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


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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.

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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: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    2. Email: [email protected]. 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 http://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 http://www.regulations.gov index. However, not all 
documents listed in the index may be publicly available, such as 
information that is exempt from public disclosure.
    A link to the docket web page can be found at: http://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: 
[email protected].
    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: [email protected] or [email protected].

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.
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    \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.
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    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.
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    \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.
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    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\
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    \7\ ``Colorimetry'' referenced is the science and technology of 
human color perception.
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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.
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    \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.
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    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\
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    \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).
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    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\
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    \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.
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    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\
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    \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.
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    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\
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    \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.
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    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).
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    \14\ Luminous flux is the numerator in the lamp efficacy 
equation.
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    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.''
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    \15\ Self-ballasted lamps have different characteristics from 
lamps that work with an external ballast. This definition is 
required to distinguish this lamp type.
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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\
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    \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 http://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 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.

    Table III.2--ANSI C78.389 HID Lamp Cool Down and Re-stabilization
                              Requirements
------------------------------------------------------------------------
                                     Cooling
           Lamp type               requirement     Re-stabilization time
------------------------------------------------------------------------
MV............................  None.............  Not in standard,
                                                    Reconfirm stabilized
                                                    operations upon
                                                    transfer/restrike.
HPS...........................  Allow to cool for  Not in standard,
                                 1 hour minimum     Reconfirm stabilized
                                 before             operations upon
                                 relocating.        transfer/restrike.

[[Page 77923]]

 
MH............................  Cool to below 60   No relocation no
                                 [deg]C if          reorientation--30
                                 relocating.        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.
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 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 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

[[Page 77924]]

percent of rated lamp life, as described in LM-47.
---------------------------------------------------------------------------

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

    DOE invites comment on the proposed test method, as well as any 
appropriate alternative test method for determining HID lamp lumen 
maintenance.
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 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.
---------------------------------------------------------------------------

    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 
single-function 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\
---------------------------------------------------------------------------

    \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).
---------------------------------------------------------------------------

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 
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: http://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

[[Page 77925]]

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 http://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 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                     SBA threshold
----------------------------------------------------------------------------------------------------------------
Eiko............................................            423610  100 employees.
Eye (Iwasaki)...................................            335121  500 employees.
Fulham..........................................            335311   100 employees.
GE Lighting.....................................            335121  500 employees.
Halco...........................................            423610  1,000 employees.
Havells.........................................            335110   1,000 employees.
LiteTronics.....................................            423610  1,000 employees.
OSRAM SYLVANIA..................................            423490   100 employees.
Philips.........................................            339112   500 employees.
Superior Lamp Inc...............................            335110   1,000 employees.
Superior Lamp Inc...............................            335110   1,000 employees.
Technical Consumer Products (TCP Inc.)..........            452990  $30M in sales.
Topaz...........................................            423610  100 employees.
Ushio America...................................            423610  100 employees.
Venture.........................................            335110  1000 employees.
Westinghouse Lighting...........................            423610  100 employees.
----------------------------------------------------------------------------------------------------------------

    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.
---------------------------------------------------------------------------

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

    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 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 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,

[[Page 77926]]

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 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 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

[[Page 77927]]

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

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

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

I. Review Under Executive Order 12630

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

J. Review Under 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 for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed today's proposed rule under the OMB and DOE guidelines and has 
concluded that it is consistent with applicable policies in those 
guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated or is expected to lead to promulgation of a 
final rule, and that: (1) Is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    Today's regulatory action to 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.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the Chairman of the Federal Trade Commission 
(FTC) concerning the impact of the commercial or industry standards on 
competition.
    The proposed test procedures incorporate testing methods contained 
in the following commercial standards:

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).

    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 [email protected]. As explained in the 
ADDRESSES section, foreign nationals visiting DOE Headquarters are 
subject to advance security screening procedures.
    In addition, you can attend the public meeting via webinar. Webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants will be 
published on DOE's Web site  http://www1.eere.energy.gov/buildings/appliance_standards/commercial/high_intensity_discharge_lamps.html.

[[Page 77928]]

Participants are responsible for ensuring their systems are compatible 
with the webinar software.

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 questions of participants concerning other 
matters relevant to this rulemaking. The official conducting the public 
meeting will accept additional comments or questions from those 
attending, as time permits. The presiding official will announce any 
further procedural rules or modification of the above procedures that 
may be needed for the proper conduct of the public meeting.
    A transcript of the public meeting will be included in the docket, 
which can be viewed as described in the Docket section at the beginning 
of this notice. In addition, any person may buy a copy of the 
transcript from the transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule before or after the public meeting, but no later than the 
date provided in the DATES section at the beginning of this proposed 
rule. Interested parties may submit comments using any of the methods 
described in the ADDRESSES section at the beginning of this notice.
    Submitting comments via regulations.gov. The regulations.gov web 
page will require you to provide your name and contact information. 
Your contact information will be viewable to DOE Building Technologies 
staff only. Your contact information will not be publicly viewable 
except for your first and last names, organization name (if any), and 
submitter representative name (if any). If your comment is not 
processed properly because of technical difficulties, DOE will use this 
information to contact you. If DOE cannot read your comment due to 
technical difficulties and cannot contact you for clarification, DOE 
may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to regulations.gov information for which disclosure 
is restricted by statute, such as trade secrets and commercial or 
financial information (hereinafter referred to as Confidential Business 
Information (CBI)). Comments submitted through regulations.gov cannot 
be claimed as CBI. Comments received through the Web site will waive 
any CBI claims for the information submitted. For information on 
submitting CBI, see the Confidential Business Information section.
    DOE processes submissions made through regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email, hand delivery, or mail. Comments and 
documents submitted via email, hand delivery, or mail also will be 
posted to regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information on a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    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

[[Page 77929]]

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.
2. Ambient Test Temperatures
    DOE invites comments and data on the applicability of the proposed 
ambient test temperature requirements (25 [deg]C 5 [deg]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.
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.
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.
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 
100-hour 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 
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 re-stabilization.
10. Lamp Orientation
    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
    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.

[[Page 77930]]

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.

    Issued in Washington, DC, on November 28, 2011.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Office of Energy 
Efficiency and Renewable Energy.

    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.

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

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

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

    2. In Sec.  429.2 revise paragraph (a) to read as follows:


Sec.  429.2  Definitions.

    (a) The definitions found in Sec. Sec.  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:


Sec.  429.55  High-intensity discharge (HID) lamps.

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec.  429.11 are applicable to high-intensity 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:
    [GRAPHIC] [TIFF OMITTED] TP15DE11.002
    
and X is the sample mean;
n is the number of samples; and
xi is the ith sample;


Or,

    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.97, where:
[GRAPHIC] [TIFF OMITTED] TP15DE11.003

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 one-tailed 
confidence interval with n-1 degrees of freedom (from appendix A).

    (ii) For each basic model of high-intensity 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:
    [GRAPHIC] [TIFF OMITTED] TP15DE11.004
    
and X is the sample mean;
n is the number of samples; and
xi is the ith sample;

Or,

    (ii) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.97, where:
[GRAPHIC] [TIFF OMITTED] TP15DE11.005

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 one-tailed 
confidence interval with n-1 degrees of freedom (from appendix A).

    (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 Sec.  429.71.

PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND 
INDUSTRIAL EQUIPMENT

    1. The authority citation for part 431 continues to read as 
follows:

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

    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'', ``High-pressure 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 ``Self-ballasted lamp'' to 
read as follows:


Sec.  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 
Sec.  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.
* * * * *

[[Page 77931]]

    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).
* * * * *
    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/cm\2\, 
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 high-intensity 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 high-intensity 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 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.
* * * * *


Sec.  431.282  [Amended]

    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: Sec.  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 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.
* * * * *
    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 high-intensity discharge lamps.
431.453 Material incorporated by reference.
431.454 Uniform test method for calculation of lamp efficacy and 
lumen maintenance from lamp measurements.
431.455 Energy conservation standards and their dates.


Sec.  431.451  Purpose and scope.

    This subpart contains energy conservation requirements for high-
intensity 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.


Sec.  431.452  Definitions concerning high-intensity 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.


Sec.  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 
http://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: 
http://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)

[[Page 77932]]

642-4900, or go to http://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 Sec.  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 
Sec.  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 http://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 Sec.  431.454.
(d) CIE 15:2004 (``CIE 15''), Technical Report: Colorimetry, 2004. IBR 
approved for Sec.  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 
http://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 Sec.  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 Sec.  431.454.


Sec.  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 
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 Sec.  431.453) and LM-51 (incorporated by reference, see Sec.  
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 [deg]C  5 [deg]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 root-mean-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 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-in-circuit 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).

[[Page 77933]]

B. Instrumentation for Photometric Measurement
    The photometer shall have a relative spectral responsivity that 
approximates the V-lambda (V([lambda])) 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 
Sec.  431.453). A 100-hour 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 warm-up, stabilization, and re-
stabilization requirements for MV, HPS, and MH lamps.

    Table I--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%.
------------------------------------------------------------------------

     (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 movement. 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 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
------------------------------------------------------------------------
                                     Cooling
           Lamp type               requirement     Re-stabilization time
------------------------------------------------------------------------
MV............................  None.............  Not in standard,
                                                    Reconfirm stabilized
                                                    operations upon
                                                    transfer/restrike.
HPS...........................  Allow to cool for  Not in standard,
                                 1 hour minimum     Reconfirm stabilized
                                 before             operations upon
                                 relocating.        transfer/restrike.
MH............................  Cool to below 60   No relocation no
                                 [deg]C if          reorientation--30
                                 relocating.        minutes, Relocation
                                                    with no
                                                    reorientation--30
                                                    minutes,
                                                    Reorientation--6
                                                    hours.
------------------------------------------------------------------------

     (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.
    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 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.

[[Page 77934]]

    (2) Measurement and Calculation of Center Beam Intensity and Beam 
Angle.
    The test procedure described in ANSI C78.379 (incorporated by 
reference, see Sec.  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 Sec.  
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 Sec. Sec.  431.453).


Sec.  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