Federal Register, Volume 79 Issue 99 (Thursday, May 22, 2014)

[Federal Register Volume 79, Number 99 (Thursday, May 22, 2014)]
[Proposed Rules]
[Pages 29631-29660]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-10683]

[[Page 29631]]

Vol. 79

Thursday,

No. 99

May 22, 2014

Part V

Department of Energy

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10 CFR Parts 429 and 431

Energy Conservation Program: Test Procedures for High-Intensity
Discharge Lamps; Proposed Rule

Federal Register / Vol. 79 , No. 99 / Thursday, May 22, 2014 /
Proposed Rules

[[Page 29632]]

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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: Test Procedures for High-Intensity
Discharge Lamps

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

ACTION: Supplemental notice of proposed rulemaking.

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SUMMARY: On December 15, 2011, the U.S. Department of Energy (DOE)
issued a notice of proposed rulemaking (NOPR) to establish test
procedures (TP) for high-intensity discharge (HID) lamps (herein
referred to as the December 2011 TP NOPR). In this supplemental notice
of proposed rulemaking (SNOPR), DOE updates the industry standards
proposed to be incorporated by reference in the December 2011 TP NOPR
and proposes to revise or eliminate certain definitions relevant to HID
lamps. DOE also provides clarification and additional background
information on ambient temperature conditions, and revises proposed
ambient air speed requirements. DOE revises its proposed sampling plan
as well. In addition, DOE removes the directional lamp requirements and
proposed lumen maintenance test method included in the December 2011 TP
NOPR. The other provisions of the December 2011 TP NOPR are unaffected
by this SNOPR.

DATES: DOE will accept comments, data, and information regarding this
SNOPR submitted no later than June 23, 2014. See section IV, ``Public
Participation,'' for details.

ADDRESSES: Any comments submitted must identify the SNOPR 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: www.regulations.gov. Follow the
instructions for submitting comments.
2. Email: HIDLamps-2010-TP-0044@ee.doe.gov. Include the docket
number (EERE-2010-BT-TP-0044) and/or RIN (1904-AC37) in the subject
line of the message. Submit electronic comments in WordPerfect,
Microsoft Word, PDF, or ASCII file format, and avoid the use of special
characters or any form of encryption.
3. Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy,
Building Technologies Office, Mailstop EE-5B, 1000 Independence Avenue
SW., Washington, DC 20585-0121. If possible, please submit all items on
a compact disk CD, in which case it is not necessary to include printed
copies.
4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of
Energy, Building Technologies Office, 950 L'Enfant Plaza SW., Suite
600, Washington, DC 20024. Phone: (202) 586-2945. If possible, please
submit all items on a CD, in which case it is not necessary to include
printed copies.
Docket: The docket, which includes Federal Register notices, public
meeting attendee lists and transcripts, comments, and other supporting
documents/materials, is available for review at regulations.gov. All
documents in the docket are listed in the regulations.gov index.
However, not all documents listed in the index may be publicly
available, such as information that is exempt from public disclosure.
Instructions: All submissions received must include the agency name
and docket number and/or RIN for this rulemaking. No facsimiles (faxes)
will be accepted.
A link to the docket Web page can be found at:
www1.eere.energy.gov/buildings/appliance_standards/rulemaking.aspx/ruleid/21. This Web page contains a link to the docket for this notice
on the www.regulations.gov site. The www.regulations.gov Web page will
contain instructions on how to access all documents, including public
comments, in the docket. See section IV for information on how to
submit comments through www.regulations.gov.
For further information on how to submit a comment and review other
public comments, contact Ms. Brenda Edwards at (202) 586-2945 or by
email: Brenda.Edwards@ee.doe.gov.

FOR FURTHER INFORMATION CONTACT:
Ms. Lucy deButts, U.S. Department of Energy, Office of Energy
Efficiency and Renewable Energy, Building Technologies Office, EE-5B,
1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone:
(202) 287-1604. Email: high_intensity_dischage_lamps@ee.doe.gov.
Ms. Johanna Hariharan, U.S. Department of Energy, Office of the General
Counsel, GC-71, 1000 Independence Avenue SW., Washington DC 20585-0121.
Telephone: (202) 287-6307. Email: Johanna.Hariharan@hq.doe.gov.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Authority and Background
II. Discussion of the Supplemental Notice of Proposed Rulemaking
A. Industry Standards and Test Procedures
B. Definitions
1. Definitions Relevant to High-Intensity Discharge Lamps
a. Beam Angle
b. Color Rendering Index
c. Correlated Color Temperature
d. Directional Lamp
e. Initial Lumen Output
f. High-Pressure Sodium Lamp
g. Lamp Efficacy
h. Lamp Electrical Power Input
i. Lamp Wattage
j. Lumen Maintenance
k. Rated Luminous Flux or Rated Lumen Output
l. Self-Ballasted Lamp
2. Definition of ``Ballast Efficiency'' for Metal Halide Lamp
Fixtures
3. Definition of ``Basic Model'' for High-Intensity Discharge
Lamps
C. Test Procedures 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
c. Reference Ballasts
i. Lamps for Electronic Ballasts Only
ii. Self-Ballasted Lamps and Reference Ballasts
iii. Reference Ballasts for Multi-Start Type Metal Halide Lamps
iv. Lamp Orientation and Reference Ballasts
d. Instrumentation
i. Integrating Sphere
ii. Goniophotometer
2. Lamp Selection and Setup
a. Basic Model
b. Sampling Plans
i. Sample Size
ii. Statistical Representation
iii. Divisor
iv. Proposed Sampling Plan for Potential Energy Conservation
Standards
c. Lamp Seasoning and Stabilization
d. Lamp/Circuit Transfer
e. Lamp Orientation
3. Special Considerations for Directional Lamps
D. Test Measurements and Calculations
1. Measurement and Calculation of Efficacy
2. Measurement and Calculation of Center Beam Intensity and Beam
Angle
3. Measurement and Calculation of Correlated Color Temperature
and Color Rendering Index
i. Correlated Color Temperature
ii. Color Rendering Index
4. Test Method for Measuring Lumen Maintenance
E. Active Modes--Less Than Full Output (Dimming)
1. Measurement of Dimming Performance for Potential Energy
Conservation Standards
F. Standby Mode and Off Mode Energy Usage

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G. Laboratory Accreditation Program
H. Effective Date and Compliance Date for the Test Procedures
and Compliance Date for Submitting High-Intensity Discharge Lamp
Certification Reports
1. Effective Date for the Test Procedures
2. Compliance Date for the Test Procedures
3. Compliance Date for Submitting High-Intensity Discharge Lamp
Certification Reports
III. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
1. Estimated Small Business Burden
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
IV. Public Participation
A. Submission of Comments
B. Issues on Which DOE Seeks Comment
1. Definitions
a. Beam Angle
b. Color Rendering Index
c. Correlated Color Temperature
d. Directional Lamp
e. High-Pressure Sodium Lamp
f. Initial Lumen Output
g. Lamp Efficacy
h. Lamp Electrical Power Input
i. Lamp Wattage
j. Lumen Maintenance
k. Mercury Vapor Lamp
l. Metal Halide Lamp
m. Rated Luminous Flux or Lumen Output
n. Self-Ballasted Lamp
o. Ballast Efficiency
p. Basic Model
2. Ambient Test Temperature
3. Air Speed
4. Reference Ballasts
5. Instrumentation for Photometric Measurement
6. Sampling Plan
7. Lamp Seasoning and Stabilization
8. Cool-Down and Re-Stabilization
9. Lamp Orientation
10. Special Consideration for Directional Lamps
11. Efficacy
12. Measurement and Calculation of Correlated Color Temperature
and Color Rendering Index
13. Dimming
14. Small Business Burden
V. Approval of the Office of the Secretary

I. Authority and Background

Title III, Part B of the Energy Policy and Conservation Act of 1975
(Pub. L. 94-163, 42 U.S.C. 6291, et seq. ``EPCA'' or ``the Act'') sets
forth a variety of provisions designed to improve energy efficiency and
established the Energy Conservation Program for Consumer Products Other
Than Automobiles.\1\ Part C of title III, ``Certain Industrial
Equipment'' (42 U.S.C. 6311-6317), establishes an energy conservation
program for such equipment.\2\ Although 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.
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\1\ All references to EPCA in this document refer to the statute
as amended through the American Energy Manufacturing Technical
Corrections Act (AEMTCA), Public Law 112-210 (Dec. 18, 2012).
\2\ For editorial reasons, Parts B and C were re-designated as
Parts A and A-1 on codification in the U.S. Code.
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Under EPCA, the energy conservation program consists essentially of
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation
standards, and (4) certification and enforcement procedures. The
testing requirements consist of test procedures that manufacturers of
covered products must use as the basis for (1) certifying to DOE that
their products comply with the applicable energy conservation standards
adopted under EPCA (42 U.S.C. 6295(s) and 6316(a)), and (2) making
representations about the efficiency of those products (42 U.S.C.
6315(b)). Similarly, DOE must use these test procedures to determine
whether the products comply with any relevant standards promulgated
under EPCA (42 U.S.C. 6295(s) and 6316(a)(1)).
EPCA requires DOE to prescribe testing requirements for HID lamps
within 30 months after issuance of a positive determination 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 determination for HID lamps
on July 1, 2010. 75 FR 37975.

General Test Procedures 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, and shall not be unduly
burdensome to conduct. (42 U.S.C. 6314(a)(2))

Background

DOE published a NOPR on December 15, 2011 (herein referred to as
the December 2011 TP NOPR) proposing test procedures for HID lamps to
measure efficacy, color characteristics, and lumen maintenance. 76 FR
77914. DOE presented the December 2011 TP NOPR at a public meeting on
January 19, 2012 (herein referred to as the January 2012 TP public
meeting). Comments received in response to the December 2011 TP NOPR
and a transcript of the public meeting are available at
www.regulations.gov. DOE received comments from interested parties
suggesting that the DOE HID lamps test procedures should be aligned
with similar international standards and test procedures, and that DOE
should pursue using test data already collected in accordance with
international requirements. DOE also received comments on its proposals
to measure lamp color characteristics, lumen maintenance, and
directional lamp characteristics. Other comments were received on the
proposed sampling plan, laboratory accreditation requirements, and the
instrumentation requirements for test apparatuses.
Based on comments received on the December 2011 TP NOPR, and
subsequent additional research, DOE proposes to revise and clarify the
proposed HID lamp test procedures. In this SNOPR, DOE provides
interested parties with an opportunity to comment on these revised and
new proposals, described in section II.

II. Discussion of the Supplemental Notice of Proposed Rulemaking

In this SNOPR, DOE updates the industry standards proposed to be
incorporated by reference in the December 2011 TP NOPR and proposes
revisions to three elements of the December 2011 TP NOPR: (1)
Definitions; (2) ambient testing conditions for temperature and air
speed; and (3) sampling plan. These revisions address comments from
interested parties and incorporate recent research on HID lamps. This
SNOPR also removes the directional lamp and lumen maintenance testing
requirements included in the December 2011 TP NOPR.
In this SNOPR, DOE revises the December 2011 TP NOPR proposed
definitions relevant to HID lamps in 10 CFR part 431 for ``basic
model,'' ``directional lamp,'' ``lamp efficacy,'' and ``lamp wattage,''
and proposes to eliminate the terms ``beam angle,''

[[Page 29634]]

``lamp electrical power input,'' and ``lumen maintenance.'' DOE also
proposes to add a definition for ``initial lumen output.'' DOE also
clarifies the proposed requirements for ambient temperature conditions
and provides additional background information in support of these
requirements. In addition, DOE revises its proposed ambient air speed
requirements to eliminate as unwarranted an explicit air speed limit.
Finally, DOE revises its sampling plan requirements for sample size and
statistical representation.

A. Industry Standards and Test Procedures

In the December 2011 TP NOPR, DOE proposed to incorporate by
reference six industry standards and test procedures. 77 FR 77914,
77916 (Dec. 15, 2011). These references were American National
Standards Institute (ANSI) C78.379-2006, ``For Electric Lamps--
Classification of the Beam Patterns of Reflector Lamps''; ANSI C78.389-
R2009, ``For Electric Lamps--High Intensity Discharge--Methods of
Measuring Characteristics'' (sections 1.0, 2.0, 3.0, and Figure 1);
International Commission on Illumination (CIE) 13.3-1995, ``Technical
Report: Method of Measuring and Specifying Colour Rendering Properties
of Light Sources''; CIE 15:2004, ``Technical Report: Colorimetry'';
Illuminating Engineering Society of North America (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); and IES LM-47-01, ``Approved Method for Life Testing of High
Intensity Discharge Lamps.'' In today's SNOPR, DOE proposes to update
its references to incorporate IES LM-51-13, ``Approved Method for the
Electrical and Photometric Measurements of High Intensity Discharge
Lamps.'' DOE also proposes to incorporate by reference one additional
standard: IES LM-78-07, ``IESNA Approved Method for Total Luminous Flux
Measurement of Lamps Using an Integrating Sphere Photometer.''
During the January 2012 HID TP public meeting, Intertek commented
that IES LM-47-01 was more than 10 years old and had been updated.
(Intertek, Public Meeting Transcript, No. 5 at p. 121) \3\ IES
subsequently released LM-47-12. DOE no longer proposes to measure lumen
maintenance; therefore, DOE no longer proposes to incorporate by
reference in this SNOPR LM-47-12.
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\3\ A notation in the form ``Intertek, Public Meeting
Transcript, No. 5 at p. 121'' identifies a comment that DOE has
received during a public meeting and has included in the docket of
this rulemaking. This particular notation refers to a comment: (1)
Submitted by Intertek; (2) transcribed from the public meeting in
document number 5 of the docket, and (3) appearing on page 121 of
that document.
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Intertek also commented during the January 2012 HID TP public
meeting that IES LM-51-00 was expected to be revised in the latter part
of 2012. (Intertek, Public Meeting Transcript, No. 5 at p. 121) DOE
notes that a revised version of IES LM-51 (IES LM-51-13) has been
released, which DOE proposes to incorporate by reference in this SNOPR.
The National Electrical Manufacturers Association (NEMA) expressed
general support for LM-51, but requested more specificity related to
instrumentation, and suggested that DOE incorporate by reference IES
LM-78-07. (NEMA, No. 6 at p. 8) \4\ DOE reviewed this test method and
proposes to incorporate by reference IES LM-78-07, ``IESNA Approved
Method for Total Luminous Flux Measurement of Lamps Using an
Integrating Sphere Photometer,'' sections 3.1 and 6.3, in this SNOPR.
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\4\ A notation in the form ``NEMA, No. 6 at p. 8'' identifies a
written comment that DOE has received and included in the docket of
this rulemaking. This particular notation refers to a comment: (1)
Submitted by National Electric Manufacturer's Association; (2) in
document number 6 of the docket; and (3) on page 8 of that document.
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B. Definitions

In the December 2011 TP NOPR, DOE proposed 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)). 76 FR 77914, 77917-18 (Dec. 15, 2011). These EPCA
definitions remain unchanged by this SNOPR.
As explained in section II.B.1 of this SNOPR, DOE proposed to
establish definitions of ``beam angle,'' ``directional lamp,'' ``high-
pressure sodium lamp,'' ``lamp electrical power input,'' ``lamp
efficacy,'' ``lamp wattage,'' ``lumen maintenance,'' ``rated luminous
flux or rated lumen output,'' and ``self-ballasted lamp'' in the
December 2011 TP NOPR. Many of the proposed definitions were identical
or very similar to the definitions set forth in 10 CFR part 430 for
consumer products. Since the publication of the December 2011 TP NOPR,
DOE has determined that changes are warranted for some of the proposed
definitions, and that others are not necessary (``beam angle,'' ``lamp
electrical power input,'' ``lumen maintenance,'' and ``rated luminous
flux or rated lumen output'') to include in the test procedures for HID
lamps.
As discussed in sections II.B.2 and II.B.3 of this SNOPR,
respectively, DOE also proposed in the December 2011 TP NOPR to amend
the definition of ``ballast efficiency'' and to establish a definition
of ``basic model'' for HID lamps. In this SNOPR, DOE withdraws the
amendment proposed in the December 2011 TP NOPR and proposes to retain
the existing definition of ``ballast efficiency.'' In addition, DOE
proposes revisions to the definition of ``basic model'' for HID lamps
set forth in the December 2011 TP NOPR.
1. Definitions Relevant to High-Intensity Discharge Lamps
a. Beam Angle
In the December 2011 TP NOPR, DOE proposed to define ``beam angle''
as ``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.'' 76 FR 77914, 77917 (Dec. 15, 2011). In
comments on the NOPR, NEMA agreed with the proposed definition of beam
angle (NEMA, No. 6 at p. 4), and DOE received no other comments
supporting or opposing this proposed definition. DOE notes, however,
that, as stated in the April 2013 HID lamps energy conservation
standards (ECS) Interim Analysis public meeting. DOE is not considering
standards for directional lamps in the HID lamps energy conservation
standards (Docket No. EERE-2010-BT-STD-0043, DOE, Public Meeting
Transcript, No. 23, at p. 18).\5\ For this reason, in this SNOPR, DOE
withdraws the proposed definition of ``beam angle'' in the HID test
procedures.
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\5\ A notation in this form provides a reference for information
that is in the docket of DOE's ``Energy Conservation Program for
Certain Commercial and Industrial Equipment: Energy Conservation
Standards for High-Intensity Discharge Lamps'' (Docket No. EERE-
2010-BT-STD-0043), which is maintained at www.regulations.gov. This
notation indicates that the statement preceding the reference is
document number 00023 in the docket for the metal halide lamp
ballasts test procedures rulemaking, and appears at page 18 of that
document.
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b. Color Rendering Index
In the December 2011 TP NOPR, DOE proposed to adopt a definition of
``color rendering index'' (CRI) based on the EPCA definition of the
same term. 76 FR 77914, 77917 (Dec. 15, 2011); see also 42 U.S.C.
6291(30)(J). The proposed definition was adopted from 10 CFR

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430.2, which defines CRI as ``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.'' \6\. DOE received no comments
supporting or opposing this proposed definition and maintains the
proposal for this SNOPR.
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\6\ The definitions of ``color rendering index'' in EPCA and 10
CFR 430.2 are substantively identical, excluding a minor wording
difference. The EPCA definition uses the phrase ``measure of the
degree of color shift'' whereas the CFR definition uses the phrase
``measured degree of color shift.'' 42 U.S.C. 6291(30)(J); 10 CFR
430.2.
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c. Correlated Color Temperature
In the December 2011 TP NOPR, DOE proposed to adopt the EPCA
definition of ``correlated color temperature'' (CCT) (42 U.S.C.
6291(30)(K)), which defines the term as ``the absolute temperature of a
blackbody whose chromaticity most nearly resembles that of the light
source.'' 76 FR 77914, 77917 (Dec. 15, 2011). DOE received no comments
supporting or opposing this proposed definition and maintains the
proposal for this SNOPR.
d. Directional Lamp
In the December 2011 TP NOPR, DOE proposed to define ``directional
lamp'' as ``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).'' 76 FR 77914, 77917 (Dec. 15, 2011). NEMA
agreed with the proposed definition of directional lamp. (NEMA, No. 6
at p. 4) DOE received no other comments supporting or opposing the
proposed definition. DOE proposes to modify the definition to also
incorporate the construction of the lamp. DOE proposes a revised
definition of ``directional lamp'' as ``a lamp with an integral
reflector, 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)'' in this SNOPR to clarify the lamp type that DOE is
considering excluding from coverage in the ongoing HID lamps standards
rulemaking (Docket No. EERE-2010-BT-STD-0043).
e. Initial Lumen Output
In this SNOPR, DOE proposes to add a definition of ``initial lumen
output'' to provide additional clarity. Initial lumen output is the
measured amount of light that a lamp provides at the beginning of its
life. An initial lumen output measurement is required to calculate lamp
efficacy. Therefore, DOE proposes a definition of ``initial lumen
output'' as ``the measured lumen output after the lamp is seasoned,
then initially energized and stabilized, using the lamp seasoning and
stabilization procedures in section 10 CFR 431.454(b)(1).'' \7\
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\7\ 10 CFR 431.454(b)(1) is a new section proposed by this
SNOPR.
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f. High-Pressure Sodium Lamp
In the December 2011 TP NOPR, DOE proposed to define ``high-
pressure sodium lamp'' (HPS) as ``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.'' 76 FR 77914,
77917 (Dec. 15, 2011). NEMA agreed with the proposed definition of
``high-pressure sodium lamp'' (NEMA, No. 6 at p. 5), and DOE received
no other comments supporting or opposing this proposed definition.
Therefore, DOE retains this definition in this SNOPR.
g. Lamp Efficacy
In the December 2011 TP NOPR, DOE proposed a definition for ``lamp
efficacy'' similar to that set forth at 10 CFR part 430, subpart B,
appendix R,\8\ where ``lamp efficacy'' is defined 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 proposed to replace ``lamp lumen output'' with ``rated
luminous flux or rated lumen output'' and to add the abbreviation ``lm/
W'' after ``lumens per watt.'' DOE further stated that 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 proposed a definition for ``lamp
efficacy'' as follows: ``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).'' 76
FR 77914, 77918 (Dec. 15, 2011).
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\8\ 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 ``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.'' The primary difference between the
definitions is the rounding of the values.
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NEMA disagreed with DOE's use of ``rated luminous flux or rated
lumen output'' as an equivalent to ``measured lamp lumen output,''
stating that the terms ``rated'' and ``measured'' are not
interchangeable. (NEMA, No. 6 at pp. 2, 5) NEMA suggested that DOE
instead use the definition for lamp efficacy in IES RP-16-10,
``Nomenclature and Definitions for Illuminating Engineering'' (RP-16).
(NEMA, No. 6 at p. 5) NEMA refined its comments during the March 2012
framework public meeting for the HID lamps energy conservation
standards (herein referred to as the March 2012 ECS public meeting),
stating that upon a second review of RP-16, ``lamp efficacy'' is not
defined, but ``luminous efficacy'' is defined, and encouraged DOE to
use ``luminous efficacy'' as the appropriate term. (Docket No. EERE-
2010-BT-STD-0043, NEMA, Public Meeting Transcript, No. 6 at p. 40) The
RP-16 definition for ``luminous efficacy of a source of light'' is ``.
. . the quotient of the luminous flux emitted by the total lamp power
input. It is expressed in lm/W.''
DOE acknowledges that ``lamp efficacy'' is not defined in RP-16,
but notes that ``lamp efficacy,'' rather than ``luminous efficacy,'' is
used for all other covered lamps and is the common term in the lighting
industry. Therefore, in this SNOPR, DOE proposes to keep the term
``lamp efficacy,'' but to revise the definition proposed in the
December 2011 TP NOPR.
DOE acknowledges NEMA's statement that a rated value is a value
declared by the manufacturer to represent the long-term average of any
given parameter. (NEMA, No. 6 at p. 2) DOE proposes to revise the
definition of ``lamp efficacy'' to be consistent with the definition of
``lamp efficacy'' in EPCA and simply use the terms ``lumen output'' and
``wattage.'' DOE includes additional language in its test procedures
that qualifies lamp lumen output and wattage as ``measured.''
The proposed definition for ``lamp efficacy'' in the December 2011
TP NOPR specified that efficacy values (lumens per watt) be rounded to
the nearest tenth. Lamp manufacturers OSRAM SYLVANIA and Philips
Electronics (Philips) commented that HID lamp measurements vary widely
because of the lamp chemistry used in HID lamps, the operating
characteristics of high-lumen-output HID lamps, and the sheer light
output of HID lamps (ranging from a few thousand to over a hundred
thousand lumens), and stated that rounding calculated efficacies to the
nearest tenth implies a measurement accuracy that is not achievable.
(OSRAM SYLVANIA, Public Meeting Transcript, No. 5 at p. 32; Philips,
Public Meeting Transcript, No. 5 at p.

[[Page 29636]]

32) NEMA agreed with OSRAM SYLVANIA and Philips that rounding to the
nearest tenth (of a lumen per watt) is inappropriate for HID lamps
because of the large potential for measurement variation. NEMA also
commented that rounding of lamp efficacy values should be addressed in
reporting requirements rather than the definition. (NEMA, No. 6 at p.
5)
DOE's proposed definition for ``lamp efficacy'' was based on the
definition in the test procedures for general service fluorescent
lamps, general service incandescent lamps, and incandescent reflector
lamps (GSFL/GSIL/IRL) at 10 CFR part 430, subpart B, appendix R. For
GSFL/GSIL/IRL, rounding lamp efficacy values to the nearest tenth is
appropriate given the equipment and instrumentation used to measure
lumen output and lamp wattage for these lamp types. Because the same
equipment and instrumentation is used to measure these quantities for
HID lamps, DOE believes lamp efficacy for HID lamps should also be
rounded to the nearest tenth of a lumen per watt. DOE agrees with NEMA,
however, that rounding requirements should not be part of the
definition of lamp efficacy, and believes that rounding should instead
be addressed in any future reporting requirements for HID lamps.
DOE notes that manufacturers have commented that HID lamps exhibit
more measurement variation than other lighting technologies. DOE plans
to account for measurement variation in the energy conservation
standards rulemaking for HID lamps and welcomes comments on sources of
measurement variation and any supporting data in that rule process.
DOE reviewed comments received on the December 2011 TP NOPR as well
as alternative definitions of lamp efficacy. To be consistent with
EPCA, DOE proposes to revise the definition of ``lamp efficacy'' for
HID lamps as follows: ``the lumen output of a lamp divided by its
wattage, expressed in lumens per watt (LPW).''
h. Lamp Electrical Power Input
In the December 2011 TP NOPR, DOE proposed to define ``lamp
electrical power input'' as ``the total electrical power input to the
lamp, including both arc and cathode power where appropriate, at the
reference condition, in units of watts.'' 76 FR 77914, 77918 (Dec. 15,
2011). This definition is the same as that set forth at 10 CFR part
430, subpart B, appendix R.
NEMA disagreed with the proposed definition, noting that HID lamps
do not have cathodes (or use cathode power), and that arc power
constitutes total lamp input power. (NEMA, Public Meeting Transcript,
No. 5 at pp. 44-45) DOE received no other comments related to the
proposed definition.
DOE acknowledges that arc power constitutes total lamp electrical
power input for HID lamps. ``Lamp electrical power input'' is therefore
the same as ``lamp wattage,'' which DOE also defined in the December
2011 TP NOPR. 76 FR 77914, 77918 (Dec. 15, 2011). As discussed earlier
in this document, DOE proposes to use the term ``lamp wattage'' instead
of ``lamp electrical power input'' in its revised definition for ``lamp
efficacy.'' Therefore, in this SNOPR, DOE withdraws the proposed
definition of ``lamp electrical power input'' for HID lamps as proposed
in the December 2011 TP NOPR. Id.
i. Lamp Wattage
In the December 2011 TP NOPR, DOE proposed to define ``lamp
wattage'' as ``the total electrical power required by a lamp in watts,
measured following the initial aging period referenced in the relevant
industry standard.'' The proposed definition interpreted the EPCA
definition of ``lamp wattage'' for this rulemaking. 76 FR 77914, 77918
(Dec. 15, 2011); see also 42 U.S.C. 6291(30)(O).\9\ NEMA agreed with
the proposed definition of lamp wattage. (NEMA, No. 6 at p. 5) DOE
received no other comments supporting or opposing this proposed
definition.
---------------------------------------------------------------------------

\9\ 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
procedures and including, for fluorescent, arc watts plus cathode
watts.''
---------------------------------------------------------------------------

In this SNOPR, DOE proposes to modify its original proposed
definition of ``lamp wattage'' to more closely parallel the EPCA
definition of ``lamp wattage,'' and to reference the applicable IES
lamp seasoning provisions required to support lamp wattage
measurements. Specifically, DOE proposes to replace ``measured
following the initial aging period referenced in the relevant industry
standard'' with ``after the initial seasoning period referenced in
section 6.2.1 of IES LM-51-13.''
Therefore, DOE proposes in this SNOPR to define ``lamp wattage'' as
``the total electrical power consumed by a lamp in watts, after the
initial seasoning period referenced in section 6.2.1 of IES LM-51-13.''
As previously discussed in this SNOPR, DOE is proposing a new
definition of ``lamp efficacy'' in which the term ``measured lamp
electrical power in watts'' is replaced with ``wattage.'' DOE defined
``lamp wattage'' in the December 2011 TP NOPR and interprets it as
equivalent to the term ``wattage.''
j. Lumen Maintenance
In the December 2011 TP NOPR, DOE proposed to define ``lumen
maintenance'' as ``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.'' 76 FR 77914, 77918
(Dec. 15, 2011). This definition is the same as that set forth for
medium-base compact fluorescent lamps (CFLs) at 10 CFR part 430,
subpart B, appendix W, section (2)(c).
Pacific Gas and Electric Company, San Diego Gas and Electric,
Southern California Gas Company, and Southern California Edison (herein
referred to as the California Investor Owned Utilities (CA IOUs)),
together with the Appliance Standards Awareness Project, American
Council for an Energy-Efficient Economy, and the Natural Resources
Defense Council jointly filed a comment (herein referred to as the
Joint Comment) that supported measuring lumen maintenance for HID
lamps, but did not comment specifically on the proposed definition. (CA
IOUs, No. 8 at p. 1; Joint Comment, No. 9 at p. 1) NEMA disagreed with
the definition, citing inconsistent references to measured and rated
values. NEMA disagreed with DOE's use of ``rated luminous flux or rated
lumen output'' as an equivalent to ``measured lamp lumen output,''
stating that the terms ``rated'' and ``measured'' are not
interchangeable. According to NEMA, because measured values were
expected to be reported, possible confusion and misreporting could
arise if rated values were reported instead. (NEMA, No. 6 at pp. 2, 5-
6)
DOE no longer proposes to measure lumen maintenance. Therefore, in
this SNOPR, DOE withdraws the proposed definition of ``lumen
maintenance'' for HID lamps as proposed in the December 2011 TP NOPR.
76 FR 77914, 77918 (December 15, 2011).
k. Rated Luminous Flux or Rated Lumen Output
In the December 2011 TP NOPR, DOE proposed to define ``rated
luminous flux or rated lumen output'' as ``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.'' This is the
same definition set forth for medium-base CFLs at 10 CFR part 430,
subpart B, appendix W, section (2)(d), and proposed in the December
2011 TP

[[Page 29637]]

NOPR. 76 FR 77914, 77918 (Dec. 15, 2011). NEMA agreed with the proposed
definition of ``rated luminous flux or rated lumen output.'' (NEMA, No.
6 at p. 4) DOE received no other comments supporting or opposing this
proposed definition.
DOE has removed the term ``rated luminous flux or rated lumen
output'' from the proposed definition of ``lamp efficacy'' in this
SNOPR. Therefore, in this SNOPR, DOE proposes to withdraw the proposed
definition of ``rated luminous flux or rated lumen output'' for HID
lamps as proposed in the December 2011 TP NOPR. 76 FR 77914, 77918
(Dec. 15, 2011).
l. Self-Ballasted Lamp
In the December 2011 TP NOPR, DOE proposed to define ``self-
ballasted lamp'' as ``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.'' 76 FR 77914, 77918 (Dec. 15, 2011).\10\ NEMA
agreed with the proposed definition, and DOE received no other comments
supporting or opposing this proposed definition. (NEMA, No. 6 at p. 4)
Therefore, DOE retains the December 2011 TP NOPR proposed definition in
this SNOPR.
---------------------------------------------------------------------------

\10\ This definition is based in part on the definition of
``self-ballasted CFL lamp'' found at 10 CFR part 430, subpart B,
appendix W, section (2)(h).
---------------------------------------------------------------------------

2. Definition of ``Ballast Efficiency'' for Metal Halide Lamp Fixtures
In the December 2011 TP NOPR, DOE proposed an amended definition of
``ballast efficiency'' for HID fixtures, currently set forth at 10 CFR
431.322. 76 FR 77914, 77918 (Dec. 15, 2011). Currently, ``ballast
efficiency'' for an HID 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

In the December 2011 TP NOPR, DOE noted that the definition of the
term ``Pout'' is the same as the definition DOE proposed for
``lamp electrical power input.'' In order to avoid possible confusion
between ``Pout'' and ``lamp electrical power input,'' DOE
proposed in the December 2011 TP NOPR 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, in units of watts;
(2) Ballast power input equals the measured operating input
wattage . . .''

76 FR 77914, 77198 (Dec. 15, 2011).
NEMA commented that the proposed definition would produce
inaccurate results for ballast efficiency because the lamp and ballast
power inputs are measured at reference and non-reference conditions,
respectively. (NEMA, No. 6 at pp. 6-7) DOE received no other comments
related to the proposed definition of ``ballast efficiency.''
Upon review, DOE determined that HID lamp testing and MH lamp
ballast testing are conducted separately, which effectively eliminates
any overlap and confusion of electrical power terms. As discussed
earlier in this document, DOE proposes to use the term ``wattage''
instead of ``lamp electrical power input'' in its revised definition
for ``lamp efficacy.'' Therefore, in this SNOPR, DOE withdraws the
proposed definition of ``lamp electrical power input'' for HID lamps.
In addition, DOE acknowledges that testing inaccuracies could arise
from the proposed definition for ``ballast efficiency,'' which was
intended to prevent confusion between the terms ``Pout'' and
``lamp electrical power input.'' Because HID lamp testing and MH lamp
ballast testing are conducted separately and DOE no longer proposes to
define ``lamp electrical power input,'' this potential confusion should
not materialize. Therefore, DOE is not proposing to amend the current
definition of ``ballast efficiency'' at 10 CFR 431.322 in this SNOPR.
3. Definition of ``Basic Model'' for High-Intensity Discharge Lamps
In the December 2011 TP NOPR, DOE proposed defining ``basic model''
for the HID lamp test procedures 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.'' 76 FR 77914, 77918 (Dec. 15, 2011).\11\
---------------------------------------------------------------------------

\11\ DOE discussed the concept of ``basic model'' extensively in
the September 2010 NOPR for certification, compliance, and
enforcement (September 2010 CC&E NOPR). 75 FR 56796, 56798-99 (Sept.
16, 2010). DOE provided additional discussion and responded to
comments received related to the September 2010 CC&E NOPR in the
March 2011 certification, compliance, and enforcement final rule. 76
FR 12422, 12428-30 (March 7, 2011).
---------------------------------------------------------------------------

NEMA commented that the definition of ``basic model'' should be
addressed in the HID lamps standards, and not the test procedures.
(NEMA, Public Meeting Transcript, No. 5 at p. 32) Because provisions
regarding the definition of basic model relate closely to the sampling
plan and test burdens that the test procedures address, DOE addresses
the definition of basic model in its test procedures rulemaking. DOE
will consider comments submitted to the ongoing HID lamps standards
rulemaking (Docket No. EERE-2010-BT-STD-0043) to develop the definition
of ``basic model,'' and DOE will use the same definition of ``basic
model'' in the standards rulemaking.
At the January 2012 TP public meeting, General Electric (GE)
commented that the terms ``hydraulic'' or ``water consumption'' in the
definition of ``basic model'' for HID lamps are potentially confusing
and should be removed. (GE, Public Meeting Transcript, No. 5 at p. 33)
In response to GE's comment, DOE reviewed the definition of ``basic
model'' for MH lamp fixtures at 10 CFR 431.322. The definition of
``basic model'' at 10 CFR 431.322 is the same as the definition that
DOE proposed in the December 2011 TP NOPR. DOE also reviewed the
``basic model'' definition for GSFL/GSIL/IRL at 10 CFR 430.2 and notes
that this definition of basic model is general and applies to faucets
and showerheads in addition to the various lamp types. But DOE
acknowledges that the terms identified by GE may cause confusion with
respect to HID lamps. DOE also notes that the definition of ``basic
model'' proposed in the December 2011 TP NOPR contains the phrase ``and
are rated to operate a given lamp type and wattage,'' which applies to
lamp ballasts (i.e., for MH lamp fixtures in 10 CFR 431.322), but does
not apply to HID lamps. Further, DOE notes that ``efficacy'' is a more
appropriate term for describing the energy efficiency of HID lamps than
the term ``energy efficiency'' used in the proposed definition of
``basic model.'' To more accurately

[[Page 29638]]

characterize HID lamps, DOE proposes to remove the phrase ``and are
rated to operate a given lamp type and wattage'' from the definition of
``basic model,'' and revise the remaining text by replacing the term
``energy efficiency'' with the term ``efficacy.''
Therefore, in this SNOPR, DOE proposes to define ``basic model''
for HID lamp test procedures to read as follows: `` `Basic model' means
all units of a given type of covered equipment (or class thereof)
manufactured by one manufacturer, that have the same primary energy
source, and that have essentially identical electrical, physical, and
functional characteristics that affect energy consumption or
efficacy.''

C. Test Procedures for Measuring Energy Efficiency of High-Intensity
Discharge Lamps

1. Test Setup and Conditions
DOE has determined that changes are warranted for certain test
setup and condition requirements proposed in the December 2011 TP NOPR.
In the discussion that follows, DOE describes the December 2011 TP NOPR
proposals for ambient conditions, power supply characteristics,
reference ballasts, and instrumentation. DOE also describes the changes
being proposed in this SNOPR and notes those provisions that remain
unaffected.
a. Ambient Conditions
In the December 2011 TP NOPR, DOE proposed a requirement that the
test apparatus be operated in a location where ambient conditions
(e.g., ambient temperature) are stable. 76 FR 77914, 77919 (Dec. 15,
2011). As described in the following paragraphs, in this SNOPR, DOE
proposes to revise certain specifications necessary to meet the
requirement for stable ambient conditions.
i. Ambient Test Temperature
In the December 2011 TP NOPR, DOE proposed an ambient temperature
requirement of 25 [deg]C 5 [deg]C for HID lamp testing in
accordance with ANSI C78.389. 76 FR 77914, 77919 (Dec. 15, 2011). This
is the industry standard temperature for testing most ballasted and
non-ballasted light sources (both HID and other lamp types). It is also
the temperature required by the MH lamp ballast TP final rule, wherein
DOE stated that ambient temperature is not critical to MH lamp
operation and light output, but can affect lamp electrical performance.
75 FR 10950, 10956 (March 9, 2010).
NEMA agreed with the proposed ambient test temperature for HID
lamps (25 [deg]C 5 [deg]C), but noted that other lamp types
have a 1 [deg]C tolerance for photometric testing. (NEMA,
No. 6 at p. 7) OSRAM SYLVANIA commented that, unlike fluorescent lamps,
HID lamps are not significantly affected by ambient temperature. OSRAM
SYLVANIA also stated that the ambient temperature required in IES
standard LM-51 is intended to benefit the measurement instrumentation,
which is more sensitive to ambient temperature variations than the HID
lamps being tested. (OSRAM SYLVANIA, Public Meeting Transcript, No. 5
at pp. 49, 54)
DOE reviewed applicable ANSI and IES documents for testing
discharge lamps (fluorescent and HID) and fixtures. Table II.1 compares
the recommended ambient test temperatures from these documents.

Table II.1--Comparison of Recommended Ambient Test Temperatures
----------------------------------------------------------------------------------------------------------------
Document Light source Ambient test temperature
----------------------------------------------------------------------------------------------------------------
LM-51-13, ``IESNA Approved Method for the Electrical and HID...................... 25 [deg]C 5
Photometric Measurements of High-Intensity Discharge [deg]C
Lamps''.
LM-73-04 (R2010), ``IESNA Approved Method for Photometric HID...................... 25 [deg]C 5
Testing of Entertainment Lighting Luminaires Using [deg]C
Incandescent Filament Lamps or High Intensity Discharge
Lamps''.
ANSI C78.389, ``American National Standard for Electric HID...................... 25 [deg]C 5
Lamps--High Intensity Discharge--Methods of Measuring [deg]C
Characteristics''.
LM-09-09, ``Electrical and Photometric Measurements of Fluorescent.............. 25 [deg]C 1
Fluorescent Lamps''. [deg]C
LM-66-11, ``Electrical and Photometric Measurements of Fluorescent.............. 25 [deg]C 1
Single-Ended Compact Fluorescent Lamps''. [deg]C
ANSI C78.375--1997, ``American National Standard for Fluorescent.............. 25 [deg]C 1
Fluorescent Lamps--Guide for Electrical Measurements''. [deg]C
----------------------------------------------------------------------------------------------------------------

DOE acknowledges that for fluorescent sources, the tolerance in
these documents for ambient test temperature is 1 [deg]C.
DOE also agrees with OSRAM SYLVANIA that ambient temperature is not
critical to HID lamp operation and light output. Therefore, in this
SNOPR, DOE retains the ambient temperature and tolerance of 25 [deg]C
5 [deg]C proposed in the December 2011 TP NOPR. However, as
discussed in section II.C.1.a.ii, DOE proposes referencing the 25
[deg]C 5 [deg]C requirement in IES LM-51-13 based on the
absence of the associated maximum air speed requirement.
ii. Air Speed
In the December 2011 TP NOPR, DOE proposed a specific air speed
limit of <=0.5 meters per second (m/s) for HID lamp testing because the
ANSI C78.389 requirement for ``draft-free'' conditions is unclear
because no definition of the term ``draft-free'' is provided in the
standard. In the MH lamp ballast TP final rule, DOE researched
different air speed limits from different test procedures and adopted
an air speed limit of <=0.5 m/s. 75 FR 10950, 10956 (March 9, 2010). In
its comments on the December 2011 TP NOPR, OSRAM SYLVANIA stated that
air speed is relevant for ballast measurements, but not for HID lamps.
OSRAM SYLVANIA elaborated by stating that the typical ``lamp within a
lamp'' construction of HID lamps (i.e., arc tube within an outer glass
envelope) makes them insensitive to ambient air movement. (OSRAM
SYLVANIA, Public Meeting Transcript, No. 5 at pp. 47-50) NEMA agreed
with this assessment. (NEMA, No. 6 at p. 8)
In the December 2011 TP NOPR, DOE reviewed LM-51-13, ANSI C78.389,
and LM-73-04 for the ambient test temperature requirements discussed
previously. Table II.2 provides the review of air speed limits for HID
lamp and fixture testing.

[[Page 29639]]

Table II.2--Comparison of Air Speed Limits for HID Lamp and Fixture Testing
----------------------------------------------------------------------------------------------------------------
Document Air Speed Requirements
----------------------------------------------------------------------------------------------------------------
LM-51-13, ``IESNA Approved Method for the Electrical and No special precautions against normal room air
Photometric Measurements of High-Intensity Discharge movement are necessary.
Lamps''.
LM-73-04 (R2010), ``IESNA Approved Method for Photometric None specified.
Testing of Entertainment Lighting Luminaries Using
Incandescent Filament Lamps or High Intensity Discharge
Lamps''.
ANSI C78.389, ``American National Standard for Electric Draft free.
Lamps--High Intensity Discharge--Methods of Measuring
Characteristics''.
----------------------------------------------------------------------------------------------------------------

DOE agrees with OSRAM SYLVANIA and NEMA that HID lamps are
typically insensitive to ambient air movement because the light-
generating component of the lamp (i.e., the arc tube) is physically
isolated from the surrounding environment by an outer glass envelope,
effectively eliminating any convection cooling. Therefore, in this
SNOPR, DOE proposes not to prescribe an explicit air speed limit in the
HID lamps test procedures. Instead, DOE proposes to incorporate by
reference section 4.3 of LM-51-13, which specifies that no special
precautions against normal air movement are necessary in HID lamp test
procedures.
b. Power Supply Characteristics
In the December 2011 TP NOPR, DOE proposed power supply
characteristics (voltage waveshape, voltage regulation, and power
supply impedance) for the HID lamps test procedures based on ANSI
C78.389 and LM-51. 76 FR 77914, 77919 (Dec. 15, 2011). NEMA agreed with
DOE's proposal (NEMA, No. 6 at p. 8), and DOE received no other
comments on these characteristics. As a result, the power supply
characteristics are not affected by this SNOPR.
c. Reference Ballasts
In the December 2011 TP NOPR, DOE proposed to adopt the reference
ballast requirements of ANSI C78.389 for HID lamp testing. Based on a
review of industry literature, communication with independent testing
laboratories, and comments from industry, DOE determined that reference
ballasts are readily available and that their use is likely to provide
repeatable and consistent measurements. 76 FR 77914, 77920 (Dec. 15,
2011). In this SNOPR, DOE addresses several comments and questions
received in response to the December 2011 TP NOPR regarding: (1) Lamps
for electronic ballasts only; (2) self-ballasted lamps; (3) multi-start
type ballasts; and (4) effects of lamp orientation (position) on
reference ballasts. Each of these items is discussed herein.
i. Lamps for Electronic Ballasts Only
In a written comment, the CA IOUs suggested that DOE develop
reference specifications for lamps that can operate only on electronic
ballasts. (CA IOUs, No. 8 at p. 3) During the January 2012 TP public
meeting, GE commented that HID lamps currently designed to operate only
on electronic ballasts do not have reference ballasts. (GE, Public
Meeting Transcript, No. 5 at p. 63) NEMA encouraged DOE not to attempt
to define reference ballasts where they do not exist because of
potential conflicts with ongoing industry efforts. NEMA also stated
that lamps for which there are no ANSI standard ballasts should be
measured in accordance with the manufacturer's guidance. (NEMA, No. 6
at p. 8)
DOE acknowledges that currently there are no reference ballasts for
lamps operating only with electronic ballasts. HID lamps operating only
with electronic ballasts are a new and emerging technology and
represent an insignificant portion of the market. Current manufacturer
guidance for testing these types of lamps is inconsistent or
incomplete, and the industry has not yet developed standard testing
guidance. Therefore, in this SNOPR DOE does not propose test procedures
for lamps that only can be operated with electronic ballasts.
ii. Self-Ballasted Lamps and Reference Ballasts
During the January 2012 TP public meeting, GE commented that self-
ballasted lamps do not have reference ballasts. (GE, Public Meeting
Transcript, No. 5 at p. 63). In the December 2011 TP NOPR, DOE did not
require reference ballasts for self-ballasted HID lamps. DOE further
notes that in the April 2013 HID lamps ECS Interim Analysis public
meeting, DOE is not considering standards for self-ballasted HID lamps
(Docket No. EERE-2010-BT-STD-0043, DOE, Public Meeting Transcript, No.
23, at p. 18). Therefore, DOE is not proposing test procedures for
self-ballasted HID lamps.
iii. Reference Ballasts for Multi-Start Type Metal Halide Lamps
During the January 2012 TP public meeting, the CA IOUs questioned
whether the December 2011 TP NOPR provided enough guidance for testing
multi-start type HID lamps that can operate on multiple ballast types
(e.g., pulse-start or probe-start). (CA IOUs, Public Meeting
Transcript, No. 5 at p. 69-70). OSRAM SYLVANIA explained that the lamp
type indicates usage. For example, a pulse-start MH lamp designed as a
direct replacement for probe-start lamps may have a reference ballast
with probe-start characteristics. (OSRAM SYLVANIA, Public Meeting
Transcript, No. 5 at p. 70) In this SNOPR, DOE provides clarification
on reference ballast characteristics for multi-start type MH lamps.
DOE reviewed manufacturer catalog data sheets and found that
manufacturers of multi-start type MH lamps identify the ANSI lamp
designations that the lamps have been designed to replace (e.g., M58,
M138, M153, C184). ANSI lamp designation data sheets include the
characteristics of reference ballasts to be used with the specific lamp
(i.e., rated input voltage, reference current, and impedance).
DOE also reviewed independent testing of multi-start type MH lamps
conducted by the California Lighting Technology Center (CLTC), which
directly compared the measured performance of ten 205-watt multi-start
type MH lamps operated by a pulse-start ballast (for lamps designated
M153) and ten 205-watt multi-start type MH lamps operated by a probe-
start ballast (for lamps designated M58). The results of CLTC testing
indicated that, for pulse-start operation, the mean values for lamp
power and light output were 7 percent and 6 percent higher,
respectively, than for probe-start operation. The mean value for lamp
efficacy for pulse-start operation was within 1 percent of that for
probe-start operation (see Table II.3).\12\
---------------------------------------------------------------------------

\12\ California Energy Commission's Public Interest Energy
Research Program, Philips Energy Advantage CDM lamps with
AllStart^TM Technology. June 2011. Sacramento, CA. http://cltc.ucdavis.edu/sites/default/files/files/publication/20110600-pier-philips-hid-lamp-test.pdf.

[[Page 29640]]

Table II.3--Comparison of 205-W Multi-Start Lamp Operated on Both a Probe-Start and Pulse-Start Ballast
----------------------------------------------------------------------------------------------------------------
Light output Lamp power Lamp efficacy
Operating type ballast lumens watts lm/W
----------------------------------------------------------------------------------------------------------------
Pulse-Start Ballast............................................. 21,524 221 97
Probe-Start Ballast............................................. 20,344 207 98
----------------------------------------------------------------------------------------------------------------

CLTC's limited testing of multi-start type lamps suggests that
these lamps provide nearly identical efficacy with probe-start and
pulse-start operation. However, DOE recognizes that clear guidance is
needed for selecting reference ballast characteristics from multiple
compatible ANSI lamp designations. In this SNOPR, DOE proposes that
multi-start type HID lamps be tested using the characteristics for a
compatible probe-start ballast. DOE proposes that the probe-start ANSI
lamp designation data sheets be the primary source of reference ballast
characteristics used for testing multi-start type HID lamps, due to the
greater prevalence of existing probe-start MH systems.\13\ Given that
multi-start type MH lamps are primarily intended for use in existing
systems, DOE believes that probe-start operation is most representative
of actual operation for multi-start type MH lamps.
---------------------------------------------------------------------------

\13\ Probe-start represents the majority of MH lamp shipments in
2008, and then starts to decline. Based on NEMA's historical lamp
shipments, the DOE shipments model estimates that the installed
stock of probe-start MH systems remain in the majority in 2017. See
sections 10.2.1 and 10.3.1.3 of chapter 10 (shipments) of the HID
ECS interim analysis TSD at: http://www.regulations.gov/#!documentDetail;D=EERE-2010-BT-STD-0043-0016.
---------------------------------------------------------------------------

Most of the ANSI lamp designation codes referenced in the
manufacturer literature for multi-start type MH lamps are included in
ANSI C78.43-2013, ``ANSI Standard for Electric Lamps: Single-Ended
Metal Halide Lamps.'' These lamp designations (e.g., M58, M138, M165,
C185) are assigned sequentially, with lower numbers indicating older
lamp types. DOE proposes that multi-start type MH lamps be tested on a
reference ballast compatible with a probe-start ANSI lamp designation
with the lowest ANSI lamp designation. DOE believes this proposed
approach best encompasses and represents actual operation on a variety
of older and newer probe-start ballast types. If no probe-start ANSI
lamp designation is listed by the manufacturer, DOE proposes the lamps
be tested on a reference ballast with characteristics of the lowest
ANSI lamp designation listed. For example, if a lamp is advertised as a
multi-start type lamp, but the catalog or data sheet only lists
compatible ballast codes of M128, M135, and M172 (all pulse-start
ballasts), the lamp would be tested with a reference ballast with
characteristics matching M128 (the lowest code listed).
In summary, DOE proposes in this SNOPR that the multi-start type MH
lamps be tested on a reference ballast with the characteristics defined
in the equivalent probe-start ANSI lamp designation as listed in the
lamp catalog or manufacturer data sheets with the lowest ANSI lamp
designation. If no probe-start ANSI lamp designation is listed by the
manufacturer, DOE then proposes that the lamp be tested on a reference
ballast with the characteristics defined in the lowest ANSI lamp
designation listed.
iv. Lamp Orientation and Reference Ballasts
The CA IOUs commented that it was unclear in ANSI C82.5 whether
lamp orientation had any bearing on the selection of reference
ballasts. (CA IOUs, Public Meeting Transcript, No. 5 at p. 72) Philips
noted that lamp orientation does not affect the choice of reference
ballast to be used since the lamp operating position does not change
the HID lamp wattage. (Philips, Public Meeting Transcript, No. 5 at p.
74) The electrical properties of the lamp are intrinsic to the lamp; as
a result, they should not differ based on lamp orientation. Because
lamp orientation does not affect lamp wattage, DOE does not propose to
specify lamp orientation for the selection of reference ballasts.
d. Instrumentation
In the December 2011 TP NOPR, DOE proposed to adopt the electrical
and photometric instrumentation requirements of ANSI C78.389 and LM-51,
respectively, for its HID lamp test procedures. 76 FR 77914, 77920
(Dec. 15, 2011). The instruments proposed for electrical measurements
are described in ANSI C78.389, section 3.8. DOE received no comments on
these requirements, and they are unaffected by this SNOPR. The
instruments proposed for photometric instruments are described in LM-
51-13, section 7.0, which includes the same instruments described in
LM-51-00, section 9.0, as referenced in the December 2011 TP NOPR. The
proposed instrumentation requirements for photometric measurements are
detailed in the following sections.
In the December 2011 TP NOPR, DOE proposed that the photometer have
a relative spectral responsivity that approximates that of the human
eye (i.e., the V-lambda (V([lambda])) function). 76 FR 77914, 77920
(Dec. 15, 2011). DOE proposed to allow the use of either an integrating
sphere or a goniophotometer for the photometric measurements. Id. DOE
further proposed that photometric measurements of color characteristics
be specified in terms of the CIE colorimetry system and CRI. Id.
As described in the following paragraphs, DOE proposes additional
specificity for these measurements in this SNOPR, and proposes to allow
only the use of an integrating sphere for the photometric measurements.
DOE also clarifies, as discussed further in section II.D.3, that CRI is
being considered in the HID lamps ECS rulemaking (Docket No. EERE-2010-
BT-STD-0043) only to define the CRI above which standards will not be
considered for HID lamps. (Docket No. EERE-2010-BT-STD-0043, DOE,
Public Meeting Transcript, No. 23 at pp. 15-18)
i. Integrating Sphere
For integrating sphere measurements, DOE stated in the December
2011 TP NOPR that the spectral responsivity would take into account the
relative spectral throughput of the sphere and detector spectral
responsivity.\14\ 76 FR 77914, 77920 (Dec. 15, 2011). DOE also stated
that 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. Id. If

[[Page 29641]]

a diffuser is used on the detector, DOE proposed that its surface would
need to be mounted flush with the sphere wall. Id.
---------------------------------------------------------------------------

\14\ 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.
---------------------------------------------------------------------------

DOE also proposed that an integrating sphere for luminous flux
measurements must be large enough to allow the sphere's interior
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. 76 FR 77914, 77920 (Dec. 15,
2011).
GE commented that NEMA members needed more detailed specifications
for the integrating sphere diameter, and suggested that CIE standards
might provide guidance. (GE, Public Meeting Transcript, No. 5 at p. 77)
NEMA stated that it accepted DOE instrumentation requirements in
principle, but requested more detailed guidance on integrating sphere
diameter, suggesting that DOE reference IES LM-78-07, ``IESNA Approved
Method for Total Luminous Flux Measurement of Lamps Using an
Integrating Sphere Photometer.'' (NEMA, No. 6 at pp. 8-9) DOE reviewed
LM-78 and notes that sections 3.1, ``Size of the Sphere,'' and 6.3,
``Sources of Errors and Corrections,'' provide detailed guidance on
integrating sphere diameter. DOE also reviewed CIE 84, ``Measurement of
Luminous Flux,'' and determined that those sphere size specifications
are already incorporated into LM-78. Therefore, DOE proposes that
luminous flux be determined as specified in section 7.0 of IES LM-51-13
and, when using an integrating sphere, determined as specified in
sections 3.1 and 6.3 of IES LM-78-07.
ii. Goniophotometer
In the December 2011 TP NOPR, DOE proposed that for measurements
using a goniophotometer, the detector required for intensity
distribution would have a cosine response. 76 FR 77914, 77920 (Dec. 15,
2011). DOE did not receive any comments related to the use of
goniophotometers in response to the 2011 TP NOPR. Because directional
HID lamps are not covered in this SNOPR (see section II.C.3), DOE is
revising its proposed test procedures to omit intensity measurements
for directional lamps. Upon review of measurement correlation, testing
burden, and relative incidence of use between goniophotometers and
integrating spheres, DOE also proposes using an integrated sphere,
rather than a goniometer system, to carry out all photometric
measurements of HID lamps.
While DOE recognizes that the integrating sphere and
goniophotometer (a goniometer fitted with a photometer as the light
detector) are both valid means of photometric measurement, DOE is
concerned about the potential for a difference in the measured values.
A test procedure that yields more than one possible value depending on
instrumentation presents problems for certification and enforcement. If
DOE and the manufacturer use different test methods, DOE could find
that a lamp certified as compliant could be tested as non-compliant
during a verification or enforcement proceeding. IES LM-51-13 does not
explicitly specify the scanning resolution (i.e., quantity and location
of measurements around the lamp). DOE also determined that further
specification of the goniophotometer method is unreasonable, because
the scanning resolution specification would need to be adequate for the
lamp that requires the finest resolution. This would likely present an
overly burdensome test method for many other lamps that could be
measured at a lower resolution. In contrast, use of an integrating
sphere enables photometric characteristics of the HID lamp to be
determined with a single measurement. Therefore, integrating spheres
are the preferred method for photometric measurement due to the
reduction in time required for testing.
In consideration of the lack of measurement correlation between
goniophotometers and integrating spheres and the reduced burden and
much higher incidence of use of integrating spheres, DOE proposes in
the SNOPR to require all photometric measurements for HID lamps to be
carried out in an integrating sphere and that goniometer systems must
not be used. DOE invites interested parties to comment on the proposal
to require all photometric values be measured by an integrating sphere
(via photometer or spectroradiometer).
2. Lamp Selection and Setup
a. Basic Model
In the December 2011 TP NOPR, DOE proposed test procedures for HID
lamp testing to determine the energy efficiency characteristics of each
basic model. 76 FR 77914, 77921 (Dec. 15, 2011). As discussed in
section III.A.3 of the December 2011 TP NOPR, a ``basic model'' is a
group of lamp models that are essentially identical in design and
performance. Id. The revised definition of ``basic model'' proposed in
today's SNOPR does not change these relevant aspects. The performance
characteristics proposed to be measured (e.g., lumen output, power, and
CCT) must be similar for all of the lamps represented by a basic model.
76 FR 77914, 77918 (Dec. 15, 2011).
b. Sampling Plans
In the December 2011 TP NOPR, DOE proposed a HID lamp sampling
method similar to that used for GSFL/GSIL/IRL at 10 CFR
429.27(a)(2)(i)-(ii), 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 the 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.\15\ 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:
---------------------------------------------------------------------------

\15\ 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] TP22MY14.000

and x is the sample mean,\16\
---------------------------------------------------------------------------

\16\ The characteristic value represents the individual
observations within a sample.
---------------------------------------------------------------------------

n is the number of samples, and
xi is the i^th sample;

Or,

(B) The lower 95-percent confidence limit of the characteristic
value true mean divided by 0.97,

Where:
[GRAPHIC] [TIFF OMITTED] TP22MY14.001

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

[[Page 29642]]

degrees of freedom (from statistical tables).

76 FR 77914, 77921 (Dec. 15, 2011).

In the paragraphs that follow, DOE discusses its proposals in the
December 2011 TP NOPR for sample size, statistical representation, and
the divisor. DOE proposes changes to the sampling rate and lower
confidence limit (LCL) as a result of comments received on the December
2011 TP NOPR.
i. Sample Size
In formulating the proposed sampling plan requirements, DOE
reviewed sample size requirements for European Union (EU) testing and
sample size requirements for other HID and fluorescent lighting
technologies, as well as US testing and sample size regulations for
other lighting technologies.
EU sample size requirements are set forth in Commission Regulation
(EC) No. 245, published in the Official Journal of the European Union
in 2009 (herein referred to as Commission Regulation (EC) No. 245/
2009). This document includes both energy efficiency standards and
testing requirements for fluorescent and HID lamps. Annex IV of the
regulation defines the sample size for all lamps as a total of 20 lamps
of the same model and from the same manufacturer, randomly selected.
The sample must be considered to comply with the regulation if the
average results of the sample do not vary from the limit, threshold, or
declared values by more than 10 percent.
DOE surveyed the sample size for other covered lamps. Table II.4
compares the sample size for each of the covered lamps and the
different metrics that are tested.

Table II.4--Comparison of Sample Size for Covered Lamps
----------------------------------------------------------------------------------------------------------------
CFR citation Lamp type Metric Sample size
----------------------------------------------------------------------------------------------------------------
10 CFR 429.27...................... General service incandescent Lamp efficacy............. >=21
and fluorescent lamps.
CRI.......................
Watts input...............
Lumens....................
General service incandescent Watts input............... >=21
lamps.
CRI.......................
Lumen.....................
Rated lifetime............
Incandescent reflector lamps... Lamp efficacy............. >=21
10 CFR 429.35...................... Medium-base compact fluorescent Efficacy.................. >=5
lamps.
1,000-hour lumen >=5
maintenance.
Lumen maintenance......... >=5
Rapid-cycle stress test... >=6
Average rated lamp life... >=10
10 CFR 429.40...................... Candelabra base and Lamp wattage.............. >=21
intermediate base incandescent
lamps.
----------------------------------------------------------------------------------------------------------------

Based on its review of sample size requirements, DOE proposed in
the December 2011 TP NOPR to use a sample size of 21 for HID lamps. 76
FR 77914, 77921 (Dec. 15, 2011). NEMA stated that a sample size of 21
lamps is not appropriate for HID lamps because of the significant
capital investment and electricity costs for long-term lumen
maintenance testing, and that having to test 21 samples of numerous
basic models (200 basic models by Philips' estimate) would further
compound these costs. NEMA provided best and worst case cost estimates
of $150,000 to $450,000 for testing the DOE proposed 21 samples for 50
basic models--this cost range is for both initial efficacy measurements
and lumen maintenance measurements. (NEMA, No. 6 at p. 10) NEMA noted
that lamp production can be interrupted based on changing demand, which
could compel manufacturers to sample as many as 21 lamps from a first
production run, as well as lamps from any additional runs within a 12-
month reporting period. NEMA stated that because of demand fluctuations
for certain lamps, some lamps may not have continuous (or multiple)
production runs within the same calendar year. Therefore, manufacturers
might test 21 lamps in the first production run to meet the proposed
sample size requirement, in case future production runs of that lamp
type did not occur in that year. NEMA suggested that, to meet DOE's
proposed monthly sampling rate requirements, manufacturers might then
have to test another sample of three or more lamps later in that same
year if customer demand required additional production runs.
NEMA also raised the logistical concern of lumen maintenance
testing, which NEMA stated requires many thousands of hours with
staggered start times. (NEMA, No. 6 at p. 10) To mitigate this ongoing
testing requirement, NEMA proposed an initial sample of 21 lamps for
lumen maintenance testing with an additional 2 lamps per production run
sampled over the rest of the reporting year for 100-hour confirmation
testing. (NEMA, No. 6 at p. 10) In response to the February 2012 HID
lamps ECS Framework document, Venture Lighting (Venture) supported a
bifurcated approach of testing a large initial sample set for initial
values and then using the same sample for lumen maintenance testing,
performing supplemental efficacy testing with a smaller additional
sample set(s). Venture also noted that NEMA's working group for lamp
statistics was still determining optimal sample sizes. (Docket No.
EERE-2010-BT-STD-0043, Venture, Public Meeting Transcript, No. 6 at pp.
167-168)
DOE reviewed NEMA's concerns regarding sample size, which can be
categorized as follows: (1) Sampling rate; (2) sample size required for
lamp efficacy, CCT, and CRI testing; and (3) sample size required for
lumen maintenance testing. DOE notes it has withdrawn the proposal to
establish a test method for lumen maintenance and has withdrawn the
proposal to establish a sampling plan for CRI measurements. However,
DOE's review includes those elements because NEMA based their concerns,
cost scenarios, and examples on their inclusion in the testing
requirements.

[[Page 29643]]

Sampling Rate
In the December 2011 TP NOPR, DOE proposed a sampling rate of three
lamps per month for a minimum of 7 months in a given reporting year. 76
FR 77914, 77921 (Dec. 15, 2011). NEMA proposed a sampling rate based on
production runs, but did not define a production run. Based on its
review of business terminology, DOE understands a production run to be
a group of similar or related equipment produced using particular
manufacturing procedures, processes, or conditions. Production run size
will depend on customer demand for lamps produced, as well as the costs
to set up production and carry excess inventory. This general
description underscores some of the challenges manufacturers might face
in balancing costs and inventory with changes in customer demand and
challenges for DOE to administer regulations based on production runs.
DOE surveyed the sampling rate for other covered lamps. Table II.5
compares the sample size and sampling rate for each of the covered
lamps and related metrics.

Table II.5--Comparison of Sample Size and Sampling Rate for Covered Lamps
----------------------------------------------------------------------------------------------------------------
CFR citation Lamp type Metric Sample size
----------------------------------------------------------------------------------------------------------------
10 CFR 429.27.................. General service Lamp efficacy............ Randomly select three
incandescent and CRI...................... lamps from each month of
fluorescent lamps. Watts input.............. production for a minimum
Lumens................... of 7 months.
General service Watts input.............. Randomly select three
incandescent lamps. CRI...................... lamps from each month of
Lumen.................... production for a minimum
Rated lifetime........... of 7 months.
Incandescent reflector Lamp efficacy............ Randomly select three
lamps. lamps from each month of
production for a minimum
of 7 months.
10 CFR 429.35.................. Medium-base compact Efficacy................. Randomly selected.
fluorescent lamps. 1,000-hour lumen
maintenance.
Lumen maintenance........
Rapid-cycle stress test.. None specified.
Average rated lamp life.. None specified.
10 CFR 429.40.................. Candelabra base and Lamp wattage............. Randomly selected.
intermediate base
incandescent lamps.
----------------------------------------------------------------------------------------------------------------

In its comments on the December 2011 TP NOPR, NEMA expressed
concern about different sample size requirements in the United States
and Europe, and expressed its desire to use existing testing data for
domestic and international reporting where possible. (NEMA, Public
Meeting Transcript, No. 5 at pp. 43, 79-80) Commission Regulation (EC)
No. 245/2009 requires a minimum sample size of 20 HID lamps, but does
not specify the frequency or rate at which the 20 lamps are to be
sampled during a reporting year.
LSD 63-2012 recommends a sampling plan for lamps not regulated (as
of the year 2012) in the Code of Federal Regulations, stating that the
samples must be ``randomly selected from at least four different
manufacturing dates. If the manufacturing dates of the samples are not
available, the samples are recommended to be procured from at least
four different locations.'' As discussed previously, HID lamp
production may be intermittent based on demand, with fewer than four
manufacturing dates within a calendar year. Production may also be
limited to fewer than four different manufacturing locations, depending
on the manufacturer. Therefore, DOE does not propose adoption of the
sampling rate requirements of LSD 63-2012.
Because of the fluctuating demand for certain HID lamp types and
the challenge of defining production runs for this equipment, DOE
proposes a sampling rate requirement for HID lamps that allows random
selection. This is consistent with the sampling rate requirements of
the EU, as well as for some other covered lamp types, and would allow
manufacturer discretion in sampling rate, e.g., a single sampling event
or multiple sampling events.
Sample Size Required for Lamp Efficacy and Correlated Color
Temperature, Testing
DOE originally proposed a total sample size of 21 lamps in the
December 2011 TP NOPR. 76 FR 77914, 77921 (Dec. 15, 2011). NEMA
objected to the proposed sample size, citing potentially prohibitive
electricity costs and capital investment for testing facilities
(particularly for lumen maintenance testing). (NEMA, No. 6 at p. 10)
The LSD 63-2012 recommended sampling plan for lamps not covered in
the Code of Federal Regulations states, ``The minimum sample size for
verification testing of lamps shall be 21 samples randomly selected
from at least four different manufacturing dates. If the manufacturing
dates of the samples are not available, the samples are recommended to
be procured from at least four different locations.'' Thus, NEMA's LSD
63-2012 supports DOE's original proposed sample size of 21.
DOE understands that electricity costs are a component of testing
burden, and are affected by sample size. (Testing burden for HID lamps
is discussed in section III.B of this SNOPR.) DOE notes that it no
longer proposes lumen maintenance testing for potential energy
conservation standards for HID lamps. Because DOE no longer proposes
testing for lumen maintenance, NEMA's comment related to testing burden
over a subsequent period of time is moot.
DOE proposed a sample size of 21 lamps for CCT testing in the
December 2011 TP NOPR. 76 FR 77914, 77921 (Dec. 15, 2011). DOE received
no comments supporting or opposing this proposal. DOE proposes that the
sample size for CCT be the same as it is for lamp efficacy for
potential energy conservation standards. Therefore, DOE proposes a
minimum sample size of 21 for CCT for potential energy conservation
standards.
In this SNOPR, DOE does not propose a sample size requirement for
CRI because CRI is being considered in the standards rulemaking only to
define an exemption for lamps.

[[Page 29644]]

Review of Sample Sizes
In review, for the HID lamps that have the potential to be subject
to future energy conservation standards, DOE proposes the sample sizes
shown in Table II.6.

Table II.6--DOE Proposed Sample Sizes
------------------------------------------------------------------------
Minimum number
Measurement/calculation of samples
------------------------------------------------------------------------
Lamp Efficacy......................................... 21
Correlated Color Temperature.......................... 21
------------------------------------------------------------------------

ii. Statistical Representation
In the December 2011 TP NOPR, DOE proposed that any represented
value of lamp efficacy or color characteristics for a basic model be
based on a sample of 21 lamps and be less than or equal to the lower of
either the sample mean or the LCL of the characteristic value true mean
\17\ divided by 0.97. 76 FR 77914, 77921 (Dec. 15, 2011). NEMA
commented that DOE's proposed statistical approach is an application of
the statistical t-test that results in more stringent tolerances than
EU requirements, and could unnecessarily put U.S. manufacturers at a
competitive disadvantage in the EU marketplace. (NEMA, No. 6 at p. 9)
---------------------------------------------------------------------------

\17\ ``True mean'' is the population mean of all manufacturer-
produced lamps. This characterizes the mean (average) value of all
lamps of the same basic model produced by the manufacturer. In
contrast, the sample mean refers to the mean (average) of the sample
set and the sample size is defined accordingly in the proposed rule.
---------------------------------------------------------------------------

DOE reviewed its application of the t-test and interprets NEMA's
concerns about application of the t-test as applying to instances where
the sample mean is less than the quotient of the LCL and divisor
(currently set at 0.97). DOE recognizes that in the absence of a
divisor, the LCL of a sample will always be lower than the sample mean.
However, as the divisor decreases from 1.00 to 0, the resulting
quotient (LCL divided by the divisor) can be greater than the sample
mean. Based on this calculation, DOE proposed in the December 2011 TP
NOPR that any represented characteristic value be the lower of either
(1) the sample mean or (2) the LCL of the characteristic value true
mean divided by the divisor. 76 FR 77914, 77921 (Dec. 15, 2011).
The EU requires the average (mean) of the sample to be within 10
percent of the limit, threshold, or declared values. Under EU
requirements, a significant portion of the sample could be less than
the declared (or required standard) value and still be considered
compliant because mean values can be skewed by outliers or extreme
values. In contrast, DOE proposed in the December 2011 TP NOPR to use
the confidence interval of 95 percent to calculate the LCL, which
approximates the proportion of a sample that may be expected to contain
the true mean. 76 FR 77914, 77921 (Dec. 15, 2011). To better represent
differences in manufacturing variability between HID lamp types, DOE
revises its proposed confidence intervals in this SNOPR (as discussed
in section II.C.2.b.iii).
NEMA also commented that the sample mean calculation does not
provide tolerance for manufacturing and measurement uncertainties. NEMA
stated that there is inherent variation in HID lamp manufacturing and
measurement uncertainties across different National Voluntary
Laboratory Accreditation Program (NVLAP)-accredited laboratories.
(NEMA, No. 6 at p. 9)
DOE acknowledges that there are uncertainties related to both lamp
manufacturing and testing. DOE addressed this issue previously in the
May 1997 fluorescent and incandescent lamp test procedures rulemaking
(herein referred to as the May 1997 FL/IL TP final rule). 62 FR 29222
(May 29, 1997). During the rulemaking process for the May 1997 FL/IL TP
final rule, NEMA and other manufacturers proposed different derating
values for both the sample mean and the LCL. 62 FR 29222, 29230 (May
29, 1997). DOE, NEMA, and NIST met during the rulemaking process to
discuss the sampling plan, variability, and uncertainties. 62 FR 29222,
29230 (May 29, 1997). In the May 1997 FL/IL TP final rule, DOE stated
that all variability was accounted for by the confidence limit equation
using the ``t-test'' and the derating factor (divisor) applied only to
the LCL, and not to the mean. 62 FR 29222, 29230 (May 29, 1997).
The LCL is a function of the sample mean and encompasses
manufacturing variations. Historically, DOE has not applied the divisor
to the sample mean lumen per watt value. Id. at 29229-30. However,
sample mean lumen per watt is not derated because the NIST uncertainty
in the lumen output of the standard lamps is randomly distributed. Id.
at 29230, DOE based its December 2011 TP NOPR proposal on the method
adopted in the May 1997 FL/IL TP final rule and applied the divisor
only to the LCL and not to the mean. This proposal is unchanged in
today's SNOPR.
iii. Lower Confidence Limit
In the December 2011 TP NOPR, DOE proposed a confidence interval of
95 percent to calculate the LCL, which reflects the inherent
uncertainty in any sample measurement resulting from manufacturing
variations. This proposal included the same certification requirements
that were used in 10 CFR 429.27 for GSFLs (a related gas-discharge
lamp). Based on comments received and additional research, DOE proposes
in this SNOPR to specify two separate confidence intervals applicable
to: (1) MH lamps; and (2) MV and HPS lamps.
In response to the December 2011 TP NOPR, GE commented that the
tolerances in DOE's statistical approach should be modified because HID
lamps have much wider manufacturing tolerances for lumen output than
fluorescent and incandescent lamps. (GE, Public Meeting Transcript, No.
5 at p. 82) OSRAM SYLVANIA agreed, noting that it is difficult to
report HID lamp lumen output beyond the nearest 100 lumens. (OSRAM
SYLVANIA, Public Meeting Transcript, No. 5 at pp. 31-32). During the
March 2012 ECS public meeting, Venture commented that the physical
complexity of metal halide (e.g., containing 10 components as opposed
to 1-2 components for other lamp types) contributes to manufacturing
variation. (Docket No. EERE-2010-BT-STD-0043, Venture, Public Meeting
Transcript, No. 8 at p. 91)
NEMA provides long-term manufacturing data variability as a ratio
of the observed long term standard deviation (sLT) compared
to the mean ([mu]) (written as sLT/[mu]) in LSD 63-2012
based on industry consensus for many lamp and ballast types, including
HID lamps. Table II.7 provides an excerpt of the incandescent,
fluorescent, and HID variability values from LSD 63-2012.

[[Page 29645]]

Table II.7--Industry Consensus Long-Term Manufacturing Data Variability (sLT/[mu])
----------------------------------------------------------------------------------------------------------------
Luminous Lamp
Lamp type flux efficacy CRI CCT
----------------------------------------------------------------------------------------------------------------
Tungsten filament lamp...................................... 0.040 0.047 0.030
Medium-base CFL............................................. 0.060 0.096 0.040 0.045
Double-based fluorescent lamp............................... 0.050 0.056 0.040 0.025
Pulse-start quartz metal halide lamp........................ 0.070 0.070 0.045 0.065
Pulse-start ceramic metal halide lamp....................... 0.065 0.065 0.040 0.050
High-pressure sodium lamp................................... 0.040 0.040 0.020 0.025
----------------------------------------------------------------------------------------------------------------

There is significant variability in luminous flux for HID lamps,
with pulse-start quartz MH lamps showing the highest variability for
all HID lamp types discussed in LSD 63-2012. LSD 63-2012 does not
provide variability values for MV lamps, but DOE believes these values
would be comparable to those of HPS lamps because MV lamps have
similar, comparatively simple lamp chemistry. Because HID lamps are
measured at a fixed power value (per LM-51-13), this variation in
lumens correlates to the same variation in lamp efficacy.
DOE agrees with the findings of LSD 63-2012, which indicate less
manufacturing variability for HPS lamps than for MH lamps. Due to the
difference in inherent uncertainty in a typical sample of each of the
different HID lamp types, DOE proposes to set the confidence intervals
differently for MH versus HPS and MV lamps. Based on LSD 63-2012, MH
lamps have more manufacturing variation than GSFLs, while HPS (and by
association MV lamps) have less variation than GSFLs. Using these
values, DOE calculated confidence intervals so that the values of the
LCL divided by the sample mean for all HID lamps types are consistent
with those values used in test procedures for GSFLs.\18\ 74 FR 31829,
31836 (July 6, 2009) Therefore, to calculate the LCL, DOE proposes in
this SNOPR to specify a confidence interval of 99 percent for MV and
HPS lamps and a confidence interval of 90 percent for MH lamps.
---------------------------------------------------------------------------

\18\ DOE calculated the t-statistics for confidence intervals
from 90% to 99% in increments of 0.5% (90%, 90.5%, 91%, etc.). DOE
then scaled the t-statistic based on the ratio of the long term
manufacturing variability for the different light sources from LSD-
63. DOE then found the confidence interval that corresponded with
scaled t-statistic.
---------------------------------------------------------------------------

iv. Divisor
In the December 2011 TP NOPR, DOE proposed that the LCL be divided
by a divisor of 0.97, which translates to an expected variation of 3
percent. 76 FR 77914, 77921 (Dec. 15, 2011). In written comments, NEMA
stated that CRI and CCT should be given tolerances of 3 and 4 percent,
respectively. (NEMA, No. 6 at p. 3) NEMA also described a typical 4
percent measurement variation between testing laboratories. (NEMA,
Public Meeting Transcript, No. 5 at p. 102) DOE received no other
comments related to the divisor.
DOE uses various divisors for other covered light sources. General
service fluorescent lamps (10 CFR 429.27) and general service
incandescent lamps (10 CFR 429.27) use a divisor of 0.97. In contrast,
medium base CFLs (10 CFR 429.35) and candelabra-base and intermediate-
base incandescent lamps (10 CFR 429.40) use a divisor of 0.95. In the
December 2011 TP NOPR, DOE proposed a divisor of 0.97 (76 FR 77914,
77921 (Dec. 15, 2011)). In this SNOPR, DOE continues to propose a
divisor of 0.97 for all HID lamps.
NEMA has commented on this topic in previous rulemakings. In its
comments on the September 2010 CC&E NOPR, NEMA provided a formula for
calculating divisors:

[GRAPHIC] [TIFF OMITTED] TP22MY14.008

where ``t'' is a function of the specified confidence limit, ``n'' is
the sample size, ``[sigma]'' is the standard deviation, and ``[mu]'' is
the true mean, as well as a table of divisors for different sample
sizes and LCLs of 95 percent. NEMA also provided a table (Table II.8 is
a reprint of the table provided by NEMA) showing different divisors for
both different sample sizes and different ratios of standard of
deviations to the mean. (Docket No. EERE-2010-BT-CE-0014, NEMA, No. 85
at pp. 38-39)

Table II.8--NEMA's Divisors for Lower Confidence Limit
----------------------------------------------------------------------------------------------------------------
Minimum sample size
[sigma]/[mu] ----------------------------------------------------------------------------------------------
Ratio 4 5 6 10 21
----------------------------------------------------------------------------------------------------------------
0.01 0.99 0.99 0.99 0.99 1.00
0.02 0.98 0.98 0.98 0.99 0.99
0.03 0.96 0.97 0.98 0.98 0.99
0.04 0.95 0.96 0.97 0.98 0.98
0.05 0.94 0.95 0.96 0.97 0.98
0.10 0.88 0.90 0.92 0.94 0.96
0.15 0.82 0.86 0.88 0.91 0.94
0.20 0.76 0.81 0.84 0.88 0.92
0.25 0.71 0.76 0.79 0.86 0.91
0.30 0.68 0.71 0.75 0.83 0.89
0.35 0.59 0.67 0.71 0.80 0.87
0.40 0.53 0.62 0.67 0.77 0.85
----------------------------------------------------------------------------------------------------------------

[[Page 29646]]

In the December 2011 TP NOPR, DOE proposed a sample size of 21
lamps and an LCL divisor of 0.97.\19\ 76 FR 77914, 77921 (Dec. 15,
2011). As shown in Table II.9, this corresponds to [sigma]/[mu] ratios
between 0.05 and 0.10.
---------------------------------------------------------------------------

\19\ This is the same sample size and LCL divisor used for GSFL
and GSIL lamps.

Table II.9--Divisors for Varying LCLs With Sample Size of 21 Lamps
------------------------------------------------------------------------
[sigma]/[mu]
Ratio 99% 97% 95%
------------------------------------------------------------------------
0.05 0.97 0.98 0.98
0.10 0.95 0.96 0.96
------------------------------------------------------------------------

Finally, NEMA commented that NVLAP's ``Proficiency Testing for
Energy Efficient Lighting Products'' shows lab-to-lab variations of
more than 4 percent, depending on the lamp technology. (NEMA, No. 6 at
p. 13) According to NEMA, the overall uncertainty for any lamp
measurement will include variation of the measured characteristics.
Therefore, for highly variable characteristics such as light output and
color, the measurement uncertainty may be significantly greater than
just the variation of the characteristic itself (which is typical for
discharge lamps). (NEMA, No. 6 at p. 13) In this SNOPR, DOE proposes to
retain an LCL divisor of 0.97 for all HID lamps.
v. Proposed Sampling Plan for Potential Energy Conservation Standards
DOE proposes, for each basic model of HID lamp, randomly selected
samples of production lamps shall be tested and the results averaged. A
minimum of 21 lamps shall be tested. Any represented value of lamp
efficacy of a basic model shall be less than or equal to the lower of:
(A) The mean of the sample,

[GRAPHIC] [TIFF OMITTED] TP22MY14.002

Where:
x is the sample mean,
n is the number of samples, and
xi is the ith sample;

Or,

(B) The lower confidence limit (LCL) of the true mean divided by
0.97,

[GRAPHIC] [TIFF OMITTED] TP22MY14.003

Where:
x is the sample mean,
s is the sample standard deviation,
n is the number of samples, and
t is the t statistic for a 90-percent one-tailed confidence interval
with n-1 degrees of freedom (from appendix A) for MH lamps, or the t
statistic for a 99-percent one-tailed confidence interval with n-1
degrees of freedom (from appendix A) for HPS and MV lamps.

For each basic model of HID lamp, the CCT must be measured from the
same lamps selected for the lamp efficacy measurements (i.e., the
manufacturer must measure all lamps for lumens, input power, and CCT).
The CCT must be represented as the mean of a minimum sample of 21
lamps,

Where:
[GRAPHIC] [TIFF OMITTED] TP22MY14.004

x is the sample mean,
n is the number of samples, and
xi is the ith sample.
c. Lamp Seasoning and Stabilization
In the December 2011 TP NOPR, DOE proposed that lamps be seasoned
(i.e., operated or aged) for at least 100 hours in the same orientation
in which they will be used.\20\ 76 FR 77914, 77921-22 (Dec. 15, 2011).
Standard lamp orientation (burning position) would be base-up unless
otherwise designated by the manufacturer.\21\ Id. This is consistent
with ANSI C78.389, section 3.7.2. NEMA supported this approach. (NEMA,
No. 6 at p. 10).
---------------------------------------------------------------------------

\20\ 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.
\21\ Lamp position is designated in the lamp designation
(catalog code) and included in manufacturer catalogs, specification
sheets, and the packaging.
---------------------------------------------------------------------------

DOE received additional comments on testing orientation for lamps
with no specified operating position. The CA IOUs and the Joint Comment
suggested that DOE examine other testing orientations, but did not
disagree that the lamps should be seasoned and stabilized in the
testing orientation. (CA IOUs, No. 8 at pp. 2-3; Joint Comment, No. 9
at p. 2) Therefore, DOE proposes in this SNOPR to require that HID
lamps with no specified operating position (including universal
position lamps) be seasoned and stabilized in the position in which
they will be tested (vertical base-up position as discussed in section
II.C.1.c.iv).
In the December 2011 TP NOPR, DOE also proposed a lamp
stabilization method (warm-up and stabilization criteria) based on ANSI
C78.389, section 3.7. 76 FR 77914, 77922 (Dec. 15, 2011). NEMA
concurred with using the stabilization criteria of ANSI C78.389 for the
HID lamp test procedures. (NEMA, No. 6 at p. 10) DOE received no other
comments on its proposed approach. Therefore, the warm-up and
stabilization criteria are unaffected by this SNOPR.
d. Lamp/Circuit Transfer
In the December 2011 TP NOPR, DOE proposed to adopt the lamp cool-
down and re-stabilization methods of ANSI C78.389, section 3.7, for HID
lamp test procedures. 76 FR 77914, 77922-23 (Dec. 15, 2011). HID lamps
are 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. Lamp cool-down,
in contrast, is needed only when the lamp arc is extinguished prior to
relocating the lamp in the integrating sphere.
The lamp cool-down and re-stabilization requirements of ANSI
C78.389, section 3.7, are shown in Table II.10. In the December 2011 TP
NOPR, DOE proposed using the re-stabilization requirements in ANSI
C78.389, rather than LM-51, because ANSI C78.389 provides specific
guidance for re-stabilization requirements for each of the HID lamp
types, whereas LM-51 provides only general guidance. 76 FR 77914, 77922
(Dec. 15, 2011). DOE received no negative comments regarding its
proposed requirements as they relate to lamps that are extinguished
and/or changed in orientation prior to relocation.

[[Page 29647]]

Table II.10--ANSI C78.389 HID Lamp Cool-Down and Re-Stabilization Requirements
----------------------------------------------------------------------------------------------------------------
Lamp type Cooling requirement Re-Stabilization time
----------------------------------------------------------------------------------------------------------------
MV........................................... None............................ Not in standard.
Reconfirm stabilized operations
upon transfer/restrike.
HPS.......................................... Allow to cool for 1 hour minimum Not in standard.
before relocating.
Reconfirm stabilized operations
upon transfer/restrike.
MH........................................... Cool to below 60 [deg]C if No relocation no reorientation--
relocating. 30 minutes.
Relocation with no
reorientation--30 minutes.
Reorientation--6 hours.
----------------------------------------------------------------------------------------------------------------

During the January 2012 TP public meeting, OSRAM SYLVANIA explained
an industry practice where HID lamps are energized, stabilized, and
moved into the integrating sphere. There is no cool-down or re-
stabilization because the lamps are not extinguished. (OSRAM SYLVANIA,
Public Meeting Transcript, No. 5 at pp. 85-86) NEMA provided further
details on how the lamps are moved into the integrating sphere while
operating, and how stabilization is reconfirmed inside the sphere.
(NEMA, No. 6 at p. 11) NEMA stated that this methodology is more
efficient than extinguishing, cooling, and re-stabilizing the lamp.
(NEMA, No. 6 at p. 11) NEMA also stated that this method generally
requires a maximum stabilization time of only 15 minutes. NEMA was
concerned that DOE's proposed cool-down and re-stabilization
requirements would apply unnecessarily to lamps that remain operating
with no change in orientation. (NEMA, No. 6 at p. 11) According to
NEMA, ``The table [Table II.10], as written seems to apply to lamps
that are turned off before locating them in the sphere. This should not
apply to the lamps that remain lighted with no change in orientation.''
(NEMA, No. 6 at p.11) DOE understands that this methodology is an
industry practice but is not documented in any industry standards.
DOE agrees with NEMA's distinction, and proposes that lamps that
remain energized with no change in orientation when moved should be
operated for the minimum time needed to verify lamp stabilization prior
to measurements. If the lamps are changed in orientation and/or
extinguished and then moved, DOE proposes to apply the cool-down and
re-stabilization requirements from the NOPR (shown in Table II.10).
e. Lamp Orientation
In the December 2011 TP NOPR, DOE proposed to adopt the lamp
orientation requirements of ANSI C78.389, section 3.6, for HID lamp
testing. 76 FR 77914, 77923 (Dec. 15, 2011). As discussed herein,
industry procedures have been developed to ensure that 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,'' this industry standard
directs that the lamp is to be operated in the vertical 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.
During the January 2012 TP public meeting, the CA IOUs asked
whether HID lamps performed best in a vertical operating position. (CA
IOUs, Public Meeting Transcript, No. 5 at pp. 89-90) OSRAM SYLVANIA
stated that it measures lumen output for universal position lamps in
horizontal and vertical orientations. (OSRAM SYLVANIA, Public Meeting
Transcript, No. 5 at pp. 90-91) Manufacturers further elaborated that
universal position lamps are often used in floodlights where the aiming
angle is unknown, and it would be burdensome to test them in additional
orientations. (OSRAM SYLVANIA, Public Meeting Transcript, No. 5 at pp.
91-93; GE, Public Meeting Transcript, No. 5 at pp. 92-93)
In their comments, the CA IOUs expressed concern that universal
position lamps were less efficacious and, because they are less
expensive than position-dedicated lamps, they might be substituted in
position-dedicated applications. (CA IOUs, No. 8 at pp. 2-3) The CA
IOUs urged DOE to require testing universal position lamps at multiple
orientations, suggesting that two or three additional orientations
would not add significant testing burden. (CA IOUs, No. 8 at pp. 2-3)
The Joint Comment agreed, encouraging DOE to examine the range of
efficacy levels of universal position lamps when operated in a
horizontal position. (Joint Comment, No. 9 at p. 2) NEMA stated that it
agreed with ANSI C78.389, which limits testing to a lamp's specified
orientation or a vertical base-up orientation if not specified
(including universal position lamps). (NEMA, No. 6 at p. 11)
DOE reviewed manufacturer performance data for horizontal position
only lamps, vertical base-up position only lamps, and universal
position lamps (tested in a vertical, base-up position). In its review,
DOE found the data reported in catalogs did not provide conclusive
evidence of differences in efficacy between these lamp types. DOE also
reviewed published data, such as manufacturer catalogs, for universal
orientation lamps when operated in vertical base-up and horizontal
orientations. This data suggests that universal position lamps are
generally less efficacious when operated in a horizontal orientation.
DOE acknowledges that manufacturers cannot know the orientation in
which universal lamps will be operated, and agrees that testing at
multiple orientations would impose an undue burden. At the January 2012
TP public meeting, OSRAM SYLVANIA and GE stated that universal
orientation lamps are most commonly used in a vertical position. (OSRAM
SYLVANIA, Public Meeting Transcript, No. 5 at p. 91; GE, Public Meeting
Transcript, No. 5 at p. 92)
Vertical position specifies the orientation of the lamp, but does
not denote whether the base is up or down in the orientation. Of the
HID lamps, only MH lamps are affected by operating position. Vertical
burning MH lamps are available in base-up, base-down, and base-up/base-
down designations.
Universal lamps are specified for projects for two major reasons:
(1) The fixture can be aimed (e.g., a floodlight) and is going to be
aimed at angle that is not entirely vertical or horizontal; and (2)
there are multiple types of fixtures at the site (e.g., a bollard with
a base-down socket, an area lighting fixture with a base-up socket, or
a downlight fixture with a base-up socket) that use

[[Page 29648]]

the same type of lamp. By specifying the universal lamp, the one lamp
type can be stocked for each type of fixture, simplifying maintenance
at the site. Vertical base up is the most common orientation of MH
lamps because more fixtures (e.g., high-bay; low-bay; downlights;
parking structure fixtures; most pole-mounted area ``shoeboxes''
fixtures) need this orientation for optical reasons to distribute the
light.\22\
---------------------------------------------------------------------------

\22\ Base down requires the socket to be at the ``bottom'' of
the fixture and the socket occludes light, causing a dark spot
directly below the fixture.
---------------------------------------------------------------------------

In this SNOPR, DOE retains its original proposal that HID lamps
with a manufacturer-specified operating position be tested in the
position specified, and that HID lamps with no specified operating
position (including universal orientation lamps) be tested in the
vertical base-up orientation.
3. Special Considerations for Directional Lamps
Directional lamps, which are typically reflector lamps with a
discernible beam pattern, have different setup and measurement
requirements than omni-directional lamps. In the December 2011 TP NOPR,
DOE proposed set-up and measurement requirements of directional lamps
in accordance with ANSI C78.379, which provides classification of beam
patterns and specification of directional lamp measurement and
evaluation. 76 FR 77914, 77923 (Dec. 15, 2011).
The CA IOUs and the Joint Comment supported DOE's proposal to
develop a new metric and test procedures for directional HID lamps. (CA
IOUs, No. 8 at p. 4; Joint Comment, No. 9 at p. 1) NEMA agreed with
using ANSI C78.379, but noted that industry standards and technical
guidance are being developed for directional lamps, and recommended
that DOE not include directional lamps in its rulemakings until the new
industry references are available. (NEMA, No. 6 at p. 11)
In the February 2013 HID lamps ECS Interim Analysis document, DOE
stated that it was considering excluding directional HID lamps from
standards coverage, citing their small market share and the fact that
this application is replacing less-efficient halogen lamps. (Docket No.
EERE-2010-BT-STD-0043) As a result, DOE is not including directional
lamp testing in this SNOPR.

D. Test Measurements and Calculations

1. Measurement and Calculation of Efficacy
In the December 2011 TP NOPR, DOE proposed that HID lamp efficacy
be calculated as the initial lumen output divided by the measured input
lamp wattage, with the resulting quotient rounded off to the nearest
tenth of a lumen per watt. 76 FR 77914, 77923 (Dec. 15, 2011). 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).
In this SNOPR, DOE proposes specific provisions for initial lumen
output and lamp input power measurements for clarity. DOE proposes that
the initial lumen output be measured in accordance with section
II.C.1.d, in which DOE maintained its proposal from the NOPR that
photometric testing be conducted per IES LM-51-2013. For lamp input
power, DOE proposes measurements be conducted in accordance with
section 3.5, 3.9, and 3.10 of ANSI C78.389. Section 3.5 details the
circuit types that can be used for the connecting the required
measurement instrumentation, including the reference ballast,
voltmeter, wattmeter, and/or ammeter to the HID lamp. Section 3.9
describes the methods necessary to compensate for the presence of
instruments in the lamp circuit when taking the measurements. Lastly,
section 3.10 (which applies exclusively to HPS lamps) gives
instructions for the measurement of lamp amperes and volts at nominal
lamp wattage. To measure the wattage of an HID lamp, if a voltmeter and
ammeter are used then the product of the measured voltage and the
current is the lamp wattage (input electrical power) of the HID lamp.
If a wattmeter is used, then the measured value in watts is the lamp
wattage of the HID lamp. DOE did not receive any comments following the
December 2011 TP NOPR regarding input power measurements for HID lamps.
In this SNOPR, DOE proposes to calculate HID lamp efficacy as the
measured initial lumen output divided by the measured input power in
watts, with the resulting quotient rounded off to the nearest tenth of
a lumen per watt. DOE requests comment on the input power and lumen
output measurements necessary to calculate lamp efficacy.
2. Measurement and Calculation of Center Beam Intensity and Beam Angle
In the December 2011 TP NOPR, DOE proposed measuring center beam
intensity and calculating the beam angle for directional lamps using
the procedures described in ANSI C78.379. 76 FR 77914, 77923 (Dec. 15,
2011). During the January 2012 TP public meeting, NEMA expressed
general concern about DOE's directional HID lamp requirements. (NEMA,
Public Meeting Transcript, No. 5 at pp. 88-89) GE clarified that NEMA
agreed with using ANSI C78.379, but that its concern was related to the
specific metrics and related tolerances once the measurements were
completed. (GE, Public Meeting Transcript, No. 5 at p. 89) NEMA
elaborated that measuring the beam performance of directional lamps
increases the measurement variation if zonal lumens are used to set
efficiency limits. (NEMA, No. 6 at p. 11)
As discussed in section II.C.3, DOE is considering excluding
directional lamps from its HID lamps ECS rulemaking. For this reason,
DOE is not including center beam intensity or beam angle calculation
provisions in this SNOPR.
3. Measurement and Calculation of Correlated Color Temperature and
Color Rendering Index
In the December 2011 TP NOPR, DOE proposed to adopt CCT and CRI
measurement methods based on CIE 15 and CIE 13.3. 76 FR 77914, 77924
(Dec. 15, 2011). DOE previously incorporated these standards in the
GSFL/GSIL/IRL test procedures final rule. 74 FR 31829, 31834 (July 6,
2009).
During the January 2012 TP public meeting, the CA IOUs asked NEMA
to distinguish its position on the proposed methodology for color
quality measurements from its disagreement of using color quality to
establish equipment classes in the HID lamps ECS. (CA IOUs, Public
Meeting Transcript, No. 5 at pp. 106-107) NEMA responded that it had no
issue with the proposed methods for measuring color quality of HID
lamps. (NEMA, Public Meeting Transcript, No. 5 at p. 107)
NEMA commented that test standards are appropriate for CCT and CRI
for lamps at 100 hours. NEMA further elaborated that the industry does
not endorse the concept of CRI or CCT maintenance. (NEMA, No. 6 at p.
3) DOE acknowledges that after HID lamps have been seasoned (operated
for 100 hours), the color characteristics can be measured. Although DOE
is considering using initial CCT and CRI to determine scope and
equipment classes in the HID lamps ECS rulemaking, DOE is not
considering CCT or CRI maintenance requirements. (Docket No. EERE-2010-
BT-STD-0043)
DOE acknowledges that the color shift of HID lamps occurs over time
and is not possible to predict. Therefore, DOE proposes that after the
initial seasoning period (100 hours of operation), manufacturers would
measure CCT values for 21 HID lamps (see section II.C.2.b.i for a
discussion of proposed sample size requirements). The sample

[[Page 29649]]

mean CCT values would be the representative values for the basic model.
CRI values would be tested in the same manner. DOE proposes test
procedures for CRI only because CRI is being considered in the
standards rulemaking to define the CRI above which standards will not
be considered for lamps. DOE and manufacturers would use the proposed
CRI test method to determine whether lamps are subject to the potential
standards.
i. Correlated Color Temperature
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 is considering CCT
as a means to define equipment classes for HID lamps. For HID lamp
testing, in the December 2011 TP NOPR, DOE proposed to adopt the
procedures and methods in CIE 15 to determine HID lamp CCT. 76 FR
77914, 77924 (Dec. 15, 2011).
Ushio commented that DOE should establish CCT requirements for MH
lamps used in general lighting applications, but not for MH lamps used
for special applications such as disinfection, curing, and aquariums.
(Ushio, No. 7 at p. 1) In the concurrent HID lamps ECS rulemaking, DOE
is considering excluding certain HID lamps in a given CCT range from
coverage because they are used only for specialty applications. DOE
will address comments related to CCT requirements as part of the
standards rulemaking.
NEMA stated that if CCT requirements are established, CCT should
have a tolerance of 4 percent. (NEMA, No. 6 at p. 3) DOE researched CCT
and considered three options related to tolerances for CCT values for
HID lamps:

1. Set a fixed tolerance of at least 4 percent for the CCT value
as proposed by NEMA in written comments. For other covered products
(i.e., general service fluorescent lamps), however, DOE does not
apply a percent tolerance to CCT values. Therefore, DOE found that
this percentage-based tolerance would be inconsistent with other
lighting products and does not propose to use this tolerance method.
2. Define the x,y coordinates for the different nominal CCTs,
and then apply a seven-step MacAdam ellipse to the center of the x,y
value. If the measured x,y values corresponding to a lamp's CCT were
within that ellipse, the lamp would be characterized by that nominal
CCT. This is the standard protocol for lighting industry
chromaticity standards.
No industry chromaticity standards are currently defined for HID
lamps. DOE researched available chromaticity standards for
fluorescent lamps (ANSI C78.376-2001) and solid-state lighting (SSL)
(ANSI C78.377-2011). DOE notes that in the ENERGY STAR November 30,
2012 letter, EPA stated that there is no industry standard to
reference.\23\
---------------------------------------------------------------------------

\23\ ENERGY STAR Lighting Stakeholder--www.energystar.gov/
products/specs/sites/products/files/ES_Luminiares_1%202_Letter_
FINAL.pdf--last accessed October 26, 2013
---------------------------------------------------------------------------

DOE researched publicly available chromaticity data for HID
lamps found in manufacturer catalogs, and found that the graphed x,y
coordinates for many HID lamps would not fall within the seven-step
MacAdam ellipses for nominal fluorescent lamp CCT values in ANSI
C78.376-2001. Because of the lack of industry chromaticity standards
for HID lamps, and DOE's findings that HID lamps often do not fall
within the seven-step MacAdam ellipses for fluorescent lamps, DOE
rejects this method of testing CCT values in HID lamps.
3. Round the mean of the sample of lamps' CCT values to the
nearest 10 kelvin, as is prescribed in test procedures for general
service fluorescent lamps in 10 CFR part 430, subpart B, appendix R.
In the 2012 GSFL/GSIL/IRL test procedures final rule, DOE discussed
originally requiring rounding to the nearest single kelvin, but
increased it to the nearest 10 kelvin per a recommendation from NEMA
and in consultation with NIST. 77 FR 4203, 4207 (Jan. 27, 2012).

Therefore, DOE proposes that the HID lamps be measured for CCT and,
like the rounding approach used in the GSFL/GSIL/IRL test procedures,
that CCT values be rounded to the nearest 10 kelvin.
ii. Color Rendering Index
In the December 2011 TP NOPR, DOE proposed a test method to measure
CRI because DOE was considering CRI as a means to define the scope of
coverage for HID lamps for potential energy conservation standards. DOE
proposed to adopt the methods and procedures set forth in CIE 13.3 to
determine lamp CRI. 76 FR 77914, 77924 (Dec. 15, 2011).
The CA IOUs supported the proposed color quality measurements. (CA
IOUs, No. 8 at p. 2) NEMA commented that CCT and CRI have little
relevance to the energy efficiency of HID lamps. (NEMA, No. 6 at p. 3)
However, in commenting on the February 2012 HID lamps ECS Framework
document, NEMA supported using CRI as a metric for possible exclusion
of certain lamps (e.g., high CRI, low CCT lamps), also noting that CRI
could affect an equation-based efficacy standard. (Docket No. EERE-
2010-BT-STD-0043, NEMA, No. 7 at pp. 5, 21)
In the HID lamps ECS rulemaking, DOE is considering a CRI above
which lamps would not be considered for standards. (Docket No. EERE-
2010-BT-STD-0043) DOE and manufacturers would use the proposed CRI test
method to determine whether a lamp is subject to standards based on CRI
applied to a basic model of lamp. In this SNOPR, DOE proposes that the
CRI of HID lamps be rounded to the nearest whole number, as is
consistent with rounding for other lighting technologies.
NEMA stated that if CRI requirements are established, CRI
measurements should be given a tolerance of at least 3 percent. (NEMA,
No. 6 at p. 3) In the HID lamps ECS rulemaking, DOE is only considering
using CRI to determine whether a particular lamp model is considered
for standards. The CRI itself is not under consideration for being
regulated or reported. (Docket No. EERE-2010-BT-STD-0043) Because of
this, DOE did not give further consideration to the tolerance of at
least 3 percent requested by NEMA.
4. Test Method for Measuring Lumen Maintenance
In the December 2011 TP NOPR, DOE proposed measuring lumen
maintenance for HID lamps at 40 percent and 70 percent of rated lamp
life, as described in LM-47. 76 FR 77914, 77923-24, 77934 (Dec. 15,
2011).
The Joint Comment supported measuring lumen maintenance, which is
used in lighting design calculations to estimate future light output
and energy use in lighting systems more accurately. The Joint Comment
stated that improved lumen maintenance results in energy savings in the
field and encouraged DOE to include lumen maintenance in the test
procedures. (Joint Comment, No. 9 at p. 1) The CA IOUs also supported
DOE's proposal to measure lumen maintenance for HID lamps. (CA IOUs,
No. 8 at p. 1)
NEMA raised a number of logistical issues related to the proposal
and was generally not supportive of lumen maintenance testing. NEMA
cited particular concerns about lumen maintenance testing for HID
lamps, including: (1) The significant capital investment and operating
expenses for long-term testing of 21 or more samples for tens or
hundreds of basic models, ranging in wattage from 50 to 1,000 watts;
(2) the difficulty of obtaining NVLAP accreditation for manufacturer
testing facilities for lumen maintenance; and (3) the potential delays
in new product introduction while long-term lumen maintenance data is
gathered. (NEMA, No. 6 at pp. 2, 3, 12, 13) NEMA stated that new
product introduction to the market could be delayed if testing at 40
percent of rated life is required before a lamp can be introduced.
(NEMA, No. 6 at p. 3)
At this time, DOE does not plan to include lumen maintenance
requirements in potential energy conservation standards for HID lamps,

[[Page 29650]]

and therefore does not propose to require lumen maintenance measurement
to demonstrate compliance with any final standards. In this SNOPR, DOE
addresses comments on lumen maintenance testing regarding updated
industry test standards, measured points in rated life, and test
burden.
In the December 2011 TP NOPR, DOE referenced LM-47-01. 76 FR 77914,
77916-17, 77923-24 (Dec. 15, 2011). Intertek commented on the use of
older versions of IES standards (i.e., LM-47), stating they may have
been recently revised or be under revision. (Intertek, Public Meeting
Transcript, No. 5 at p. 121) DOE is no longer proposing to incorporate
LM-47 because DOE no longer proposes in this SNOPR to measure the lumen
maintenance of HID lamps.
NEMA commented that the 2012 version of the IES Design Guide 10
(DG-10-12) states ``mean lumens are defined as the lumens emitted at 40
percent (fluorescent and HID) or 50 percent (other sources) of rated
lamp life.'' (NEMA, No. 6 at p. 3) NEMA stated that this definition is
incorrect, and should specify 40 percent for MH/MH lamps and 50 percent
for HPS lamps. (NEMA, No. 6 at pp. 2-3) NEMA stated that it has alerted
IES to the error. NEMA stated that the accepted industry practice is to
measure lumen maintenance at 40 percent of rated life for MH lamps.
(NEMA, No. 6 at pp. 2-3) For HPS and MV lamps, NEMA stated that the
accepted industry practice is to measure lumen maintenance at 50
percent of rated life. (NEMA, No. 6 at pp. 2-3)
The CA IOUs were supportive of measuring lumen output at one
defined point in the rated lamp life for all HID lamp types. The CA
IOUs further encouraged lumen maintenance testing even if the proposed
40 percent and 70 percent measurement points had to be modified to
accommodate industry concerns. (CA IOUs, No. 8 at pp. 1-2) NEMA
commented that HID lamps can have very long operating lifetimes (e.g.,
greater than 40,000 hours), and that measuring at 70 percent of life
could require multiple years of lamp operation. (NEMA, No. 6 at p. 2)
NEMA speculated that the proposed measurement at 70 percent of life was
derived from the ``L70'' value for SSL products, which
designates the operating hours at which an SSL product still maintains
70 percent of initial light output. (NEMA, No. 6 at pp. 2-3) The CA
IOUs supported a second lumen maintenance test at 70 percent of rated
lamp life, stating that lumen maintenance is a significant factor in
the specification of HID lamp and ballast systems. (CA IOUs, No. 8 at
pp. 1-2) The Joint Comment stated that most lighting systems are
designed based on the mean light output of the lamps. (Joint Comment,
No. 9 at p. 1) DOE understands the 40 and 50 percent of rated lamp
lifetimes are the traditional points in time when lumen maintenance is
measured. DOE notes that LM-47 contains the 70 percent of rated lamp
lifetime and DOE was not conflating it with L70 value for
SSL. DOE no longer proposes to measure lumen maintenance as part of
this SNOPR.
NEMA also stated that if 40 percent of life lumen maintenance is
required, for newly introduced products DOE should allow projection of
lumen maintenance values using manufacturer-accepted practices. (NEMA,
No. 6 at p. 3) NEMA stressed that existing data should be used, where
possible, to reduce potential delays to market. (NEMA, No. 6 at pp. 2,
13; NEMA, Public Meeting Transcript, No. 5 at pp. 35-36, 39-42) The CA
IOUs also supported lumen maintenance testing and suggested that
standardizing on a measurement point of 40 percent of rated lamp life
for all HID lamps would not be overly burdensome to manufacturers, and
would facilitate comparison of lamps. (CA IOUs, No. 8 at pp. 1-2) DOE
reviewed technical reports, industry test procedures, and other
literature and could not find a lumen maintenance extrapolation
methodology for HID lamps.\24\ DOE understands both the potential
burden and advantage of standardizing on a point in lamp life to reduce
the burden to manufacturers. However, lumen maintenance is not under
consideration for use in the HID lamps ECS rulemaking. (Docket No.
EERE-2010-BT-STD-0043) Because of this, DOE no longer proposes testing
lumen maintenance in this SNOPR.
---------------------------------------------------------------------------

\24\ DOE researched the use of lumen maintenance extrapolation
in industry standards and test procedures from ANSI, CIE, IESNA, and
NEMA and did not find any details on lumen maintenance
extrapolation. DOE also did a general search of publicly available
peer-reviewed lighting literature, technical reports, manufacturer
data sheets, and did not find test procedures to extrapolate the
lumen maintenance of HID lamps.
---------------------------------------------------------------------------

E. Active Modes--Less Than Full Output (Dimming)

1. Measurement of Dimming Performance for Potential Energy Conservation
Standards
In the December 2011 TP NOPR, DOE proposed a requirement that the
HID lamp be energized before efficiency testing was conducted. 76 FR
77914, 77921 (Dec. 15, 2011). DOE did not propose testing at reduced
light output. At the January 2012 TP public meeting, the CA IOUs asked
about HID lamps designed to operate on dimming systems, to which OSRAM
SYLVANIA responded that HID lamps are typically not designed for
dimming, but can be dimmed in compatible lamp and ballast systems. (CA
IOUs, Public Meeting Transcript, No. 5 at pp. 113-114; OSRAM SYLVANIA,
Public Meeting Transcript, No. 5 at p. 114) In written comments, the CA
IOUs noted that dimming performance can vary significantly among HID
lamp technologies, and encouraged DOE to develop a procedure to test
and measure the performance of HID lamps in a dimmed state. (CA IOUs,
No. 8 at p. 4) The Joint Comment agreed. (Joint Comment, No. 9 at p. 2)
In the April 2010 HID lamps notice of proposed determination, DOE
stated that dimming (operating the lamps at less than full power) HID
lamps is uncommon. 76 FR 22031, 22034 (April 27, 2010). NEMA responded
that there were currently no industry standards for dimming HID lamp
and ballast systems, although an industry task force had been organized
to address the issue. (Docket No. EE-DET-03-001, NEMA, No. 2 at p. 2)
NEMA also directed DOE to NEMA LSD 14-2010, ``Guidelines on the
Application of Dimming High-Intensity Discharge Lamps.'' (Docket No.
EE-DET-03-001, NEMA, No. 2 at p. 2) DOE has since reviewed LSD 14-2010
and identified three major issues related to dimming HID lamps:

1. HID lamps should not be dimmed below 50 percent of rated lamp
wattage.
2. Color, lamp life, lumen depreciation, and efficacy can be
affected by dimming.
3. Lamps, ballasts, and control systems could have compatibility
issues because each component of the HID system would be required to
be designed for use with dimming (i.e., a dimmable HID lamp could
not be placed on any existing ballast and be dimmed, it would have
to be placed specifically on a dimmable ballast in order for the
lamp to be dimmed).

In the February 2013 HID lamps ECS Interim Analysis document, DOE
stated that it plans to assess HID lamp performance at full light
output only. (Docket No. EERE-2010-BT-STD-0043, DOE, Framework
Document, No. 2 at pp. 15) Therefore, in this SNOPR, DOE is not
proposing to require testing of HID lamps in the dimmed state for
potential energy conservation standards.

F. Standby Mode and Off Mode Energy Usage

In the December 2011 TP NOPR, DOE stated that HID lamps do not
operate in standby or off mode and, thus, energy use in those states
would not be

[[Page 29651]]

measured. 76 FR 77914, 77924 (Dec. 15, 2011). DOE received no comments
on its proposed approach. This proposal is unaffected by this SNOPR.

G. Laboratory Accreditation Program

In the December 2011 TP NOPR, DOE proposed that testing be
conducted by test laboratories accredited by NVLAP or an accrediting
organization recognized by NVLAP. 76 FR 77914, 77923 (Dec. 15, 2011).
NVLAP establishes standards for the accreditation of laboratories that
test for compliance with relevant industry standards pursuant to 15 CFR
285.3. Id. A manufacturer's or importer's own laboratory, if
accredited, may be used to conduct the applicable testing. 15 CFR
285.3.
DOE received comments on the following related topics: (1)
Additional accrediting organizations; (2) color measurements; (3) lab-
to-lab measurement variations; and (4) lumen maintenance testing and
NVLAP.
NEMA generally supported DOE's proposed laboratory accreditation
requirements but stated that NVLAP does not recognize other accrediting
organizations. NEMA cautioned DOE against involving other accrediting
organizations, citing additional administrative and cost burdens, and
recommended that DOE limit its laboratory accreditation requirements to
NVLAP-accredited laboratories only. (NEMA, No. 6 at p. 12) NEMA also
stated that any CCT or CRI measurements should be performed by an
NVLAP-accredited facility. (NEMA, No. 6 at p. 3)
NEMA stated that almost all HID lamp lumen maintenance testing
occurs at lamp manufacturing facilities, which are typically not NVLAP-
accredited. (NEMA, No. 6 at p. 13) During the March 2012 ECS public
meeting, Venture elaborated by stating that manufacturers support using
NVLAP-accredited laboratories for testing color and efficacy, but that
lumen maintenance testing could overload these external laboratories.
Venture stated that this was a similar problem with GSIL life testing.
(Docket No. EERE-2010-BT-STD-0043, Venture, No. 7 at pp. 166-167) DOE
recognizes these comments related to lumen maintenance but no longer
proposes lumen maintenance as part of this SNOPR.
DOE finds that the benefits from testing in NVLAP-accredited
laboratories only do not outweigh the costs, both in terms of financial
costs and additional time before new lamp models are approved for
commercial sale. Because of this, DOE does not propose that testing
related to efficacy and color measurements be performed in NVLAP-
accredited laboratories only. DOE requests comment on the proposal to
not require testing to be performed in NVLAP-accredited laboratories
only.
NEMA directed DOE to NVLAP's ``Proficiency Testing for Energy
Efficient Lighting Products,'' which shows lab-to-lab measurement
variations of more than 4 percent, depending on the lamp technology.
(NEMA, No. 6 at p. 13) DOE researched this document and determined that
the ``Proficiency Testing for Energy Efficient Lighting Products''
document is still being developed and not available.

H. Effective Date and Compliance Date for the Test Procedures and
Compliance Date for Submitting High-Intensity Discharge Lamp
Certification Reports

1. Effective Date for the Test Procedures
The test procedures will be effective 30 days after publication of
any final rule in the Federal Register.
2. Compliance Date for the Test Procedures
The compliance date for making any representations of the energy
efficiency of covered HID lamps is 180 days from the date of the
publication of any final rule 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.
3. Compliance Date for Submitting High-Intensity Discharge Lamp
Certification Reports
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.

III. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

The Office of Management and Budget (OMB) has determined that test
procedures 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 a 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 to ensure that the potential impacts of its
rules on small entities are properly considered during the DOE
rulemaking process. 68 FR 7990 (Feb. 19, 2003). DOE has made its
procedures and policies available on the Office of the General
Counsel's Web site: http://energy.gov/gc/office-general-counsel.
DOE reviewed the test procedures considered in today's SNOPR under
the provisions of the Regulatory Flexibility Act (RFA) and the policies
and procedures published on February 19, 2003. As discussed in more
detail below, DOE found that because the proposed test procedures have
not previously been required of manufacturers, all manufacturers,
including small manufacturers, may potentially experience a financial
burden associated with new testing requirements. While examining this
issue, DOE determined that it could not certify that the proposed rule,
if promulgated, would not have a significant impact on a substantial
number of small entities. Therefore, DOE has prepared an Initial
Regulatory Flexibility Analysis (IRFA) for this rulemaking. The IRFA
describes the potential impacts on small businesses associated with HID
lamp testing and labeling requirements. DOE has transmitted a copy of
this IRFA to the Chief Counsel for Advocacy of the Small Business
Administration (SBA) for review.
1. Estimated Small Business Burden
SBA has set a size threshold for electric lamp manufacturers to
describe those entities that are classified as ``small businesses'' for
the purposes of the IRFA. DOE used the SBA's small business size
standards to determine whether any small manufacturers of HID lamps
would be subject to the requirements of the rule. 65 FR 30836, 30849
(May 15, 2000), as amended at 65 FR 53533, 53545 (Sept. 5, 2000) and
codified at 13 CFR part 121. The size

[[Page 29652]]

standards are listed by North American Industry Classification System
(NAICS) code and industry descriptions are available at http://www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf.
In the December 2011 TP NOPR, DOE stated that none of the HID lamp
manufacturers surveyed would be considered a small business under SBA
size standards--NAICS code 335110 and under 1,000 employees. 76 FR
77914, 77925 (Dec. 15, 2011). In making this determination, DOE
developed a list of potential manufacturers by referring to the energy
conservation standards (Docket EERE-2010-BT-STD-0043), reviewing NEMA
membership, and surveying the lighting industry. After developing the
list of potential manufacturers, DOE researched each manufacturer to
determine if the manufacturer was domestic and how many employees the
manufacturer employed. DOE received no comments on its statement on
small businesses following the December 2011 TP NOPR. However, DOE's
additional review identified two small manufacturers that potentially
qualify for a small business under NAICS 335110 because these companies
had fewer than 1,000 employees, were domestic, and not owned by a
subsidy or owned by a larger company.
DOE also acknowledges Philips and NEMA's comments that DOE
underestimated testing expenses in the December 2011 TP NOPR. Philips
stated in the HID TP public meeting that annual electricity cost alone
for lumen maintenance testing would exceed $200 per individual lamp,
extrapolating to $4,200 for a sample size of 21 lamps. Philips
estimated their catalog represents 200 basic models and thus the total
cost of electricity could be over $2.3 million (accounting for the fact
that lumen maintenance testing could require two to three years to
complete). (Public Meeting Transcript, No. 5 at pp. 110-111) NEMA
reiterated that electricity costs for lumen maintenance testing were
$200 per lamp (or more than $4,200 for 21 lamps of a basic model per
year). (NEMA, No. 6 at p. 13) DOE determined that GE, Philips, and
OSRAM SYLVANIA (none of which qualify as small HID lamp manufacturers)
each possibly have more than 200 basic models of HID lamps, and used an
estimated number of basic models from these manufacturers' catalogs to
estimate the potential annual electricity costs per manufacturer for
lumen maintenance testing. As stated previously, DOE no longer proposes
lumen maintenance testing for use with the possible energy conservation
standard.
Labor and operating costs associated with conducting the input
power, lumen output, CCT and CRI testing contribute to overall burden.
However, DOE believes that calculating the efficacy of an HID lamp does
not result in any incremental testing burden beyond the cost of
carrying out lumen output and input power testing. DOE expects that the
majority of manufacturers are already testing for lumen output, input
power, CCT and CRI, as these metrics are well-established and most
manufacturers report the values in their catalogs. However, DOE's
sample size and other requirements may differ from those selected for a
manufacturer's existing data. Therefore, DOE included the cost of
carrying out these tests in its assessment of testing burden.
Table III.1 lists representative rated lamp wattages and the
ballast input power required to operate the corresponding lamps. DOE
calculated the annual costs of operating the lamps for representative
ballast input power values. Table III.1 facilitates comparison of
representative lamp wattages.

Table III.1--Rated Lamp Power and Associated Ballast Input Power
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
HPS MV Quartz Probe (MH) Quartz Pulse (MH) Ceramic Pulse (MH)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Input power Input power Input power Input power Input
Rated lamp wattage W Rated lamp wattage W Rated lamp wattage W Rated lamp wattage W Rated lamp wattage power W
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
35................................. 44
50................................. 60 50.................... 68 50................... 70 50................... 70
70................................. 94 70................... 98 70................... 98
75.................... 93
100................................ 122 100................... 125 100.................. 125 100.................. 125
150................................ 185 150.................. 185 150.................. 185
175................... 202 175.................. 208 175.................. 209
200................................ 230
250................................ 295 250................... 283 250.................. 291 250.................. 285 250.................. 285
320.................. 367 320.................. 367
360.................. 400 350.................. 400 350.................. 400
400................................ 465 400................... 454 400.................. 456 400.................. 458 400.................. 458
1000............................... 1100 1000.................. 1080 1000................. 1080 1000................. 1060
1500................. 1610
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

The potential total number of lamps tested is a function of the
number of basic models and the required sample size. In the December
2011 TP NOPR, DOE proposed a sample size of 21 for lamp efficacy, CCT,
and lumen maintenance. As previously stated in this SNOPR, DOE only
plans to test lamp efficacy and CCT in setting potential HID lamps
energy conservation standards (and CRI for excluding certain types of
lamps from standards coverage). In addition, DOE continues to propose
in this SNOPR to use a sample size for lamp efficacy and CCT of 21
lamps per basic model.
For stabilization and related testing, DOE assumed 7 hours of
operation for the MH lamps and 3 hours for HPS and MV lamps. That
ballast input power required to operate the lamps (shown in Table
III.1) was multiplied by the respective hours and an electricity rate
of $0.1052 per kilowatt-hour (kWh).\25\
---------------------------------------------------------------------------

\25\ The electricity rate of $0.1052 per kWh is the average
commercial rate year from January through February 2014 from the
U.S. Energy Information Administration's (EIA's) Electric Power
Monthly, October 2013, Table 5.3, available at: www.eia.gov/electricity/monthly/ (last accessed April 4, 2014).
NEMA's written comments reference an electricity cost of $0.10
per kWh. These rates should be considered the same for most
purposes.
---------------------------------------------------------------------------

The costs in the table were calculated as follows:

[[Page 29653]]

Number of basic models (per lamp type) x sample size x input power x
operating hours x $0.1052/kWh

Table III.2 shows the operating costs for MV lamps for a possible
manufacturer. The number of basic models is multiplied by the sample
size by the input power (see Table III.1) by the operating hours
(seasoning plus testing operation) and finally multiplied by the
electricity cost per kilowatt-hour. The total cost for electricity for
testing this family of lamps can be determined by summing the total
electricity costs for the lamps--$1,218.52. The cost per basic model
for electricity can be determined by dividing the total electricity
costs ($1,218.52) by the total number of basic models (16), which is a
cost per basic model of $76.16.

Table III.2--Example Operating Electricity Costs for MV Lamps
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total
Rated lamp power Samples Input power Operating Electricity electricity
Basic models hours rate cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
50...................................................... 1 21 68 103 $0.1052 $15.47
75...................................................... 1 21 93 103 0.1052 21.16
100..................................................... 4 21 125 103 0.1052 113.77
175..................................................... 3 21 202 103 0.1052 137.89
250..................................................... 2 21 283 103 0.1052 128.79
400..................................................... 3 21 454 103 0.1052 309.92
1000.................................................... 2 21 1080 103 0.1052 491.50
-----------------------------------------------------------------------------------------------
Total cost for electricity for testing this family .............. .............. .............. .............. .............. 1,218.52
of lamps...........................................
--------------------------------------------------------------------------------------------------------------------------------------------------------

NEMA requested in its review of estimated testing costs that labor-
year costs be added into the analysis. (NEMA, No. 6 at p. 13) DOE
reviewed the 2012 median pay for electrical and electronic engineering
technicians ($57,850), electrical and electronics engineers ($89,630)
and electro-mechanical technicians ($51,820), and calculated an average
annual salary of $66,433 from the U.S. Department of Labor Bureau of
Labor Statistics.\26\ This average was divided by 1,920 hours per year
(40 hours per week for 48 weeks per year) to develop an hourly rate of
$34.06. The hourly rate was multiplied by 31 percent \27\ to account
for benefits \28\ to calculate an estimated total cost per hour of
$45.32.
---------------------------------------------------------------------------

\26\ United States Department of Labor. Bureau of Labor
Statistics Occupational Outlook Handbook. Washington, DC. (Last
accessed April 7, 2014.) www.bls.gov/ooh/Architecture-and-Engineering/home.htm.
\27\ Obtained from the Bureau of Labor Statistics (News Release:
Employer Cost For Employee Compensation--December 2012, U.S.
Department of Labor (December 2012), www.bls.gov/news.release/ecec.nr0.htm.
\28\ Additional benefits include: Paid leave, supplemental pay,
insurance, retirement and savings, Social Security, Medicare,
unemployment insurance and workers compensation.
---------------------------------------------------------------------------

DOE assumed that the testing technician would not be needed for the
entire time because the technician can perform other tasks not related
to testing the lamp while the lamp is being stabilized. Therefore, DOE
multiplied the full labor rate by 50 percent of the expected total
operation time of the lamp.
Table III.3 shows the labor costs for MV lamps for a possible
manufacturer. The number of basic models is multiplied by the sample
size by the hourly labor rate by the testing time by the time
utilization of the technician (50 percent of the technician's time
during testing) to determine the total labor costs. The total example
labor costs can be determined by summing all of the values in the total
labor costs column to equal $22,841.28. The total example labor cost
per basic model can be determined by dividing the total labor costs
($22,481.28) by the total quantity of basic models (16) to equal about
$1,427.58.

Table III.3--Example Labor Costs for Testing MV Lamps
--------------------------------------------------------------------------------------------------------------------------------------------------------
Time
Basic models Samples Lamp power Hourly labor Hours utilization Total labor
rate (percent) costs
--------------------------------------------------------------------------------------------------------------------------------------------------------
1....................................................... 21 50 $45.32 3 50 $1,427.58
1....................................................... 21 75 45.32 3 50 1,427.58
4....................................................... 21 100 45.32 3 50 5,710.32
3....................................................... 21 175 45.32 3 50 4,282.74
2....................................................... 21 250 45.32 3 50 2,855.16
3....................................................... 21 400 45.32 3 50 4,282.74
2....................................................... 21 1000 45.32 3 50 2,855.16
--------------------------------------------------------------------------------------------------------------------------------------------------------

The process of determining the electricity costs (depicted in Table
III.2) and determining the labor costs (depicted in Table III.3) was
repeated for MH and HPS lamps. In summary, the cost for electricity per
HPS basic model was $55.88 and per MH basic model was $59.81. The labor
costs per HPS basic model was $1,427.58 and the labor costs per MH
basic model was $3,331.02.
In the August 30, 2013, memorandum documenting ex parte
communication, NEMA indicated further reservations concerning future
interpretation of the proposed definition of ``basic model,'' stating
that because HID lamps are not classified into families, every HID lamp
could potentially be identified as a separate basic model requiring
testing and significantly increasing costs. (Docket EERE-2010-BT-STD-
0043, NEMA No. 29 at p. 2) In response to NEMA's comment about the lack
of families for HID lamps, DOE analyzed a large number of potential
basic models for each type of HID lamp.
DOE was able to collect annual revenue estimates for the two small

[[Page 29654]]

business HID lamp manufacturers using Hoovers.com company profile
database. DOE determined that the mean revenue of the identified small
business manufacturers is $10,300,000.\29\ DOE then analyzed the
potential burden on one of the two small manufacturers as a proxy for
all the small manufacturers. For this manufacturer, DOE identified 36
different wattage MH lamps, 13 different wattage HPS lamps, and 5
different wattage MV lamps offered by the manufacturer. For each
wattage and type of lamp, the manufacturer could possibly have between
one and five different basic models. DOE estimated the total cost to
test 21 samples, assuming that each lamp type/wattage combination was a
basic model, to be $145,613.16. DOE estimated that a maximum total cost
to test 21 samples, assuming that each lamp offered was treated as a
different basic model, would be $321,681.36. According to DOE's
calculations, the proposed testing cost represents between 1.39 percent
and 3.06 percent of the mean revenues of the two small business
manufacturers. DOE requests comment on the estimated number of small
businesses that would be affected by the proposed rulemaking.
---------------------------------------------------------------------------

\29\ According to Hoovers.com, the smallest of the two small
business HID lamp manufacturers had revenues of $6.1 million per
year.
---------------------------------------------------------------------------

The final cost per manufacturer primarily depends on the number of
basic models of that lamp type that a manufacturer sells. Some lamp
types have more basic models than others. These are not annual costs
because DOE does not require manufacturers to retest a basic model
annually. The initial test results used to generate a certified rating
for a basic model remain valid as long as the basic model has not been
modified from the tested design in a way that makes it less efficient
or more consumptive, which would require a change to the certified
rating. If a manufacturer has modified a basic model in a way that
makes it more efficient or less consumptive, new testing is required
only if the manufacturer wishes to make representations of the new,
more efficient rating.
DOE seeks comments on its determination that it could not certify
that the proposed rule, if promulgated, would not have a significant
impact on a substantial number of small entities. DOE also seeks
comment on the methodologies and data used to reach this determination,
including data on the average number of years a basic model remains
unchanged (and therefore does not require annual retesting).

C. Review Under the Paperwork Reduction Act of 1995

There is currently no information collection requirement related to
the test procedures 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 these
test procedures, 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, if 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 13735. 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 is 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.

[[Page 29655]]

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, sec. 201 (codified at 2 U.S.C. 1531).
For a proposed regulatory action likely to result in a rule that may
cause the expenditure by State, local, and Tribal governments, in the
aggregate, or by the private sector of $100 million or more in any one
year (adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under UMRA. 62 FR 12820; also available
at http://energy.gov/gc/office-general-counsel. DOE examined today's
proposed rule according to UMRA and its statement of policy and
determined that these requirements do not apply because the rule
contains neither an intergovernmental mandate nor a mandate that may
result in the expenditure of $100 million or more in any year.

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:

[[Page 29656]]

1. ANSI C78.389-R2009, ``American National Standard for Electric
Lamps--High Intensity Discharge--Methods of Measuring
Characteristics'' (sections 1.0, 2.0, 3.0, and Figure 1);
2. CIE 13.3-1995, ``Technical Report: Method of Measuring and
Specifying Colour Rendering Properties of Light Sources'';
3. CIE 15:2004, ``Technical Report: Colorimetry'';
4. IES LM-51-13, ``Approved Method for the Electrical and
Photometric Measurements of High Intensity Discharge Lamps''
(sections 1.0, 5.2, 7.0, and 8.0); and
5. IES LM-78-07, ``IESNA Approved Method for Total Luminous Flux
Measurement of Lamps Using an Integrating Sphere Photometer''
(sections 3.1 and 6.3).

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.

IV. Public Participation

A. Submission of Comments

DOE will accept comments, data, and information regarding this
proposed rule 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 www.regulations.gov. The
www.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. Otherwise, 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 www.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
www.regulations.gov 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 www.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 www.regulations.gov
provides after you have successfully uploaded your comment.
Submitting comments via email, hand delivery/courier, or mail.
Comments and documents submitted via email, hand delivery/courier, or
mail also will be posted to www.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 in 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. If you submit via mail or hand
delivery/courier, please provide all items on a CD, if feasible, in
which case 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 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. Pursuant 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/courier two well-marked copies:
one copy of the document marked ``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).

B. Issues on Which DOE Seeks Comment

DOE requests comments and data on the HID lamp test procedures
proposed in this SNOPR. 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
SNOPR.
a. Beam Angle
DOE requests comments on its proposal to withdraw the December

[[Page 29657]]

2011 TP NOPR proposed definition of ``beam angle.''
b. Color Rendering Index
DOE requests comments on its proposal to retain the December 2011
TP NOPR proposed definition of ``color rendering index.''
c. Correlated Color Temperature
DOE requests comments on its proposal to retain the December 2011
TP NOPR proposed definition of ``correlated color temperature.''
d. Directional Lamp
DOE requests comments on its proposal to revise the December 2011
TP NOPR proposed definition of ``directional lamp.''
e. High-Pressure Sodium Lamp
DOE requests comments on its proposal to retain the December 2011
TP NOPR proposed definition of ``high-pressure sodium lamp.''
f. Initial lumen output
DOE requests comments on its proposal to add a definition for
``initial lumen output.''
g. Lamp Efficacy
DOE requests comments on its proposal to revise the December 2011
TP NOPR proposed definition for ``lamp efficacy.''
h. Lamp Electrical Power Input
DOE requests comments on its proposal to withdraw the December 2011
TP NOPR proposed definition of ``lamp electrical power input.''
i. Lamp Wattage
DOE requests comments on its proposal to revise the December 2011
TP NOPR proposed definition of ``lamp wattage.''
j. Lumen Maintenance
DOE requests comments on its proposal to withdraw the December 2011
TP NOPR proposed definition of ``lumen maintenance.''
k. Mercury Vapor Lamp
DOE requests comments on its proposal to retain the December 2011
TP NOPR definition of ``mercury vapor lamp.''
l. Metal Halide Lamp
DOE requests comments on its proposal to retain the December 2011
TP NOPR definition of ``metal halide lamp.''
m. Rated Luminous Flux or Lumen Output
DOE requests comments on its proposal to withdraw December 2011 TP
NOPR definition for ``rated luminous flux or lumen output.''
n. Self-Ballasted Lamp
DOE requests comments on its proposal to retain the December 2011
TP NOPR definition for ``self-ballasted lamp.''
o. Ballast Efficiency
DOE requests comments on its proposal to retain the definition of
``ballast efficiency'' for high-intensity discharge fixtures, currently
set forth at 10 CFR 431.322.
p. Basic Model
DOE requests comments on its proposal to revise the December 2011
TP NOPR definition of ``basic model.''
2. Ambient Test Temperature
DOE requests comments on retaining the December 2011 TP NOPR
proposed ambient test temperature requirements (25 [deg]C 5
[deg]C) based on IES LM-51-13.
3. Air Speed
DOE requests comments on its proposal to eliminate the December
2011 TP NOPR proposed specific air speed requirements.
4. Reference Ballasts
DOE requests comments on its proposed approach for testing HID
lamps for which there are no ANSI reference ballasts.
5. Instrumentation for Photometric Measurement
DOE requests comments on its proposal to incorporate by reference
sections 3.1 and 6.3 of LM-78-07, and add related text that references
LM-78-07 guidance on integrating sphere measurement errors and
corrections.
6. Sampling Plan
DOE requests comments on its proposed sampling plan as summarized
and discussed in section II.C.1.c, especially regarding sample size (21
units for lamp efficacy and correlated color temperature), statistical
representation (confidence intervals of 90 percent for MH lamps, and 99
percent for HPS and MV lamps), and divisor (0.97).
7. Lamp Seasoning and Stabilization
DOE requests comments on its proposed requirement that HID lamps
with no specified operating position (including universal position
lamps) be operated in the vertical base-up orientation for seasoning
and stabilization purposes.
8. Cool-Down and Re-Stabilization
DOE requests comments on its proposed cool-down and re-
stabilization requirements.
9. Lamp Orientation
DOE requests comments on its proposed requirement that HID lamps
with no specified operating position (including universal position
lamps) be tested in the vertical base up position.
10. Special Consideration for Directional Lamps
DOE requests comments on its proposal to exclude directional lamp
testing in this SNOPR.
11. Efficacy
DOE requests comments on its proposed method of calculating HID
lamp efficacy and reporting efficacy to the nearest tenth of a lumen
per watt.
12. Measurement and Calculation of Correlated Color Temperature and
Color Rendering Index
DOE requests comments on its proposed measurement methods for color
characteristics (CCT and CRI).
13. Dimming
DOE requests comments on its proposal that eliminates testing HID
lamps in a dimmed state.
14. Small Business Burden
DOE requests comment on its determination that it could not certify
that the proposed rule, if promulgated, would not have a significant
impact on a substantial number of small entities. DOE also seeks
comment on the methodologies and data used to reach this determination.
15. Basic Model Introduction and Modification
DOE requests comment on the expected frequency of introductions of
new basic models and the average number of years a basic model remains
unmodified to potentially better determine the potential effects of
this rule on small businesses.

V. Approval of the Office of the Secretary

The Secretary of Energy has approved publication of this
supplemental notice of proposed rulemaking.

List of Subjects

10 CFR Part 429

Administrative practice and procedure, Buildings and facilities,

[[Page 29658]]

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, Household appliances, Imports,
Incorporation by reference, Reporting and recordkeeping requirements,
Small business.

Issued in Washington, DC, on May 5, 2014.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, 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, Code of Federal Regulations as
set forth below.

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

0
1. The authority citation for part 429 continues to read as follows:

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

0
2. Section 429.11 is revised to read as follows:

Sec. 429.11 General sampling requirements for selecting units to be
tested.

(a) When testing of covered products or covered equipment is
required to comply with section 323(c) of the Act, or to comply with
rules prescribed under sections 324, 325, or 342, 344, 345, or 346 of
the Act, a sample composed of production units (or units representative
of production units) of the basic model being tested must be selected
at random and tested, and must meet the criteria found in Sec. Sec.
429.14 through 429.55 of this subpart. Components of similar design may
be substituted without additional testing if the substitution does not
affect energy or water consumption. Any represented values of energy
efficiency, water efficiency, energy consumption, or water consumption
for all individual models represented by a given basic model must be
the same.
(b) Unless otherwise specified, the minimum number of units tested
must be no less than two (except where a different minimum limit is
specified in Sec. Sec. 429.14 through 429.55 of this subpart).
0
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 (HPS), mercury
vapor (MV), and metal halide (MH) lamps.
(2)(i) For each basic model of HID lamp, a sample of sufficient
size, but not less than 21 units, shall be randomly selected and tested
to ensure that--any represented value of lamp efficacy of a basic model
shall be less than or equal to the lower of:
(A) The mean of the sample,

Where:
[GRAPHIC] [TIFF OMITTED] TP22MY14.005

x is the sample mean,
n is the number of samples, and
xi is the i\th\ sample;

Or,

(B) The lower confidence limit (LCL) of the true mean divided by
0.97,

Where:
[GRAPHIC] [TIFF OMITTED] TP22MY14.006

x is the sample mean,
s is the sample standard deviation,
n is the number of samples, and
t is the t statistic for a 90-percent one-tailed confidence interval
with n-1 degrees of freedom (from appendix A) for MH lamps, and the
t statistic for a 99-percent one-tailed confidence interval with n-1
degrees of freedom (from appendix A) for HPS and MV lamps.
(ii) For each basic model of HID lamp, the correlated color
temperature (CCT) must be measured from the same lamps selected for the
lamp efficacy measurements in paragraph (a)(2)(i) of this section
(i.e., the manufacturer must measure all lamps for lumens, input power,
and CCT). The CCT must be represented as the mean of a minimum sample
of 21 lamps,

Where:
[GRAPHIC] [TIFF OMITTED] TP22MY14.007

x is the sample mean,
n is the number of samples, and
xi is the i\th\ sample.

(b) Certification reports. [Reserved]

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

0
1. The authority citation for part 431 continues to read as follows:

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

0
2. Subpart 431.2 is amended by adding in alphabetical order,
definitions for ``ballast'', ``high-intensity discharge lamp'', ``high-
pressure sodium (HPS) lamp'', ``mercury vapor lamp'', and ``metal
halide 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.
* * * * *
High-intensity discharge lamp means an electric-discharge lamp in
which--
(1) The light-producing arc is stabilized by the arc tube wall
temperature; and
(2) 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.
* * * * *
Mercury vapor lamp means a high-intensity discharge lamp, including
clear, phosphor-coated, and self-ballasted 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.
* * * * *

Sec. 431.282 [Amended]

0
3. Section 431.282 is amended by removing the definitions of
``ballast'', ``high intensity discharge lamp'', and ``mercury vapor
lamp''.

Sec. 431.322 [Amended]

0
4. Section 431.322 is amended by removing the definitions of
``ballast'' and ``metal halide lamp.''
0
5. Subpart Y is added to read as follows:

[[Page 29659]]

Subpart Y--High-Intensity Discharge Lamps

Sec.
431.451 Purpose and scope.
431.452 Definitions concerning high-intensity discharge lamps.
431.453 Materials incorporated by reference.
431.454 Uniform test method for calculation of lamp efficacy and
color characteristics.
431.455 [Reserved].

Sec. 431.451 Purpose and scope.

This subpart sets forth energy conservation requirements for high-
intensity discharge lamps, pursuant to Parts A and A-1 of Title III of
the Energy Policy and Conservation Act, as amended, and 42 U.S.C. 6291,
et al.

Sec. 431.452 Definitions concerning high-intensity discharge lamps.

Basic model means all units of a given type of covered equipment
(or class thereof) manufactured by one manufacturer, that have the same
primary energy source, and that have essentially identical electrical,
physical, and functional characteristics that affect energy consumption
or efficacy.
Color rendering index or CRI means the measure of the 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.
Directional lamp means a lamp with an integral reflector, 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).
Initial lumen output means the measured lumen output after the lamp
is seasoned, then initially energized and stabilized, using the lamp
seasoning and stabilization procedures in 10 CFR 431.454(b)(1).
Lamp efficacy means the lumen output of a lamp divided by its
wattage, expressed in lumens per watt (LPW).
Lamp wattage means the total electrical power consumed by a lamp in
watts, after the initial seasoning period referenced in section 6.2.1
of IES LM-51-13.
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. 431.453 Materials incorporated by reference.

(a) General. DOE incorporates 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
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. 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, 212-642-4900, or go to www.ansi.org.
(1) ANSI C78.389-2004 (R2009) (``ANSI C78.389''), American National
Standard for Electric Lamps--High Intensity Discharge--Methods of
Measuring Characteristics, approved August 9, 2009, IBR approved for
Sec. 431.454.
(b) [Reserved].
(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 www.cie.co.at.
(1) CIE 13.3-1995 (``CIE 13.3-1995''), Technical Report: Method of
Measuring and Specifying Colour Rendering Properties of Light Sources,
1995. IBR approved for Sec. 431.454.
(2) CIE 15:2004 (``CIE 15-2004''), Technical Report: Colorimetry,
2004. IBR approved for Sec. 431.454.
(d) IES. Illuminating Engineering Society of North America, 120
Wall Street, Floor 17, New York, NY 10005-4001, 212-248-5000, or go to
www.iesna.org.
(1) IES LM-51-13 (``LM-51-13''), Approved Method for the Electrical
and Photometric Measurements of High Intensity Discharge Lamps, 2013.
IBR approved for Sec. 431.454.
(2) IES LM-78-07 (``LM-78-07''), IESNA Approved Method for Total
Luminous Flux Measurement of Lamps Using an Integrating Sphere
Photometer, 2007. IBR approved for Sec. 431.454.

Sec. 431.454 Uniform test method for calculation of lamp efficacy and
color characteristics.

Note: After [DATE 180 DAYS AFTER PUBLICATION OF TEST PROCEDURE
FINAL RULE IN THE Federal Register], any representations made with
respect to the efficacy, CCT, or CRI of HID lamps must be made in
accordance with the results of testing pursuant to this test
procedure.

(a) Test setup and conditions. (1) Ambient conditions. The ambient
conditions must be established in accordance with the specifications in
section 4.0 of IES LM-51 (incorporated by reference; see Sec.
431.453).
(2) Power supply characteristics. The power supply characteristics
must be established in accordance with section 3.2 of ANSI C78.389
(incorporated by reference; see Sec. 431.453).
(3) 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 a reference ballast with the matching ANSI rating or 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 ANSI for the lamp being
tested. If electrical readings are to be taken on a lamp for which no
ANSI standard exists, that lamp must be tested on a reference ballast
with specifications that match the manufacturer specifications for the
lamp such as those provided in a catalog or for marketing purposes
online but not those provided for specific or limited uses, such as
specifically for testing. If electrical readings are to be taken on a
multi-start metal halide lamp, the lamp must be tested on a reference
ballast with the characteristics defined in the equivalent probe-start
ANSI lamp designation as listed in the lamp catalog or manufacturer
data sheets with the lowest ANSI lamp designation. If no probe-start
ANSI lamp designation is listed by the manufacturer, then the lamp must
be tested on a reference ballast with the characteristics defined in
the lowest ANSI lamp designation listed.
(4) Electrical instrumentation. Instrumentation for electrical
measurements must meet the requirements of section 3.8 of ANSI

[[Page 29660]]

C78.389 (incorporated by reference, see Sec. 431.453).
(5) Photometric instrumentation. Instrumentation for photometric
measurements must meet the requirements of section 7.0 of IES LM-51,
and sections 3.0 and 6.3 of IES LM-78 (incorporated by reference, see
Sec. 431.453).
(b) Lamp preparation. (1) Lamp seasoning and stabilization. The HID
lamp must be seasoned for 100 hours per section 6.2.1 of IES LM-51
(incorporated by reference, see Sec. 431.453). During the seasoning
period, the lamp must be operated in the same orientation in which it
will be tested for lamp efficacy. HID lamps with no specified operating
position (including universal lamps) must be operated in the vertical
base-up orientation for seasoning and stabilization. After this one-
time seasoning process, a lamp being tested must achieve stable
operation, prior to any measurements, using the lamp stabilization
method specified in section 3.7 of ANSI C78.389 (incorporated by
reference, see Sec. 431.453). 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--HID Lamp Warm-Up and Stabilization Criteria
----------------------------------------------------------------------------------------------------------------
Lamp type Lamp warm-up time Stabilization criteria
----------------------------------------------------------------------------------------------------------------
MV........................................... 15-20 minutes................... 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- to 15-minute measurement
intervals.
Change in value <1.0%.\*\
MH........................................... 6 hours Operated within 10% rated wattage. (voltage and current).
10- to 15-minute measurement
intervals.
Change in value <3.0%.\**\
----------------------------------------------------------------------------------------------------------------
* This is determined by measurement(n+1)/measurementn, where the resultant value needs to be less than 101% and
greater than 99% for the lamp to be considered stabilized.
** This is determined by measurement(n+1)/measurementn, where the resultant value needs to be less than 103% and
greater than 97% for the lamp to be considered stabilized.

(2) Lamp/circuit transfer. Lamp transfer and re-stabilization must
be conducted according to section 3.7 of ANSI C78.389 (incorporated by
reference, see Sec. 431.453). Lamps may either be operated
continuously and moved into the integrating sphere or extinguished and
relocated. If the lamp is not-extinguished prior to transfer, the lamp
must be stabilized prior to measurement. If the lamp is extinguished
and transferred, the lamp cool-down and transfer must adhere to the
requirements shown in Table II. The requirements vary with HID lamp
type, as well as with the specifics of the lamp movement.

Table II--Lamp Cool-Down and Re-Stabilization Requirements
----------------------------------------------------------------------------------------------------------------
Lamp type Cooling requirement Re-stabilization time
----------------------------------------------------------------------------------------------------------------
MV........................................... None............................ Reconfirm stabilized operations
upon transfer/restrike.
HPS.......................................... If extinguished, allow to cool Reconfirm stabilized operations
for 1 hour minimum before upon transfer/restrike.
relocating.
MH........................................... If extinguished, cool to below No relocation and no
60 [deg]C if relocating. reorientation--30 minutes.
Relocation with no
reorientation--30 minutes.
Reorientation--6 hours.
----------------------------------------------------------------------------------------------------------------

(3) Lamp orientation. Lamp orientation requirements are those
specified in section 3.6 of ANSI C78.389 (incorporated by reference,
see Sec. 431.453). 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 must be operated in the vertical base-up position.
(c) Test measurements and calculations. Test measurements and
calculations must be carried out in accordance with the test
conditions, setup, and lamp preparation requirements of Sec.
431.454(a)-(b).
(1) Measurement and calculation of lamp efficacy. (i) Measure the
initial lumen output as specified in section 7.0 of IES LM-51
(incorporated by reference, see Sec. 431.453).
(ii) Measure the input power in watts as specified in sections 3.5,
3.9, and 3.10 of ANSI C78.389 (incorporated by reference, see Sec.
431.453). If a voltmeter and ammeter are used for measurements,
multiply the measured voltage and current values.
(iii) HID lamp efficacy must be calculated as the value from
(c)(1)(i) divided by the value from (c)(1)(ii) of this section, with
the resulting quotient rounded off to the nearest tenth of a lumen per
watt.
(2) Measurement and calculation of correlated color temperature and
color rendering index. (i) Determine HID lamp CCT using the methods for
measurement and characterizing color set forth in CIE 15 (incorporated
by reference, see Sec. 431.453). The CCT value must be rounded to the
nearest 10 kelvins.
(ii) Determine HID lamp CRI using the methods for measurement and
characterizing color set forth in CIE 15 and CIE 13.3 (incorporated by
reference, see Sec. 431.453). Measure HID lamp CRI if necessary to
determine whether a lamp is subject to standards based on its CRI as
specified in Sec. 431.455. The CRI must be rounded to the nearest
whole number.

Sec. 431.455 [Reserved].

[FR Doc. 2014-10683 Filed 5-21-14; 8:45 a.m.]
BILLING CODE 6450-01-P