method set forth in ANSI C78.389, section 3.7 (incorporated by reference, see § 431.453). A 100-hour 77933 aging period must be used by manufacturers of HID lamps to ensure stable photometric, color qualities, and electrical characteristics of the lamp being tested. This aging is performed once for every lamp before stabilization and testing. During the aging period, the lamp must be operated in the same orientation in which it will be used. After this one-time aging process, a lamp being tested must achieve stable operation prior to any measurements and the lamp stabilization method specified in ANSI C78.389, section 3.7, must be used. As detailed in ANSI C78.389, HID lamp stabilization requirements vary with lamp technology. Table I lists the lamp warmup, stabilization, and re-stabilization requirements for MV, HPS, and MH lamps. TABLE I—ANSI C78.389 HID LAMP WARM-UP AND STABILIZATION CRITERIA Lamp type Lamp warm-up time MV ................................ 15–20 mins .......................................... HPS .............................. 1 hour ................................................... MH ................................ 6 hours Operated within ± 10% rated wattage. (2) Lamp/Circuit Transfer. Lamp transfer and re-stabilization must be conducted according to ANSI C78.389, section 3.7. The lamp cool down and transfer requirements of ANSI C78.389, section 3.7, are shown in Table II. The requirements vary with HID lamp type, as well as with the specifics of the lamp Stabilization criteria 3 successive measurements (voltage and current). 5 minute measurement intervals. Change in value < 1.0%. 3 successive measurements (voltage and current). 10–15 minute measurement intervals. Change in value < 1.0%. 3 successive measurements (voltage and current). 10–15 minute measurement intervals. Change in value < 3.0%. movement. MH lamps that will be physically relocated without a change in orientation must be allowed to cool to 60 °C before moving and then warmed up for 30 minutes in any new location before stabilization measurements may begin; if the orientation will change, the MH lamp must be operated for 6 hours in the final testing orientation before stabilization measurements may be taken. HPS lamps require a cooling period of at least 1 hour before the lamp may be moved and re-started prior to stabilization measurements. MV lamps do not require cooling, but must be warmed up before stabilization measurements may be taken after the lamps are moved. TABLE II—ANSI C78.389 HID LAMP COOL DOWN AND RE-STABILIZATION REQUIREMENTS Lamp type Cooling requirement MV ................................ HPS .............................. None .................................................... Allow to cool for 1 hour minimum before relocating. Cool to below 60 °C if relocating ......... pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 MH ................................ (3) Lamp Orientation. Lamp orientation requirements are those specified in ANSI C78.389, section 3.6, for HID lamp testing. A lamp marked or otherwise designated for use in a specific operating position must be tested in that position. If no operating position is specified or the lamp is marked ‘‘universal,’’ the lamp shall be operated in the base up position. (c) Laboratory Accreditation Program. VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 Re-stabilization time Not in standard, Reconfirm stabilized operations upon transfer/restrike. Not in standard, Reconfirm stabilized operations upon transfer/restrike. No relocation no reorientation—30 minutes, Relocation with no reorientation—30 minutes, Reorientation—6 hours. Testing for HID lamps shall be conducted by test laboratories accredited by the National Voluntary Laboratory Accreditation Program (NVLAP) or by an accrediting organization recognized by NVLAP. NVLAP establishes standards for the accreditation of laboratories that test for compliance with relevant industry standards pursuant to 15 CFR 285.3. A manufacturer’s or importer’s own PO 00000 Frm 00020 Fmt 4702 Sfmt 4702 laboratory, if accredited, may be used to conduct the applicable testing. (d) Test Measurements and Calculations— (1) Measurement and Calculation of Efficacy. HID lamp efficacy shall be calculated as the lumen output divided by the input lamp wattage measured, with the resulting quotient rounded off to the nearest tenth of a lumen per watt. E:\FR\FM\15DEP1.SGM 15DEP1 77934 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules (2) Measurement and Calculation of Center Beam Intensity and Beam Angle. The test procedure described in ANSI C78.379 (incorporated by reference, see § 431.453) shall be followed for measuring center beam intensity and beam angle of directional lamps with symmetrical or asymmetrical beams. For lamps with complex beam patterns, the test procedure described in ANSI C78.379, annex A, shall be followed. (3) Test Method for Measuring Lumen Maintenance. HID lamp lumen maintenance shall be determined, following the method specified in LM–47 (incorporated by reference, see § 431.453), after initial lamp aging and initial lumen output measurement. At a minimum, the lumen maintenance measurements shall be collected at 40 percent and 70 percent of rated lamp life, as described in LM– 47. (4) Measurement and Calculation of Correlated Color Temperature and Color Rendering Index. HID lamp CCT and CRI shall be determined using the methods for measurement and characterizing color set forth in CIE 15 and CIE 13.3 (incorporated by reference, see §§ 431.453). § 431.455 Energy conservation standards and their compliance dates. [Reserved] [FR Doc. 2011–32162 Filed 12–14–11; 8:45 am] BILLING CODE 6450–01–P DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Part 39 [Docket No. FAA–2011–1321; Directorate Identifier 2011–NM–045–AD] RIN 2120–AA64 Airworthiness Directives; Airbus Airplanes Federal Aviation Administration (FAA), DOT. ACTION: Notice of proposed rulemaking (NPRM). AGENCY: We propose to adopt a new airworthiness directive (AD) for certain Airbus Model A319 series airplanes, Model A320–211, –212, –214, –231, –232, and –233 airplanes, and Model A321 series airplanes that would supersede an existing AD. This proposed AD results from mandatory continuing airworthiness information (MCAI) originated by an aviation authority of another country to identify pmangrum on DSK3VPTVN1PROD with PROPOSALS-1 SUMMARY: VerDate Mar<15>2010 14:53 Dec 14, 2011 Jkt 226001 and correct an unsafe condition on an aviation product. The MCAI describes the unsafe condition as: Following an automatic [additional center tank(s)] ACT fuel transfer failure on an A319, it was noted that the ACT manhole cover seals were extruded, allowing leakage. This condition, if not corrected, can lead to fuel and/or vapour leakage, possibly resulting in a combustible fuel vapour/air mixture in the cargo compartment, which would constitute a fire risk. * * * * * The proposed AD would require actions that are intended to address the unsafe condition described in the MCAI. DATES: We must receive comments on this proposed AD by January 30, 2012. ADDRESSES: You may send comments by any of the following methods: • Federal eRulemaking Portal: Go to https://www.regulations.gov. Follow the instructions for submitting comments. • Fax: (202) 493–2251. • Mail: U.S. Department of Transportation, Docket Operations, M–30, West Building Ground Floor, Room W12–140, 1200 New Jersey Avenue SE., Washington, DC 20590. • Hand Delivery: U.S. Department of Transportation, Docket Operations, M–30, West Building Ground Floor, Room W12–140, 1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. For service information identified in this proposed AD, contact Airbus, Airworthiness Office—EAS, 1 Rond Point Maurice Bellonte, 31707 Blagnac Cedex, France; telephone +33 5 61 93 36 96; fax +33 5 61 93 44 51; email: account.airworth-eas@airbus.com; Internet https://www.airbus.com. You may review copies of the referenced service information at the FAA, Transport Airplane Directorate, 1601 Lind Avenue SW., Renton, Washington. For information on the availability of this material at the FAA, call (425) 227– 1221. Examining the AD Docket You may examine the AD docket on the Internet at https:// www.regulations.gov; or in person at the Docket Operations office between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The AD docket contains this proposed AD, the regulatory evaluation, any comments received, and other information. The street address for the Docket Operations office (telephone (800) 647–5527) is in the ADDRESSES section. Comments will be available in the AD docket shortly after receipt. FOR FURTHER INFORMATION CONTACT: Sanjay Ralhan, Aerospace Engineer, PO 00000 Frm 00021 Fmt 4702 Sfmt 4702 International Branch, ANM–116, Transport Airplane Directorate, FAA, 1601 Lind Avenue SW., Renton, Washington 98057–3356; telephone (425) 227–1405; fax (425) 227–1149. SUPPLEMENTARY INFORMATION: Comments Invited We invite you to send any written relevant data, views, or arguments about this proposed AD. Send your comments to an address listed under the ADDRESSES section. Include ‘‘Docket No. FAA–2011–1321; Directorate Identifier 2011–NM–045–AD’’ at the beginning of your comments. We specifically invite comments on the overall regulatory, economic, environmental, and energy aspects of this proposed AD. We will consider all comments received by the closing date and may amend this proposed AD based on those comments. We will post all comments we receive, without change, to https:// www.regulations.gov, including any personal information you provide. We will also post a report summarizing each substantive verbal contact we receive about this proposed AD. Discussion On October 26, 2005, we issued AD 2005–23–02, Amendment 39–14360 (70 FR 69067, November 14, 2005). That AD required actions intended to address an unsafe condition on Airbus Model A319–100 Series Airplanes, Model A320–111 airplanes, Model A320–200 series airplanes, and Model A321–100 series airplanes. Since we issued AD 2005–23–02, Amendment 39–14360 (70 FR 69067, November 14, 2005), The European Aviation Safety Agency (EASA), which is the Technical Agent for the Member States of the European Community, has issued EASA Airworthiness Directive 2010–0177, dated August 30, 2010 (referred to after this as ‘‘the MCAI’’), to correct an unsafe condition for the specified products. The MCAI states: Following an automatic ACT fuel transfer failure on an A319, it was noted that the ACT manhole cover seals were extruded, allowing leakage. This condition, if not corrected, can lead to fuel and/or vapour leakage, possibly resulting in a combustible fuel vapour/air mixture in the cargo compartment, which would constitute a fire risk. DGAC France AD F–2004–038 [which corresponds to FAA AD 2005–23–02] was issued to require the replacement of the ACT manhole cover and its seal in accordance with SB A320–28–1105, but this modification has proved not to be fully effective. Therefore, it is necessary to replace the seal material and to change the installation process in order to prevent such seal deformation and possibility of leakage. E:\FR\FM\15DEP1.SGM 15DEP1

Agencies

DEPARTMENT OF ENERGY

[Federal Register Volume 76, Number 241 (Thursday, December 15, 2011)]
[Proposed Rules]
[Pages 77914-77934]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-32162]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[Docket No. EERE-2010-BT-TP-0044]
RIN 1904-AC37

Energy Conservation Program for Certain Commercial and Industrial
Equipment: Test Procedures for High-Intensity Discharge Lamps

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

ACTION: Notice of proposed rulemaking.

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

SUMMARY: The U.S. Department of Energy (DOE) proposes to establish its
test procedures for high-intensity discharge (HID) lamps under the
Energy Policy and Conservation Act of 1975 (EPCA), as amended. The
proposed test procedures are based on industry standard procedures and
practices already established by the American National Standards
Institute (ANSI), the Illuminating Engineering Society of North America
(IES), and the International Commission on Illumination (Commission
Internationale de l'Eclairage (CIE)). The proposed test procedures
would include measurement of parameters to enable calculation of lamp
efficacy (in lumens per watt or lm/W), and would also provide for the
efficiency measurement of directional lamps using center beam intensity
(in candelas) and beam angle. The proposed procedures would also
measure lumen maintenance (i.e., the fraction or percentage of lamp
light output relative to initial output, over time) at 40 percent and
70 percent of rated lamp lifetime. Correlated color temperature (CCT)
and color rendering index (CRI) would also be measured as potential
means to delineate equipment classes for HID lamps. This notice of
proposed rulemaking (NOPR) also discusses DOE's conclusion that HID
lamps do not operate or use energy in standby mode or off mode.
Therefore, DOE does not propose test procedures for these modes.

DATES: DOE will hold a public meeting on Thursday, January 19, 2012,
from 9 a.m. to 2 p.m., in Washington, DC. The meeting will also be
broadcast as a webinar. See section V, ``Public Participation,'' for
webinar registration information, participant instructions,

[[Page 77915]]

and information about the capabilities available to webinar
participants.
DOE will accept comments, data, and information regarding this NOPR
before and after the public meeting, but no later than February 28,
2012. See section V, ``Public Participation,'' for details.

ADDRESSES: The public meeting will be held at the U.S. Department of
Energy, Forrestal Building, Room 8E-089 1000 Independence Avenue SW.,
Washington, DC 20585. To attend, please notify Ms. Brenda Edwards at
(202) 586-2945. Please note that foreign nationals visiting DOE
Headquarters are subject to advance security screening procedures. Any
foreign national wishing to participate in the meeting should advise
DOE as soon as possible by contacting Ms. Brenda Edwards at (202) 586-
2945 to initiate the necessary procedures. Please also note that those
wishing to bring laptop computers into the Forrestal Building will be
required to obtain a property pass. Visitors should avoid bringing
laptop computers, or allow an extra 45 minutes for security screening
procedures. Persons can attend the public meeting via webinar. For more
information, refer to the Public Participation section near the end of
this notice.
Any comments submitted must identify the NOPR for test procedures
for high-intensity discharge lamps, and provide docket number EERE-
2010-BT-TP-0044 and/or regulatory information number (RIN) 1904-AC37.
Comments may be submitted using any of the following methods:
1. Federal eRulemaking Portal: https://www.regulations.gov. Follow
the instructions for submitting comments.
2. Email: HIDLamps-2010-TP-0044@ee.doe.gov. Include the docket
number EERE-2010-BT-TP-0044 and/or RIN 1904-AC37 in the subject line of
the message.
3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue SW.,
Washington, DC 20585-0121. If possible, please submit all items on a
CD. It is not necessary to include printed copies.
4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of
Energy, Building Technologies Program, 950 L'Enfant Plaza SW., Suite
600, Washington, DC 20024.
Telephone: (202) 586-2945. If possible, please submit all items on
a CD. It is not necessary to include printed copies.
For detailed instructions on submitting comments and additional
information on the rulemaking process, see section V of this document
(Public Participation).
Docket: The docket is available for review at https://www.regulations.gov, including Federal Register notices, framework
documents, public meeting attendee lists and transcripts, comments, and
other supporting documents/materials. All documents in the docket are
listed in the https://www.regulations.gov index. However, not all
documents listed in the index may be publicly available, such as
information that is exempt from public disclosure.
A link to the docket web page can be found at: https://www1.eere.energy.gov/buildings/appliance_standards/commercial/high_intensity_discharge_lamps.html. 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. See
section V for information on how to submit comments through
regulations.gov.

FOR FURTHER INFORMATION CONTACT: Dr. Tina Kaarsberg, 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) 287-1393. Email:
Tina.Kaarsberg@ee.doe.gov.
Ms. Elizabeth Kohl or Ms. Jennifer Tiedeman, U.S. Department of
Energy, Office of the General Counsel, GC-71, 1000 Independence Avenue
SW., Washington, DC 20585-0121. Telephone: (202) 586-7796 or (202) 287-
6111. Email: Elizabeth.Kohl@hq.doe.gov or Jennifer.Tiedeman@hq.doe.gov.

SUPPLEMENTARY INFORMATION:

I. Background and Authority
II. Summary of the Notice of Proposed Rulemaking
III. Discussion
A. Definitions
1. Definitions Relevant to High-Intensity Discharge Lamps
2. Definition of ``Ballast Efficiency'' for Metal Halide Lamp
Fixtures
3. Definition of ``Basic Model'' for High-Intensity Discharge
Lamps
B. Test Procedure for Measuring Energy Efficiency of High-
Intensity Discharge Lamps
1. Test Setup and Conditions
a. Ambient Conditions
i. Ambient Test Temperature
ii. Air Speed
b. Power Supply Characteristics
i. Voltage Waveshape
ii. Voltage Regulation
iii. Power Supply Impedance
c. Reference Ballasts
d. Instrumentation
i. Instrumentation Required for Electrical Measurement
ii. Instrumentation for Photometric Measurement
2. Lamp Selection and Setup
a. Basic Model
b. Sampling Plans
c. Lamp Aging and Stabilization
d. Lamp/Circuit Transfer
e. Lamp Orientation
3. Special Considerations for Directional Lamps
C. Laboratory Accreditation Program
D. Test Measurements and Calculations
1. Measurement and Calculation of Efficacy
2. Measurement and Calculation of Center Beam Intensity and Beam
Angle
3. Test Method for Measuring Lumen Maintenance
4. Measurement and Calculation of Correlated Color Temperature
and Color Rendering Index
E. Standby Mode and Off Mode Energy Usage
F. Effective Date and Compliance Date to the Test Procedures and
Compliance Date for Submitting High-Intensity Discharge
Certification Reports
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 the Treasury and General Government
Appropriations Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
V. Public Participation
A. Attendance at Public Meeting
B. Procedure for Submitting Prepared General Statement for
Distribution
C. Conduct of Public Meeting
D. Submission of Comments
E. Issues on Which DOE Seeks Comment
1. Definitions
2. Ambient Test Temperatures
3. Air Speed
4. Power Supply Characteristics
5. Reference Ballasts
6. Instrumentation
7. Sampling Plans
8. Lamp Aging and Stabilization
9. Lamp/Circuit Transfer
10. Lamp Orientation
11. Special Consideration for Directional Lamps
12. Laboratory Accreditation Program
13. Test Measurements and Calculations
14. Small Entities
VI. Approval of the Office of the Secretary

I. Background and Authority

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

[[Page 77916]]

seq.; ``EPCA'' or, ``the Act'') sets forth a variety of provisions
designed to improve energy efficiency. (All references to EPCA refer to
the statute as amended through the Energy Independence and Security Act
of 2007 (EISA 2007), Public Law 110-140 (Dec. 19, 2007)). Part B of
title III (42 U.S.C. 6291-6309) establishes the ``Energy Conservation
Program for Consumer Products Other Than Automobiles.'' Part C of title
III, ``Certain Industrial Equipment'' (42 U.S.C. 6311-6317),
establishes an energy conservation program for such equipment. (For
editorial reasons, Parts B and C were re-designated as Parts A and A-1
on codification in the U.S. Code). While HID lamps are defined in 42
U.S.C. 6291(46), DOE is required to set standards for HID lamps in 42
U.S.C. 6317(a)(1)). Therefore, DOE has determined that the provisions
of Part C are applicable to HID lamps.
Under EPCA, this program consists essentially of four parts: (1)
Testing; (2) labeling; and (3) Federal energy conservation standards;
and (4) certification, compliance, and enforcement. The testing
requirements consist of test procedures that manufacturers of covered
equipment must use (1) As the basis for certifying to DOE that their
equipment complies with the applicable energy conservation standards
adopted under EPCA (42 U.S.C. 6295(s) and 6316(a)); and (2) for making
representations about the efficiency of this equipment (42 U.S.C.
6315(b)). Similarly, DOE must use these test requirements to determine
whether the equipment complies with any relevant standards promulgated
under EPCA. (42 U.S.C. 6295(s) and 6316(a)(1))

General Test Procedure Rulemaking Process

Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures
DOE must follow when prescribing or amending test procedures for
covered equipment. EPCA provides in relevant part that any test
procedures prescribed or amended under this section shall be reasonably
designed to produce test results that measure energy efficiency, energy
use, or estimated annual operating cost of a covered product or
equipment during a representative average use cycle or period of use,
as determined by the Secretary of Energy (Secretary), and shall not be
unduly burdensome to conduct. (42 U.S.C. 6314(a)(2))
EPCA requires DOE to prescribe test procedures for HID lamps within
30 months of determining that energy conservation standards are
technologically feasible and economically justified, and would result
in significant energy savings. (42 U.S.C. 6317(a)(1)) DOE published a
positive final notice of determination (determination) regarding HID
lamps on July 1, 2010, concluding that energy conservation standards
for certain HID lamps are technologically feasible and economically
justified, and would likely result in significant energy savings. 75 FR
37975. DOE intends to publish any final HID lamp test procedures by
January 1, 2013.
In today's NOPR, DOE proposes to establish test procedures for HID
lamps based on industry standards pertaining to HID lamp measurements.

II. Summary of the Notice of Proposed Rulemaking

The proposed test procedures include methods to determine lamp
power and lumen output \1\ (lamp efficacy in lumens per watt), and
would also provide for the efficiency measurement of directional lamps
using center beam intensity (in candelas \2\) \3\ and beam angle. The
proposed procedures would also measure lumen maintenance (i.e., the
percentage of lamp light output relative to initial output, over time)
\4\ at 40 percent and 70 percent of rated lamp lifetime. CCT and CRI
would also be measured because DOE may consider delineating HID
equipment classes using these metrics.
---------------------------------------------------------------------------

\1\ A lumen is a unit of light output weighted to the spectral
response of the human eye.
\2\ One candela is equal to one lumen per steradian.
\3\ Center beam intensity is synonymous with centerbeam
candlepower (commonly abbreviated as CBCP). Candlepower is now an
obsolete term, but equates directly to the candela.
\4\ Lumen maintenance is the percentage or fraction of initial
lumens. The higher the lumen maintenance value (closer to 1.00), the
more the source maintains the initial efficacy at the point time
measured.
---------------------------------------------------------------------------

Efficacy of HID lamps is calculated based on the measured lumen
output and the measured input electrical power. DOE proposes that the
input power measurements be performed using the measurement methods for
lamp current and voltage prescribed in American National Standards
Institute (ANSI) C78.389-2006 (C78.389), ``Electric Lamps--High
Intensity Discharge--Methods of Measuring Characteristics,'' and the
measurement method for lumen output prescribed in Illuminating
Engineering Society of North America (IES) LM-51 (LM-51), ``Approved
Method for the Electrical and Photometric Measurements of High
Intensity Discharge Lamps,'' and the measurement method for luminous
intensity prescribed in ANSI C78.379-2006 (C78.379), ``For Electric
Lamps--Classification of Beam Patterns of Reflector Lamps.'' DOE also
proposes that lamp current, voltage, and lumen output measurements be
performed while operating the lamp with an appropriately rated
reference ballast.\5\ DOE proposes that lumen maintenance measurements
be performed using the measurement methods prescribed in IES LM-47 (LM-
47), ``IESNA Approved Method for Life-Testing of HID Lamps.'' Under
DOE's proposal, CCT and CRI would be obtained from spectroradiometric
measurements of the light output in the visible spectrum.\6\ CCT and
CRI would be calculated by numerical evaluation of the color
characteristics as prescribed in International Commission on
Illumination (Commission Internationale de l'Eclairage (CIE)) 13.3 and
CIE 15 using spectroradiometric measurement data.
---------------------------------------------------------------------------

\5\ An appropriately rated reference ballast provides specified
power, voltage, and current required to operate the lamp. Its
ballast and power supply specifications are from data sheets listed
by the references in ANSI C78.389. They are intended to provide
reasonable stringency in terms of power quality and to ensure
repeatable and consistent electrical measurements.
\6\ Spectroradiometry is the measurement of the spectral content
of a radiating source as a function of wavelength.
---------------------------------------------------------------------------

The following industry standards and test procedures relevant to
this NOPR are proposed to be incorporated by reference into the HID
test procedure at 10 CFR part 431, subpart Y:

1. ANSI C78.379-2006, ``For Electric Lamps--Classification of Beam
Patterns of Reflector Lamps'';
2. ANSI C78.389-R2009, ``For Electric Lamps--High Intensity
Discharge--Methods of Measuring Characteristics'' (sections 1.0,
2.0, 3.0, and Figure 1);
3. CIE 13.3-1995 (CIE 13.3), ``Technical Report: Method of Measuring
and Specifying Colour Rendering Properties of Light Sources'';
4. CIE 15:2004 (CIE 15), ``Technical Report: Colorimetry''; \7\
---------------------------------------------------------------------------

\7\ ``Colorimetry'' referenced is the science and technology of
human color perception.
---------------------------------------------------------------------------

5. IES LM-47-01, ``Approved Method for Life Testing of High
Intensity Discharge (HID) Lamps''; and
6. IES LM-51-00, ``Approved Method for the Electrical and
Photometric Measurements of High Intensity Discharge Lamps''
(sections 1.0, 3.2, 9.0, 10.0, 11.0, and 12.0).

As discussed in further detail in section III.E, DOE has concluded
that HID lamps (without ballasts) are incapable of either standby mode
or off mode energy use. HID lamps do not have additional features
besides light output and thereby cannot operate in standby mode. HID
lamps cannot be in off mode because there is no condition in which the
lamp is connected to the

[[Page 77917]]

main power source (via the ballast) and is not in a mode already
accounted for in either active mode or standby mode. Therefore, DOE
does not propose measurement methods to determine energy use in either
standby mode or off mode for HID lamps.

III. Discussion

DOE proposes to require measurement of both photometric and
electrical characteristics of HID lamps to calculate HID lamp efficacy.
DOE reviewed ANSI C78.379, ANSI C78.389, CIE 13.3, CIE 15, IES LM-47,
and IES LM-51 in developing the proposed test procedures for HID lamps.
From these industry test procedures, DOE proposes lamp selection, test
setup, and test conditions for HID lamps.
The proposed photometric measurement methods for lamp light output
(also referred to as luminous flux) for omni-directional lamps,
measured in lumens, and luminous intensity for directional lamps,
measured in candelas,\8\ are detailed in LM-51. CCT and CRI typically
are derived from spectroradiometric measurement of lamp light output.
Color measurement and calculation of CCT are detailed in CIE 15.
Calculation of CRI is detailed in CIE 13.3.
---------------------------------------------------------------------------

\8\ Center beam intensity is the intensity at nadir (directly in
front of the lamp). Luminous intensity is the output in candelas at
multiple angles beyond nadir and is how beam angle is calculated.
---------------------------------------------------------------------------

The proposed electrical measurement methods are provided in ANSI
C78.389 and include line voltage, lamp voltage, current (measured in
amperes), and lamp electrical power input (measured in watts). Under
ANSI C78.389, electrical measurements are to be performed when
operating the lamp with an appropriately rated reference ballast that
provides specified power, voltage, and current required to operate the
lamp as stated in data sheets referenced by ANSI C78.389. The reference
ballast itself is to be operated from a power supply with specified
voltage and impedance requirements. Reference ballast and power supply
specifications, set forth in the standards referenced by ANSI C78.389,
are intended to provide a level of power quality that enables
repeatable and consistent electrical measurements.
DOE further proposes that, prior to any measurement, lamps be
stabilized by the methods specified for each lamp type in ANSI C78.389,
section 3.7. A lamp is considered to be stabilized when successive
electrical characteristic measurements remain within a given percentage
range over a given period of time. There is some variation in the ANSI
measurement procedure to determine lamp stabilization proposed for the
three types of HID lamps--mercury vapor (MV), high-pressure sodium
(HPS), and metal halide (MH). For MV lamps, electrical characteristic
measurement values must remain within 1 percent of each other for three
consecutive measurements over a 15 minute period. For HPS lamps,
electrical characteristic measurement values must also remain within 1
percent of each other for three consecutive measurements spaced 10-15
minutes apart. For MH lamps, electrical characteristic measurement
values may vary up to 3 percent of each other for three consecutive
measurements spaced 10-15 minutes apart.
In accordance with the stabilization methods in ANSI C78.389, DOE
specifies a lamp aging time and burning position, as described in
section III.D. DOE further proposes that all test measurements be
performed at an ambient temperature of 25 [deg]C 5 [deg]C
with an interior air speed rate of less than or equal to 0.5 meters/
second.
The following sections set forth proposed definitions for the HID
test procedure, detailed discussion of the proposed test method, and
proposed laboratory accreditation requirements.

A. Definitions

In today's proposed rule, DOE proposes definitions for the
following terms based on the EPCA definitions of these terms:
``ballast'' (42 U.S.C. 6291(58)), ``color rendering index'' (42 U.S.C.
6291(30)(J)), ``correlated color temperature'' (42 U.S.C. 6291(30)(K)),
``high-intensity discharge lamp'' (42 U.S.C. 6291(46)), ``mercury vapor
lamp'' (42 U.S.C. 6291(47)(A)), and ``metal halide lamp'' (42 U.S.C.
6291(63)).
As explained in section III.A.1, DOE also proposes to adopt
definitions of ``beam angle,'' ``directional lamp,'' ``high-pressure
sodium lamp,'' ``lamp electrical power input,'' ``lamp wattage,''
``lumen maintenance,'' ``rated luminous flux or rated lumen output,''
and ``self-ballasted lamp.'' Many of the proposed definitions are
identical or very similar to the definitions set forth in 10 CFR part
430 for consumer products. As discussed in section III.A.2, DOE also
proposes to amend the definition of ``ballast efficiency.'' As
discussed in III.A.3, DOE proposes a definition of ``basic model'' for
HID lamps.
1. Definitions Relevant to High-Intensity Discharge Lamps
In this NOPR, DOE proposes to define the following terms: ``beam
angle,'' ``directional lamp,'' ``high-pressure sodium lamp,'' ``lamp
efficacy,'' ``lamp electrical power input,'' ``lamp wattage,'' ``lumen
maintenance,'' ``rated luminous flux or rated lumen output,'' and
``self-ballasted lamp.''
DOE proposes to define ``beam angle'' as follows: `` `Beam angle'
means the beam angle (or angles) as measured according to the
requirements of ANSI C78.379, including complex beam angles as
described in ANSI C78.379.''
DOE proposes to define ``directional lamp'' as follows: ``
`Directional lamp' means a lamp emitting at least 80 percent of its
light output within a solid angle of [pi] steradians (corresponding to
a cone with an angle of 120 degrees).'' \9\
---------------------------------------------------------------------------

\9\ DOE reviewed definitions for directional lamps with optical
characteristic similar to those of HID directional lamps (e.g.,
incandescent reflector lamps) and found that definitions for
reflector lamps typically focus on the construction of the lamp and
not the direction in which the light leaves the lamp. 10 CFR 430.2
Existing HID lamps that are considered directional are offered in
various bulb shapes (e.g., R40, R111, PAR 20, PAR 30, and PAR 38),
and future lamps may take different non-conforming shapes and forms
while providing similar light output delivery. Therefore the
proposed DOE definition is based on the directional delivery of
light output and not the construction of the lamp. The proposed
definition of ``directional lamp'' is based on the European Union
definition (Commission Regulation (EC) No 244/2009, O.J. L 76, 24
March 2009).
---------------------------------------------------------------------------

DOE proposes to define ``high-pressure sodium lamp'' as follows: ``
`High-pressure sodium (HPS) lamp' means a high-intensity discharge lamp
in which the major portion of the light is produced by radiation from
sodium vapor operating at a partial pressure of about 6,670 pascals
(approximately 0.066 atmospheres or 50 torr) or greater.'' By including
pressure equivalents in both atmospheres and torr, DOE's proposed
definition would harmonize with the existing statutory definition of
``mercury vapor lamp,'' which includes both units of pressure (pascals
and atmospheres). (42 U.S.C. 6291(47)(A)) \10\
---------------------------------------------------------------------------

\10\ DOE proposes to define ``high-pressure sodium lamp'' based
on a comment from the National Electrical Manufacturers Association
(NEMA) in response to the HID lamps notice of proposed
determination, 75 FR 22031, 22033 (April 27, 2010), and discussed in
the HID lamps final determination, 75 FR 37975, 37977 (July 1,
2010). NEMA recommended that DOE adopt the definition for ``HPS
lamps'' from ANSI C82.9-1996, ``American National Standard for High-
Intensity Discharge and Low-Pressure Sodium Lamps, Ballasts and
Transformers--Definitions (ANSI C82.9).'' (Docket No. EERE-2006-DET-
0112, NEMA, No. 0021.1 at p. 3) Under subsection 3.27,
``Definitions,'' ANSI C82.9-1996 defines ``HPS lamp'' as ``[a] high-
intensity-discharge (HID) lamp in which the major portion of the
light is produced from radiation from sodium vapor operating at a
partial pressure of about 6.67 x 10\3\ pascals (50 torr) or
greater.'' DOE proposes to adopt a similar definition.
---------------------------------------------------------------------------

DOE proposes to adopt a definition for ``lamp efficacy'' similar to
that set

[[Page 77918]]

forth at 10 CFR part 430, subpart B, appendix R,\11\ where DOE defines
``lamp efficacy'' as ``the ratio of measured lamp lumen output in
lumens to the measured lamp electrical power input in watts, rounded to
the nearest tenth, in units of lumens per watt.'' DOE proposes in this
rulemaking to replace ``lamp lumen output'' with ``rated luminous flux
or rated lumen output'' and to add the abbreviation ``lm/W'' after
``lumens per watt.'' The term ``rated luminous flux or rated lumen
output'' is consistent with DOE's proposed definition for ``lumen
maintenance,'' and means the same thing as ``lamp lumen output.''
Therefore, DOE proposes to define ``lamp efficacy'' as follows: ``
`Lamp efficacy' means the ratio of rated lumen output (or rated
luminous flux) to the measured lamp electrical power input in watts,
rounded to the nearest tenth, in units of lumens per watt (lm/W).''
\12\
---------------------------------------------------------------------------

\11\ 10 CFR 430.2 defines lamp efficacy as ``the measured lumen
output of a lamp in lumens divided by the measured lamp electrical
power input in watts expressed in units of lumens per watt (LPW).''
10 CFR part 430, subpart B, appendix R defines it as ``the ratio of
measured lamp lumen output in lumens to the measured lamp electrical
power input in watts, rounded to the nearest tenth, in units of
lumens per watt.'' The primary difference between the definitions is
the rounding of the values.
\12\ DOE notes that EPCA defines ``lamp efficacy'' to mean the
lumen output of a lamp divided by its wattage, expressed in lumens
per watt. This proposed definition interprets the EPCA definition
for this rulemaking.
---------------------------------------------------------------------------

DOE proposes to define ``lamp electrical power input'' as follows:
`` `Lamp electrical power input' means the total electrical power input
to the lamp, including both arc and cathode power where appropriate, at
the reference condition, in units of watts.'' This definition is the
same as that set forth at 10 CFR part 430, subpart B, appendix R.
DOE proposes the following definition for ``lamp wattage'' in this
rulemaking: `` `Lamp wattage' means the total electrical power required
by a lamp in watts, measured following the initial aging period
referenced in the relevant industry standard.'' (42 U.S.C. 6291(30)(O))
\13\
---------------------------------------------------------------------------

\13\ The EPCA definition for ``lamp wattage'' is ``the total
electrical power consumed by a lamp in watts, after the initial
seasoning period referenced in the appropriate IES standard test
procedure and including, for fluorescent, arc watts plus cathode
watts.'' This proposed definition interprets the EPCA definition for
this rulemaking.
---------------------------------------------------------------------------

DOE proposes a definition for ``lumen maintenance'' as follows: ``
`Lumen maintenance' means the luminous flux or lumen output at a given
time in the life of the lamp and expressed as a percentage of the rated
luminous flux or rated lumen output, respectively.'' This definition is
the same as that set forth at 10 CFR part 430, subpart B, appendix W,
section (2)(c).
DOE proposes a definition for ``rated luminous flux or rated lumen
output'' as follows: `` `Rated luminous flux or rated lumen output'
means the initial lumen rating (100 hour) declared by the manufacturer,
which consists of the lumen rating of a lamp at the end of 100 hours of
operation.'' \14\ This is the same definition as is set forth at 10 CFR
part 430, subpart B, appendix W, section (2)(d).
---------------------------------------------------------------------------

\14\ Luminous flux is the numerator in the lamp efficacy
equation.
---------------------------------------------------------------------------

DOE proposes to define ``self-ballasted lamp'' \15\ based on the
definition for ``self-ballasted CFL lamp'' found in 10 CFR 430 subpart
B, appendix W, section (2)(h), as follows: `` `Self-ballasted lamp'
means a lamp unit that incorporates all elements that are necessary for
the starting and stable operation of the lamp in a permanent enclosure,
and that does not include any replaceable or interchangeable parts.''
---------------------------------------------------------------------------

\15\ Self-ballasted lamps have different characteristics from
lamps that work with an external ballast. This definition is
required to distinguish this lamp type.
---------------------------------------------------------------------------

2. Definition of ``Ballast Efficiency'' for Metal Halide Lamp Fixtures
DOE proposes an amended definition of ``ballast efficiency'' for
metal halide lamp fixtures, currently set forth at 10 CFR 431.322, to
correspond to the definitions proposed in section III.B.1. Currently,
``ballast efficiency'' for a high-intensity discharge fixture means, in
relevant part, the efficiency of a lamp and ballast combination,
expressed as a percentage, and calculated in accordance with the
following formula: Efficiency = Pout/Pin where:

(1) Pout equals the measured operating lamp wattage;
(2) Pin equals the measured operating input wattage;''
10 CFR 431.322 \16\
---------------------------------------------------------------------------

\16\ EPCA provides a similar definition for the ballast
efficiency of an HID ballast and authorizes DOE to modify the
definition as necessary or appropriate to carry out the purposes of
EPCA. (42 U.S.C. 6291(59)) DOE proposes the amended definition for
HID fixtures in accordance with this provision of EPCA because the
proposed definition would eliminate ambiguity in the terms used to
measure energy efficiency for HID fixtures.

The meaning of the term ``Pout'' as currently defined
for ballast efficiency is the same as DOE is proposing for ``lamp
electrical power input.'' To avoid confusion where ``Pout''
refers to the lamp wattage when testing a ballast for HID fixtures, and
``lamp electrical power input'' refers to lamp wattage when testing a
HID lamp, DOE proposes to amend the definition of ``ballast
efficiency'' as follows: `` `Ballast efficiency' means, in the case of
a high-intensity discharge fixture, the efficiency of a lamp and
ballast combination, expressed as a percentage, and calculated in
accordance with the following formula: Efficiency = Lamp electrical
power input/Ballast power input where:
(1) Lamp electrical power input means the total electrical power
input to the lamp, including both arc and cathode power where
appropriate, at the reference condition, units of watts;
(2) Ballast power input equals the measured operating input
wattage;
(3) The lamp, and the capacitor when the capacitor is provided,
shall constitute a nominal system in accordance with the ANSI C78.43
(incorporated by reference; see Sec. 431.323);
(4) For ballasts with a frequency of 60 Hz, ballast power input and
lamp electrical power input shall be measured after lamps have been
stabilized according to section 4.4 of ANSI C82.6 (incorporated by
reference; see Sec. 431.323) using a wattmeter with accuracy specified
in section 4.5 of ANSI C82.6; and
(5) For ballasts with a frequency greater than 60 Hz, ballast power
input and lamp electrical power input shall have a basic accuracy of
0.5 percent at the higher of either 3 times the output
operating frequency of the ballast or 2.4 kHz.''
3. Definition of ``Basic Model'' for High-Intensity Discharge Lamps
DOE also proposes a definition of ``basic model'' for the HID lamp
test procedures. DOE provides extensive discussion of the concept of
``basic model'' in the 2010 NOPR for certification, compliance, and
enforcement. 75 FR 56796, 56798-99 (Sept. 16, 2010).
DOE proposes to define ``basic model'' for HID lamps as follows: ``
`Basic model' with respect to HID lamps means all units of a given type
of covered equipment (or class thereof) manufactured by one
manufacturer, having the same primary energy source and which have
essentially identical electrical, physical, and functional (or
hydraulic) characteristics that affect energy consumption, energy
efficiency, water consumption, or water efficiency, and are rated to
operate a given lamp type and wattage.''
DOE invites comment on the definitions set forth in this section.

[[Page 77919]]

B. Test Procedure for Measuring Energy Efficiency of High-Intensity
Discharge Lamps

1. Test Setup and Conditions
The proposed test procedures adopt the methods and safety
precautions set forth in ANSI C78.389 and LM-51 to obtain consistent
and reproducible measurements of the electrical and photometric
characteristics of HID lamps. In particular, the lamps being tested are
to be operated at the specified conditions (i.e., tested at a given
temperature and air speed), with the appropriate power supply
characteristics, the lamps operating on the reference circuit before
measurements are taken, and the appropriate instrumentation. Each of
these factors is described in the following discussion. Lamp
stabilization and aging are discussed in section III.B.2, Lamp
Selection and Setup.
As stated previously, photometric characteristics proposed to be
measured are total luminous flux (lumens), luminous intensity
(candelas), CCT, and CRI. Lamp electrical characteristics proposed to
be measured are those required to calculate lamp efficacy during normal
operation (e.g., line voltage, lamp voltage, input current, and lamp
electrical power input). All measured quantities are proposed to be
obtained using an appropriately rated reference ballast or power source
whose characteristics are within the required specifications listed in
section III.B.1.c. The test equipment required to conduct all the test
procedures' electric and photometric measurements is proposed to be
calibrated and meet the required performance specifications in ANSI
C78.389 and LM-51.
a. Ambient Conditions
The test apparatus must be operated in a location where ambient
conditions (e.g., ambient temperature and air speed) are stable, in
accordance with the specifications listed as follows.
i. Ambient Test Temperature
DOE proposes an ambient temperature requirement of 25 [deg]C 5 [deg]C for HID lamp testing in accordance with ANSI C78.389.
This is the industry standard temperature for testing most ballasted
and non-ballasted light sources (both HID and other types of sources).
It is also the temperature required by the MH lamp ballast \17\ test
procedures final rule. 75 FR 10950, 10956 (March 9, 2010). Although HID
lamps are not as sensitive as other lamps to temperature, temperature
still affects their performance such that it could affect test results.
A specific, standardized, temperature allows for the use of relative
photometry for light fixtures. Thus, an ambient temperature requirement
of 25 [deg]C 5 [deg]C is followed in industry standards
and practices for HID lamps. DOE invites comment on the proposed
ambient temperature requirement.
---------------------------------------------------------------------------

\17\ MH (metal halide) is one of the three types of HID lamps.
---------------------------------------------------------------------------

ii. Air Speed
DOE proposes an air speed limit of <= 0.5 meters per second (m/s)
for HID lamp testing because, as detailed in the following, higher air
speeds affect photometric and electrical data measurements. Although
LM-51, section 2.3, states that special precautions against normal room
air movements are unnecessary, ANSI C78.389, section 3.3, states that
ambient conditions shall be draft-free (but provides no definition of
the term ``draft-free''). During the public meeting for the MH lamp
ballast test procedures NOPR, the National Electrical Manufacturers
Association (NEMA) requested a definition of ``draft-free.'' (Docket
No. EERE-2008-BT-TP-0017, NEMA, No. 0013 at p. 13) \18\ Following the
public meeting and comment period, DOE received a comment from NEMA
requesting that DOE either define ``draft-free'' or remove it from the
MH lamp ballast test procedures. (Docket No. EERE-2008-BT-TP-0017,
NEMA, No. 0024 at p. 3) In preparing the MH lamp ballast test
procedures final rule, DOE reviewed industry test procedures for the
topic of air speed. (Various documents use different terms; therefore,
DOE also specifically reviewed the terms ``airflow'' and ``air
movement.'') 75 FR at 10956 (March 9, 2010). DOE found that air speed
requirements varied, with some industry test procedures using non-
quantitative terms such as ``still air'' or ``draft free.'' This
proposed HID lamps air speed requirement is the same as the MH lamp
ballast testing requirement. DOE's view is that specifying a maximum
air speed requirement as part of the test conditions acknowledges
industry practices intended to minimize forced convection cooling that
could affect measured photometric and electrical data. Thus, DOE
proposes to adopt for HID lamp testing the air speed limit of <= 0.5 m/
s used for testing MH lamp ballasts (75 FR at 10957 (March 9, 2010))
and invites comment on this proposed requirement.
---------------------------------------------------------------------------

\18\ A notation in this form provides a reference for
information that is in the docket of DOE's rulemaking to develop
test procedures for metal halide lamp ballasts (Docket No. EERE-
2008-BT-TP-0017), which is maintained at https://www.regulations.gov.
This notation indicates that the statement preceding the reference
is document number 0013 in the docket for the metal halide lamp
ballasts test procedures rulemaking, and appears at page 13 of that
document.
---------------------------------------------------------------------------

b. Power Supply Characteristics
DOE proposes power supply characteristics for HID lamps test
procedures based on ANSI C78.389 and LM-51, as follows.
i. Voltage Waveshape
DOE proposes to adopt the waveshape requirements set forth in ANSI
C78.389 for HID lamp testing. DOE proposes that any lamp being tested
be operated with a sinusoidal voltage supply waveshape as recommended
by ANSI C78.389, section 3.2, which states that the waveshape of the
power supply shall have a root-mean-square (RMS) \19\ summation of the
harmonic components that remains below 3 percent of the fundamental
frequency (i.e., the lowest frequency of the waveform). DOE invites
comment on these proposed voltage waveshape requirements.
---------------------------------------------------------------------------

\19\ RMS--is the root-mean-square and comes from a mathematical
formula that calculates the ``effective'' value of any alternating
current wave shape. ``True'' means that the RMS is calculated to the
formula where ``average responding'' use scaling function to
calculate the value. ``True'' is the more accurate type.
---------------------------------------------------------------------------

ii. Voltage Regulation
DOE proposes to adopt the voltage regulation requirements set forth
in LM-51, section 3.2, for HID lamp testing, which states that the
voltage regulation shall be within 0.1 percent. DOE also
considered ANSI C78.389, section 3.2, which states that the power
supply voltage should be regulated such that it will be steady and free
of sudden changes (e.g., noise, line transients) and shall be regulated
to within 0.5 percent of the reference ballast voltage
rating. ANSI C78.389, section 3.2, also notes that if automatic voltage
regulation is not provided, constant checking and readjustments of the
supply will be necessary for accurate lamp test measurements. DOE
proposes to use the LM-51 requirement for voltage regulation, however,
to minimize variations in electrical and photometric measurements and
provide more consistent test measurements. DOE proposes that voltage
regulation be within 0.1 percent of the reference ballast
voltage rating. DOE invites comment on the voltage requirements
proposed.
iii. Power Supply Impedance
For HID lamp testing, DOE proposes to adopt the power supply
impedance

[[Page 77920]]

measurement method and impedance limit specified in ANSI C78.389,
section 3.2, which requires that power supply impedance remain at or
below 2 percent of the reference ballast impedance, measured at the
point where the reference ballast and lamp are connected. This method
requires that variable autotransformers or other voltage transformation
devices have kilovolt-ampere ratings of at least five times the lamp
wattage. DOE invites comment on this proposed power supply impedance
measurement method and impedance limit.
c. Reference Ballasts
DOE proposes to adopt the reference ballast requirements of ANSI
C78.389 for HID lamp testing. For HID lamp measurements (electrical and
photometric), ANSI C78.389, section 3.4, requires that tested lamps be
operated with (1) An appropriately rated reference ballast or (2) a
reference ballast with variable impedance that can be set to match the
impedance and electrical requirements for each lamp type to be tested.
ANSI C78.389 states that the reference ballast should have the
impedance and the electrical characteristics required by the lamp being
tested to prevent the measured characteristics from differing from
those stated by the lamp manufacturer. DOE notes that a ballast with
different electrical characteristics, regardless of its impedance, can
materially alter the measured electrical characteristics of the
lamp.\20\ If electrical readings are to be taken on a lamp for which no
ANSI standard exists, DOE proposes that the HID reference ballast have
impedance appropriate for the lamp as specified in the standards
incorporated by reference in ANSI C78.389.
---------------------------------------------------------------------------

\20\ ANSI C78.389 states that measuring lamp characteristics
using ballasts other than reference ballasts produces results that
are not consistent with these test procedures and are only valid for
the ballast and circuit used to obtain the results.
---------------------------------------------------------------------------

DOE has determined that reference ballasts are readily available,
based on review of industry literature, communication with independent
testing laboratories, and communication with industry, and that their
use is likely to provide repeatable and consistent measurements. DOE
invites comment on its proposed reference ballast requirements based on
ANSI C78.389.
d. Instrumentation
DOE proposes to adopt the electrical and photometric
instrumentation requirements of ANSI C78.389 and LM-51, respectively,
for its HID lamp test procedures. The instruments proposed here for
electrical measurements are described in ANSI C78.389, section 3.8. The
instruments proposed here for photometric instruments are described in
LM-51, section 9.0. These instrumentation requirements for electrical
and photometric measurements are detailed in the following sections.
i. Instrumentation Required for Electrical Measurement
DOE proposes that instruments used for electrical measurements be
accurate to better than 0.75 percent over a frequency range of 40 to
1000 Hz, with calibration capability (e.g., scale calibration). These
accuracy and range requirements are the same as the industry
requirement in ANSI C78.389, section 3.8.1.
DOE also proposes that instrument impedance be high compared to the
load impedance (high impedance is typically in the megaohm range) for
voltage measurements, and low compared to the load impedance (low
impedance is typically in the milliohm range) for current measurements
to reduce the effects of the measurement instrumentation in the
circuit. Specifically, for lamp current measurements, instruments
connected in series with the HID lamp being tested would have an
impedance such that the voltage drop remains at or below 2 percent (1
percent for HPS lamps) of the rated lamp voltage under the proposal,
unless the instrument impedance has already been included as part of
the reference ballast impedance. If corrections for the presence of
instrumentation in the circuit are to be avoided, the voltage drop
shall be at or below 0.75 percent (0.50 percent for HPS lamps) of the
rated lamp voltage. For lamp voltage measurements, instruments
connected in parallel with the lamp being tested are proposed to not
draw more than 1 percent of the rated lamp current. If the correction
due to the presence of such instruments is to be avoided, then the
current draw is proposed to be limited to 0.5 percent of the rated lamp
current. These proposals are consistent with section 3.8.2 of ANSI
C78.389.
DOE proposes that instruments selected for HID lamp voltage and
current measurement be of the true RMS type and have a specified
accuracy and frequency response adequate to meet the specified
uncertainty requirements (i.e., 0.5 percent for voltage and
current and 0.75 percent for wattage).
ii. Instrumentation for Photometric Measurement
DOE proposes that the photometer have a relative spectral
responsivity that approximates that of the human eye (i.e., the V-
lambda (V([lambda])) function). DOE accepts use of either an
integrating sphere or a goniophotometer for such measurements. DOE
proposes that photometric measurements of color characteristics be
specified in terms of the CIE colorimetry system and CRI. LM-51
provides further details regarding photometric measurements as well as
colorimetry and CRI.
In the case of integrating sphere measurements, the spectral
responsivity would be measured taking into account the relative
spectral throughput of the sphere and detector spectral
responsivity.\21\ The detector used in an integrating sphere
measurement must have a wide field of view (approximating a cosine
response) to maximize the sampled area of the sphere wall during
measurement. If a diffuser is used on the detector, its surface would
need to be mounted flush with the sphere wall.
---------------------------------------------------------------------------

\21\ The relative spectral throughput of an integrating sphere
is the ratio of the spectral irradiance on the detector port of the
sphere by a reference light source and the spectral irradiance of
the same source measured outside the integrating sphere.
---------------------------------------------------------------------------

An integrating sphere for luminous flux measurements must be large
enough to allow the sphere's interior ambient temperature to reach
thermal equilibrium at the specified ambient temperature and to permit
the internal baffle(s) to be small relative to the size of the
integrating sphere.
For measurements using a goniophotometer, DOE proposes that the
detector required for intensity distribution measurements have a cosine
response. This proposed requirement is particularly important for those
cases in which the calibration source subtends a smaller viewing angle
than the test source. The intensity distribution around a lamp would be
determined with a photometer at a recommended minimum distance of five
times the longest dimension of the lamp. The axis of rotation used to
vary the angle between the lamp and the detector is to preserve the
lamp orientation relative to the detector to provide measurement
consistency and repeatability.
These proposals are consistent with LM-51-00. DOE invites comment
on these proposed requirements for instrumentation.

[[Page 77921]]

2. Lamp Selection and Setup
a. Basic Model
For HID lamp testing, DOE proposes that the energy efficiency
characteristics of each basic model be determined using these test
procedures. As discussed in section III.A.2, a ``basic model'' is a
group of lamp models that are essentially identical in design and
performance. The rated performance characteristics proposed to be
measured (i.e., lumen output, CCT, and CRI) should be similar for all
of the lamps represented by a basic model.
b. Sampling Plans
For HID lamp testing, DOE proposes a lamp sampling method similar
to that used for general service fluorescent lamps, incandescent
reflector lamps, and general service incandescent lamps (GSFL/GSIL/
IRL).\22\ 10 CFR 430.27(a)(2)(i)-(ii)
---------------------------------------------------------------------------

\22\ DOE is currently amending the GSFL/GSIL/IRL test
procedures. 76 FR 566661 (Sept. 14, 2011).
---------------------------------------------------------------------------

DOE proposes to adopt the lamp sampling method from 10 CFR 429.27
for HID lamp testing as follows:
For each basic model of HID lamps, samples of production lamps from
a minimum sample size of 21 lamps are to be tested, and the results for
all samples are to be averaged over a consecutive 12-month period. The
manufacturer is to randomly select a minimum of three lamps from each
month of production for a minimum of 7 months out of the 12-month
period. If production occurs during fewer than 7 of such 12 months, the
manufacturer is to randomly select three or more lamps from each month
of production, and the number of lamps selected for each month is to be
distributed as evenly as practicable among the months of production to
obtain a minimum sample of 21 lamps. Due to inherent uncertainty in any
sample measurement, the confidence limit is set to 95 percent based on
the sample's statistical t-test.\23\ Any represented characteristic
value of a basic model is to be based on this sample and this
characteristic value is to be no greater than the lower of:
---------------------------------------------------------------------------

\23\ A t-test is used to determine if two sample groups from the
same population are ``statistically'' different, e.g., variability
of distribution about the sample mean. The t-test evaluates this
statistical difference by calculating the ratio of sample group mean
difference to group variance. This ratio is analogous to a signal to
noise ratio: the higher the ratio, the less likely it is that the
difference between the two groups is random.
---------------------------------------------------------------------------

(A) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TP15DE11.000

and X is the sample mean of the characteristic value,\24\
---------------------------------------------------------------------------

\24\ The characteristic value represents the individual
observations within a sample.
---------------------------------------------------------------------------

n is the number of samples, and
xi is the ith sample;

Or,

(B) The lower 95 percent confidence limit (LCL) of the
characteristic value true mean divided by 0.97, where:
[GRAPHIC] [TIFF OMITTED] TP15DE11.001

and X is the sample mean of the characteristic value,
s is the sample standard deviation,
n is the number of samples, and
t0.95 is the t statistic for a 95-percent one-tailed
confidence interval with n-1 degrees of freedom (from statistical
tables).

In determining the proposed sampling plan requirements, DOE
reviewed sample size requirements for voluntary programs for HID lamps
(ENERGY STAR[supreg]), European testing requirements, and sample size
requirements for other lighting technologies.
ENERGY STAR luminaires (i.e., light fixtures) specification
includes testing requirements for luminaires using HID lamps. Metal
halide (quartz and ceramic) and HPS lamps are the only HID lamps
allowed for ENERGY STAR-qualified luminaires. ENERGY STAR lamp-ballast
efficacy testing requires a minimum sample of three lamp-ballast
combinations. The remaining ENERGY STAR criteria (CCT, CRI, and lumen
maintenance) require a minimum 10 samples of each lamp model be tested.
In 2009, Commission Regulation (EC) No 245 was published in the
Official Journal of the European Union. This document included both
energy efficiency standards and testing requirements for fluorescent
and HID lamps. Annex IV of the document defines the sample size for all
lamps as a total of 20 lamps of the same model and from the same
manufacturer, randomly selected.
DOE also surveyed testing requirements for non-HID light sources.
In 2011, the IES published TM-21-11, which provides the methodology for
the lumen maintenance of light-emitting diode (LED) sources and
requires a sample size of 20 LEDs. Covered lighting products and
equipment where non-power values are being measured (e.g., lumens, CCT,
CRI, lumen maintenance) typically have sample sizes of 21 including
general service fluorescent, general service incandescent, and
incandescent reflector lamps (10 CFR 429.27) and candelabra base
incandescent lamps and intermediate base incandescent lamps (10 CFR
429.40). Bared or covered (no reflector) medium base compact
fluorescent lamps (CFLs), however, have sample sizes that vary with the
value being measured. Only 5 lamps are needed for efficacy or lumen
maintenance, 6 unique (and not previously tested) lamps are required
for rapid cycle stress testing, and a minimum of 10 units are required
for life testing for these CFLs.
Based on its review of sample size requirements, DOE proposes to
use a sample size of 21 for HID lamps. This is the same requirement as
GSFL/GSIL/IRL, and is similar to the European Union's requirement of 20
samples. An odd number of lamps is required to establish a majority of
surviving or failed lamps for life testing, whereas an even number
could produce a 50-50 split. Although lamp life is not a metric
required in these proposed test procedures, manufacturers will likely
use the same set of lamps for life testing as they do for the lumen
maintenance testing. The sample size of 21 addresses the variability in
lamp production, and the 95 percent confidence limit minimizes the
tolerances in the testing instrumentation.
In summary, DOE proposes to base the sampling method for HID lamp
testing on the method set forth in 10 CFR 429.27. For each basic model
of HID lamp, DOE proposes that the same samples be used for measuring
color characteristics as were used for luminous output (i.e., lumens
and candelas (where required)) and power. The sampling method for HID
lamps would be set forth as a new section in 10 CFR part 429. DOE
invites comment on the accuracy and applicability of the proposed
sampling method, and whether an alternative sampling method would be
more appropriate for HID lamps.
c. Lamp Aging and Stabilization
For HID lamp testing, DOE proposes a lamp aging method based on
ANSI C78.389, section 3.7, to ensure stable photometric, color, and
electrical characteristics of the lamp being tested. Aging is performed
once, for 100 hours, on every lamp before stabilization and testing.
ANSI C78.389, section 3.7, requires that, during the aging period, the
lamp be operated in the same orientation in which it will be used.\25\
DOE invites comment on the proposed lamp aging method for HID lamp
testing. Standard lamp orientation

[[Page 77922]]

(burning position) would be base up unless otherwise designated by the
manufacturer.\26\
---------------------------------------------------------------------------

\25\ For example, if the lamp is to be operated in the base-down
position, the lamp must be operated (``burned in'' or ``aged'') in
that base-down position.
\26\ Lamp orientation is designated in the lamp designation
(catalog code) and included in manufacturer catalogs, specification
sheets, and the packaging.
---------------------------------------------------------------------------

Lamps being tested for lumen maintenance are proposed to be
operated with an appropriately rated ballast as described in section
III.B.1.c, or power source under specified normal operating conditions,
defined in the following sections, and be operated in the same
orientation used for the test procedures.
DOE also proposes a lamp stabilization method based on ANSI
C78.389, section 3.7. Under this proposal, after its one-time aging
period, a lamp being tested should achieve stable operation prior to
any measurements. DOE included metal halide lamp operational stability
in the MH lamp ballast test procedures final rule, determining
operational stability for tested ballasts based on three consecutive
measurements of lamp power, 5 minutes apart, in which the three
measurements had to remain within 2.5 percent tolerance. 75 FR at 10958
(March 9, 2010). As detailed in ANSI C78.389, section 3.7, HID lamp
stabilization requirements vary with lamp type. Table III.1 lists the
lamp warm-up, stabilization, and re-stabilization requirements for MV,
HPS, and MH lamps under ANSI C78.289. For example, MV lamps require a
15 to 20 minute warm-up period, with stable operation indicated by
three consecutive measurements of the lamp's electrical characteristics
over a 15 minute period that vary by 1 percent or less.

Table III.1--ANSI C78.389 HID Lamp Warm-Up and Stabilization Criteria
------------------------------------------------------------------------
Stabilization
Lamp type Lamp warm-up time criteria
------------------------------------------------------------------------
MV.......................... 15-20 mins.......... 3 successive
measurements
(voltage and
current).
5 minute measurement
intervals.
Change in value <
1.0%.
HPS......................... 1 hour.............. 3 successive
measurements
(voltage and
current).
10-15 minute
measurement
intervals.
Change in value <
1.0%.
MH.......................... 6 hours operated 3 successive
within 10% rated (voltage and
wattage. current).
10-15 minute
measurement
intervals.
Change in value <
3.0%.
------------------------------------------------------------------------

For HID lamp testing, DOE proposes to adopt the more detailed lamp-
specific stabilization requirements of ANSI C78.389, section 3.7, as
shown in Table III.1. DOE invites comment on these proposed
requirements, as well as any appropriate alternative lamp stabilization
procedures.
d. Lamp/Circuit Transfer
DOE proposes to adopt the lamp transfer and re-stabilization
methods of ANSI C78.389, section 3.7, for HID lamp testing. HID lamps
are very sensitive to movement once they are warmed up and stabilized.
Therefore, any significant movement or disturbance could destabilize
the lamp operation, altering its output or electrical characteristics
and requiring the lamp to be re-stabilized prior to testing. The re-
stabilization time varies by lamp type, whether the lamp arc has been
extinguished, and whether lamp orientation has changed. Lamps are often
``pre-burned'' on a different ballast than that used for final
electrical and photometric testing, which requires moving and re-
stabilizing the lamp before final testing can begin.
The lamp cool down and transfer requirements of ANSI C78.389,
section 3.7, are shown in Table III.2. The requirements vary by HID
lamp type and with the specifics of the lamp movement. Under ANSI
requirements, MH lamps that will be physically relocated without a
change in orientation must be allowed to cool to 60 [deg]C before
moving and then be warmed up for 30 minutes in the new location before
stabilization measurements may begin. If its orientation changes, the
MH lamp is to be operated for 6 hours in the final testing orientation
before stabilization measurements may be taken. HPS lamps require a
cooling period of at least 1 hour before the lamps may be moved and
restarted prior to stabilization measurements. MV lamps do not require
cooling, but must be warmed up before stabilization measurements may be
taken after the lamps are moved.
Alternatively, LM-51, section 6.2, states that stabilization may be
minimized by switching the lamp between ballasts without extinguishing
the arc. Less warm-up time is required if the two ballasts being
switched are electrically equivalent; otherwise, an additional warm-up
period of 5 to 10 minutes may be required. According to LM-51, section
6.2, some HID lamps may require a brief cooling period before testing
may be restarted, in which case another 10 to 30 minutes of warm-up
time may be required before stabilization measurements may be taken.
LM-51 does not specifically give guidance regarding the cooling
requirements, whereas ANSI C78.389 gives specific requirements (e.g.,
time or temperature) for cooling. LM-51 also generalizes re-
stabilization, whereas ANSI C78.389 provides specific

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