This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

77914 

Vol. 76, No. 241 

Thursday, December 15, 2011 

DEPARTMENT OF AGRICULTURE 

Animal and Plant Health Inspection 

Service 

7 CFR Part 331 

9 CFR Part 121 

[Docket No. APHIS–2009–0070] 

RIN 0579–AD09 

Agricultural Bioterrorism Protection 

Act of 2002; Biennial Review and 

Republication of the Select Agent and 

Toxin List; Amendments to the Select 

Agent and Toxin Regulations 

AGENCY: Animal and Plant Health 

Inspection Service, USDA. 

ACTION: Proposed rule; reopening of 

comment period. 

SUMMARY: We are reopening the 

comment period for our proposed rule 

that would amend and republish the list 

of select agents and toxins that have the 

potential to pose a severe threat to 

animal or plant health, or to animal or 

plant products, reorganize the list of 

select agents and toxins based on the 

relative potential of each select agent or 

toxin to be misused to adversely affect 

human, plant, or animal health, and 

amend the regulations in order to add 

definitions and clarify language 

concerning security, training, biosafety, 

biocontainment, and incident response. 

This action will allow interested 

persons additional time to prepare and 

submit comments. 

DATES: The comment period for the 

proposed rule published October 3, 

2011 (76 FR 61228), is reopened. We 

will consider all comments that we 

receive on or before January 17, 2012. 

ADDRESSES: You may submit comments 

by either of the following methods: 

• Federal eRulemaking Portal: Go to 

http://www.regulations.gov/ 

#!documentDetail;D=APHIS-2009-0070- 

0035. 

• Postal Mail/Commercial Delivery: 

Send your comment to Docket No. 

APHIS–2009–0070, Regulatory Analysis 

and Development, PPD, APHIS, Station 

3A–03.8, 4700 River Road Unit 118, 

Riverdale, MD 20737–1238. 

Supporting documents and any 

comments we receive on this docket 

may be viewed at http:// 

www.regulations.gov/ 

#!docketDetail;D=APHIS-2009-0070 or 

in our reading room, which is located in 

room 1141 of the USDA South Building, 

14th Street and Independence Avenue 

SW., Washington, DC. Normal reading 

room hours are 8 a.m. to 4:30 p.m., 

Monday through Friday, except 

holidays. To be sure someone is there to 

help you, please call (202) 690–2817 

before coming. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Charles L. Divan, Branch Chief, APHIS 

Agriculture Select Agent Program, 

APHIS, 4700 River Road Unit 2, 

Riverdale, MD 20737–1231; (301) 734– 

5960. 

SUPPLEMENTARY INFORMATION: On 

October 3, 2011, we published in the 

Federal Register (76 FR 61228–61244, 

Docket No. APHIS–2009–0070) a 

proposal to amend and republish the list 

of select agents and toxins that have the 

potential to pose a severe threat to 

animal or plant health, or to animal or 

plant products, reorganize the list of 

select agents and toxins based on the 

relative potential of each select agent or 

toxin to be misused to adversely affect 

human, plant, or animal health, and 

amend the regulations in order to add 

definitions and clarify language 

concerning security, training, biosafety, 

biocontainment, and incident response. 

Comments on the proposed rule were 

required to be received on or before 

December 2, 2011. We are reopening the 

comment period on Docket No. APHIS– 

2009–0070 for an additional 30 days. 

This action will allow interested 

persons additional time to prepare and 

submit comments. We will also consider 

all comments we receive between 

December 3, 2011, and the date of this 

document. 

Done in Washington, DC, this 12th day of 

December 2011. 

Kevin Shea, 

Acting Administrator, Animal and Plant 

Health Inspection Service. 

[FR Doc. 2011–32240 Filed 12–14–11; 8:45 am] 

BILLING CODE 3410–34–P 

DEPARTMENT OF ENERGY 

10 CFR Parts 429 and 431 

[Docket No. EERE–2010–BT–TP–0044] 

RIN 1904–AC37 

Energy Conservation Program for 

Certain Commercial and Industrial 

Equipment: Test Procedures for HighIntensity Discharge Lamps 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The U.S. Department of 

Energy (DOE) proposes to establish its 

test procedures for high-intensity 

discharge (HID) lamps under the Energy 

Policy and Conservation Act of 1975 

(EPCA), as amended. The proposed test 

procedures are based on industry 

standard procedures and practices 

already established by the American 

National Standards Institute (ANSI), the 

Illuminating Engineering Society of 

North America (IES), and the 

International Commission on 

Illumination (Commission 

Internationale de l’Eclairage (CIE)). The 

proposed test procedures would include 

measurement of parameters to enable 

calculation of lamp efficacy (in lumens 

per watt or lm/W), and would also 

provide for the efficiency measurement 

of directional lamps using center beam 

intensity (in candelas) and beam angle. 

The proposed procedures would also 

measure lumen maintenance (i.e., the 

fraction or percentage of lamp light 

output relative to initial output, over 

time) at 40 percent and 70 percent of 

rated lamp lifetime. Correlated color 

temperature (CCT) and color rendering 

index (CRI) would also be measured as 

potential means to delineate equipment 

classes for HID lamps. This notice of 

proposed rulemaking (NOPR) also 

discusses DOE’s conclusion that HID 

lamps do not operate or use energy in 

standby mode or off mode. Therefore, 

DOE does not propose test procedures 

for these modes. 

DATES: DOE will hold a public meeting 

on Thursday, January 19, 2012, from 

9 a.m. to 2 p.m., in Washington, DC. The 

meeting will also be broadcast as a 

webinar. See section V, ‘‘Public 

Participation,’’ for webinar registration 

information, participant instructions, 


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and information about the capabilities 

available to webinar participants. 

DOE will accept comments, data, and 

information regarding this NOPR before 

and after the public meeting, but no 

later than February 28, 2012. See section 

V, ‘‘Public Participation,’’ for details. 

ADDRESSES: The public meeting will be 

held at the U.S. Department of Energy, 

Forrestal Building, Room 8E–089 1000 

Independence Avenue SW., 

Washington, DC 20585. To attend, 

please notify Ms. Brenda Edwards at 

(202) 586–2945. Please note that foreign 

nationals visiting DOE Headquarters are 

subject to advance security screening 

procedures. Any foreign national 

wishing to participate in the meeting 

should advise DOE as soon as possible 

by contacting Ms. Brenda Edwards at 

(202) 586–2945 to initiate the necessary 

procedures. Please also note that those 

wishing to bring laptop computers into 

the Forrestal Building will be required 

to obtain a property pass. Visitors 

should avoid bringing laptop 

computers, or allow an extra 45 minutes 

for security screening procedures. 

Persons can attend the public meeting 

via webinar. For more information, refer 

to the Public Participation section near 

the end of this notice. 

Any comments submitted must 

identify the NOPR for test procedures 

for high-intensity discharge lamps, and 

provide docket number EERE–2010– 

BT–TP–0044 and/or regulatory 

information number (RIN) 1904–AC37. 

Comments may be submitted using any 

of the following methods: 

1. Federal eRulemaking Portal: http: 

//www.regulations.gov. Follow the 

instructions for submitting comments. 

2. Email: HIDLamps-2010-TP0044@ee.doe.gov. Include the docket 

number EERE–2010–BT–TP–0044 and/ 

or RIN 1904–AC37 in the subject line of 

the message. 

3. Mail: Ms. Brenda Edwards, U.S. 

Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue SW., 

Washington, DC 20585–0121. If 

possible, please submit all items on a 

CD. It is not necessary to include 

printed copies. 

4. Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 950 

L’Enfant Plaza SW., Suite 600, 

Washington, DC 20024. 

Telephone: (202) 586–2945. If 

possible, please submit all items on a 

CD. It is not necessary to include 

printed copies. 

For detailed instructions on 

submitting comments and additional 

information on the rulemaking process, 

see section V of this document (Public 

Participation). 

Docket: The docket is available for 

review at http://www.regulations.gov, 

including Federal Register notices, 

framework documents, public meeting 

attendee lists and transcripts, 

comments, and other supporting 

documents/materials. All documents in 

the docket are listed in the http:// 

www.regulations.gov index. However, 

not all documents listed in the index 

may be publicly available, such as 

information that is exempt from public 

disclosure. 

A link to the docket web page can be 

found at: http://www1.eere.energy.gov/ 

buildings/appliance_standards/ 

commercial/ 

high_intensity_discharge_lamps.html. 

This web page will contain a link to the 

docket for this notice on the 

regulations.gov site. The regulations.gov 

web page will contain simple 

instructions on how to access all 

documents, including public comments, 

in the docket. See section V for 

information on how to submit 

comments through regulations.gov. 

FOR FURTHER INFORMATION CONTACT: Dr. 

Tina Kaarsberg, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue SW., 

Washington, DC 20585–0121. 

Telephone: (202) 287–1393. Email: 

Tina.Kaarsberg@ee.doe.gov. 

Ms. Elizabeth Kohl or Ms. Jennifer 

Tiedeman, U.S. Department of Energy, 

Office of the General Counsel, GC–71, 

1000 Independence Avenue SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–7796 or (202) 

287–6111. Email: 

Elizabeth.Kohl@hq.doe.gov or 

Jennifer.Tiedeman@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background and Authority 

II. Summary of the Notice of Proposed 

Rulemaking 

III. Discussion 

A. Definitions 

1. Definitions Relevant to High-Intensity 

Discharge Lamps 

2. Definition of ‘‘Ballast Efficiency’’ for 

Metal Halide Lamp Fixtures 

3. Definition of ‘‘Basic Model’’ for HighIntensity Discharge Lamps 

B. Test Procedure for Measuring Energy 

Efficiency of High-Intensity Discharge 

Lamps 

1. Test Setup and Conditions 

a. Ambient Conditions 

i. Ambient Test Temperature 

ii. Air Speed 

b. Power Supply Characteristics 

i. Voltage Waveshape 

ii. Voltage Regulation 

iii. Power Supply Impedance 

c. Reference Ballasts 

d. Instrumentation 

i. Instrumentation Required for Electrical 

Measurement 

ii. Instrumentation for Photometric 

Measurement 

2. Lamp Selection and Setup 

a. Basic Model 

b. Sampling Plans 

c. Lamp Aging and Stabilization 

d. Lamp/Circuit Transfer 

e. Lamp Orientation 

3. Special Considerations for Directional 

Lamps 

C. Laboratory Accreditation Program 

D. Test Measurements and Calculations 

1. Measurement and Calculation of Efficacy 

2. Measurement and Calculation of Center 

Beam Intensity and Beam Angle 

3. Test Method for Measuring Lumen 

Maintenance 

4. Measurement and Calculation of 

Correlated Color Temperature and Color 

Rendering Index 

E. Standby Mode and Off Mode Energy 

Usage 

F. Effective Date and Compliance Date to 

the Test Procedures and Compliance 

Date for Submitting High-Intensity 

Discharge Certification Reports 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act of 1995 

D. Review Under the National 

Environmental Policy Act of 1969 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under the Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

V. Public Participation 

A. Attendance at Public Meeting 

B. Procedure for Submitting Prepared 

General Statement for Distribution 

C. Conduct of Public Meeting 

D. Submission of Comments 

E. Issues on Which DOE Seeks Comment 

1. Definitions 

2. Ambient Test Temperatures 

3. Air Speed 

4. Power Supply Characteristics 

5. Reference Ballasts 

6. Instrumentation 

7. Sampling Plans 

8. Lamp Aging and Stabilization 

9. Lamp/Circuit Transfer 

10. Lamp Orientation 

11. Special Consideration for Directional 

Lamps 

12. Laboratory Accreditation Program 

13. Test Measurements and Calculations 

14. Small Entities 

VI. Approval of the Office of the Secretary 

I. Background and Authority 

Title III of the Energy Policy and 

Conservation Act (42 U.S.C. 6291, et 


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1A lumen is a unit of light output weighted to 

the spectral response of the human eye. 

2One candela is equal to one lumen per 

steradian. 

3Center beam intensity is synonymous with 

centerbeam candlepower (commonly abbreviated as 

CBCP). Candlepower is now an obsolete term, but 

equates directly to the candela. 

4Lumen maintenance is the percentage or 

fraction of initial lumens. The higher the lumen 

maintenance value (closer to 1.00), the more the 

source maintains the initial efficacy at the point 

time measured. 

5An appropriately rated reference ballast 

provides specified power, voltage, and current 

required to operate the lamp. Its ballast and power 

supply specifications are from data sheets listed by 

the references in ANSI C78.389. They are intended 

to provide reasonable stringency in terms of power 

quality and to ensure repeatable and consistent 

electrical measurements. 

6Spectroradiometry is the measurement of the 

spectral content of a radiating source as a function 

of wavelength. 

7 ‘‘Colorimetry’’ referenced is the science and 

technology of human color perception. 

seq.; ‘‘EPCA’’ or, ‘‘the Act’’) sets forth a 

variety of provisions designed to 

improve energy efficiency. (All 

references to EPCA refer to the statute 

as amended through the Energy 

Independence and Security Act of 2007 

(EISA 2007), Public Law 110–140 (Dec. 

19, 2007)). Part B of title III (42 U.S.C. 

6291–6309) establishes the ‘‘Energy 

Conservation Program for Consumer 

Products Other Than Automobiles.’’ 

Part C of title III, ‘‘Certain Industrial 

Equipment’’ (42 U.S.C. 6311–6317), 

establishes an energy conservation 

program for such equipment. (For 

editorial reasons, Parts B and C were redesignated as Parts A and A–1 on 

codification in the U.S. Code). While 

HID lamps are defined in 42 U.S.C. 

6291(46), DOE is required to set 

standards for HID lamps in 42 U.S.C. 

6317(a)(1)). Therefore, DOE has 

determined that the provisions of Part C 

are applicable to HID lamps. 

Under EPCA, this program consists 

essentially of four parts: (1) Testing; (2) 

labeling; and (3) Federal energy 

conservation standards; and (4) 

certification, compliance, and 

enforcement. The testing requirements 

consist of test procedures that 

manufacturers of covered equipment 

must use (1) As the basis for certifying 

to DOE that their equipment complies 

with the applicable energy conservation 

standards adopted under EPCA (42 

U.S.C. 6295(s) and 6316(a)); and (2) for 

making representations about the 

efficiency of this equipment (42 U.S.C. 

6315(b)). Similarly, DOE must use these 

test requirements to determine whether 

the equipment complies with any 

relevant standards promulgated under 

EPCA. (42 U.S.C. 6295(s) and 6316(a)(1)) 

General Test Procedure Rulemaking 

Process 

Under 42 U.S.C. 6314, EPCA sets forth 

the criteria and procedures DOE must 

follow when prescribing or amending 

test procedures for covered equipment. 

EPCA provides in relevant part that any 

test procedures prescribed or amended 

under this section shall be reasonably 

designed to produce test results that 

measure energy efficiency, energy use, 

or estimated annual operating cost of a 

covered product or equipment during a 

representative average use cycle or 

period of use, as determined by the 

Secretary of Energy (Secretary), and 

shall not be unduly burdensome to 

conduct. (42 U.S.C. 6314(a)(2)) 

EPCA requires DOE to prescribe test 

procedures for HID lamps within 30 

months of determining that energy 

conservation standards are 

technologically feasible and 

economically justified, and would result 

in significant energy savings. (42 U.S.C. 

6317(a)(1)) DOE published a positive 

final notice of determination 

(determination) regarding HID lamps on 

July 1, 2010, concluding that energy 

conservation standards for certain HID 

lamps are technologically feasible and 

economically justified, and would likely 

result in significant energy savings. 75 

FR 37975. DOE intends to publish any 

final HID lamp test procedures by 

January 1, 2013. 

In today’s NOPR, DOE proposes to 

establish test procedures for HID lamps 

based on industry standards pertaining 

to HID lamp measurements. 

II. Summary of the Notice of Proposed 

Rulemaking 

The proposed test procedures include 

methods to determine lamp power and 

lumen output 1 (lamp efficacy in lumens 

per watt), and would also provide for 

the efficiency measurement of 

directional lamps using center beam 

intensity (in candelas 2) 3 and beam 

angle. The proposed procedures would 

also measure lumen maintenance (i.e., 

the percentage of lamp light output 

relative to initial output, over time) 4 at 

40 percent and 70 percent of rated lamp 

lifetime. CCT and CRI would also be 

measured because DOE may consider 

delineating HID equipment classes 

using these metrics. 

Efficacy of HID lamps is calculated 

based on the measured lumen output 

and the measured input electrical 

power. DOE proposes that the input 

power measurements be performed 

using the measurement methods for 

lamp current and voltage prescribed in 

American National Standards Institute 

(ANSI) C78.389–2006 (C78.389), 

‘‘Electric Lamps—High Intensity 

Discharge—Methods of Measuring 

Characteristics,’’ and the measurement 

method for lumen output prescribed in 

Illuminating Engineering Society of 

North America (IES) LM–51 (LM–51), 

‘‘Approved Method for the Electrical 

and Photometric Measurements of High 

Intensity Discharge Lamps,’’ and the 

measurement method for luminous 

intensity prescribed in ANSI C78.379– 

2006 (C78.379), ‘‘For Electric Lamps— 

Classification of Beam Patterns of 

Reflector Lamps.’’ DOE also proposes 

that lamp current, voltage, and lumen 

output measurements be performed 

while operating the lamp with an 

appropriately rated reference ballast.5

DOE proposes that lumen maintenance 

measurements be performed using the 

measurement methods prescribed in IES 

LM–47 (LM–47), ‘‘IESNA Approved 

Method for Life-Testing of HID Lamps.’’ 

Under DOE’s proposal, CCT and CRI 

would be obtained from 

spectroradiometric measurements of the 

light output in the visible spectrum.6

CCT and CRI would be calculated by 

numerical evaluation of the color 

characteristics as prescribed in 

International Commission on 

Illumination (Commission 

Internationale de l’Eclairage (CIE)) 13.3 

and CIE 15 using spectroradiometric 

measurement data. 

The following industry standards and 

test procedures relevant to this NOPR 

are proposed to be incorporated by 

reference into the HID test procedure at 

10 CFR part 431, subpart Y: 

1. ANSI C78.379–2006, ‘‘For Electric 

Lamps—Classification of Beam Patterns 

of Reflector Lamps’’; 

2. ANSI C78.389–R2009, ‘‘For Electric 

Lamps—High Intensity Discharge— 

Methods of Measuring Characteristics’’ 

(sections 1.0, 2.0, 3.0, and Figure 1); 

3. CIE 13.3–1995 (CIE 13.3), ‘‘Technical 

Report: Method of Measuring and 

Specifying Colour Rendering Properties 

of Light Sources’’; 

4. CIE 15:2004 (CIE 15), ‘‘Technical Report: 

Colorimetry’’; 7

5. IES LM–47–01, ‘‘Approved Method for Life 

Testing of High Intensity Discharge (HID) 

Lamps’’; and 

6. IES LM–51–00, ‘‘Approved Method for the 

Electrical and Photometric 

Measurements of High Intensity 

Discharge Lamps’’ (sections 1.0, 3.2, 9.0, 

10.0, 11.0, and 12.0). 

As discussed in further detail in 

section III.E, DOE has concluded that 

HID lamps (without ballasts) are 

incapable of either standby mode or off 

mode energy use. HID lamps do not 

have additional features besides light 

output and thereby cannot operate in 

standby mode. HID lamps cannot be in 

off mode because there is no condition 

in which the lamp is connected to the 


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8Center beam intensity is the intensity at nadir 

(directly in front of the lamp). Luminous intensity 

is the output in candelas at multiple angles beyond 

nadir and is how beam angle is calculated. 

9 DOE reviewed definitions for directional lamps 

with optical characteristic similar to those of HID 

directional lamps (e.g., incandescent reflector 

lamps) and found that definitions for reflector 

lamps typically focus on the construction of the 

lamp and not the direction in which the light leaves 

the lamp. 10 CFR 430.2 Existing HID lamps that are 

considered directional are offered in various bulb 

shapes (e.g., R40, R111, PAR 20, PAR 30, and PAR 

38), and future lamps may take different nonconforming shapes and forms while providing 

similar light output delivery. Therefore the 

proposed DOE definition is based on the directional 

delivery of light output and not the construction of 

the lamp. The proposed definition of ‘‘directional 

lamp’’ is based on the European Union definition 

(Commission Regulation (EC) No 244/2009, O.J. L 

76, 24 March 2009). 

10 DOE proposes to define ‘‘high-pressure sodium 

lamp’’ based on a comment from the National 

Electrical Manufacturers Association (NEMA) in 

response to the HID lamps notice of proposed 

determination, 75 FR 22031, 22033 (April 27, 2010), 

and discussed in the HID lamps final 

determination, 75 FR 37975, 37977 (July 1, 2010). 

NEMA recommended that DOE adopt the definition 

for ‘‘HPS lamps’’ from ANSI C82.9–1996, 

‘‘American National Standard for High-Intensity 

Discharge and Low-Pressure Sodium Lamps, 

Ballasts and Transformers—Definitions (ANSI 

C82.9).’’ (Docket No. EERE–2006–DET–0112, 

NEMA, No. 0021.1 at p. 3) Under subsection 3.27, 

‘‘Definitions,’’ ANSI C82.9–1996 defines ‘‘HPS 

lamp’’ as ‘‘[a] high-intensity-discharge (HID) lamp 

in which the major portion of the light is produced 

from radiation from sodium vapor operating at a 

partial pressure of about 6.67 × 103 pascals (50 torr) 

or greater.’’ DOE proposes to adopt a similar 

definition. 

main power source (via the ballast) and 

is not in a mode already accounted for 

in either active mode or standby mode. 

Therefore, DOE does not propose 

measurement methods to determine 

energy use in either standby mode or off 

mode for HID lamps. 

III. Discussion 

DOE proposes to require measurement 

of both photometric and electrical 

characteristics of HID lamps to calculate 

HID lamp efficacy. DOE reviewed ANSI 

C78.379, ANSI C78.389, CIE 13.3, CIE 

15, IES LM–47, and IES LM–51 in 

developing the proposed test procedures 

for HID lamps. From these industry test 

procedures, DOE proposes lamp 

selection, test setup, and test conditions 

for HID lamps. 

The proposed photometric 

measurement methods for lamp light 

output (also referred to as luminous 

flux) for omni-directional lamps, 

measured in lumens, and luminous 

intensity for directional lamps, 

measured in candelas,8 are detailed in 

LM–51. CCT and CRI typically are 

derived from spectroradiometric 

measurement of lamp light output. 

Color measurement and calculation of 

CCT are detailed in CIE 15. Calculation 

of CRI is detailed in CIE 13.3. 

The proposed electrical measurement 

methods are provided in ANSI C78.389 

and include line voltage, lamp voltage, 

current (measured in amperes), and 

lamp electrical power input (measured 

in watts). Under ANSI C78.389, 

electrical measurements are to be 

performed when operating the lamp 

with an appropriately rated reference 

ballast that provides specified power, 

voltage, and current required to operate 

the lamp as stated in data sheets 

referenced by ANSI C78.389. The 

reference ballast itself is to be operated 

from a power supply with specified 

voltage and impedance requirements. 

Reference ballast and power supply 

specifications, set forth in the standards 

referenced by ANSI C78.389, are 

intended to provide a level of power 

quality that enables repeatable and 

consistent electrical measurements. 

DOE further proposes that, prior to 

any measurement, lamps be stabilized 

by the methods specified for each lamp 

type in ANSI C78.389, section 3.7. A 

lamp is considered to be stabilized 

when successive electrical characteristic 

measurements remain within a given 

percentage range over a given period of 

time. There is some variation in the 

ANSI measurement procedure to 

determine lamp stabilization proposed 

for the three types of HID lamps— 

mercury vapor (MV), high-pressure 

sodium (HPS), and metal halide (MH). 

For MV lamps, electrical characteristic 

measurement values must remain 

within 1 percent of each other for three 

consecutive measurements over a 15 

minute period. For HPS lamps, 

electrical characteristic measurement 

values must also remain within 1 

percent of each other for three 

consecutive measurements spaced 10– 

15 minutes apart. For MH lamps, 

electrical characteristic measurement 

values may vary up to 3 percent of each 

other for three consecutive 

measurements spaced 10–15 minutes 

apart. 

In accordance with the stabilization 

methods in ANSI C78.389, DOE 

specifies a lamp aging time and burning 

position, as described in section III.D. 

DOE further proposes that all test 

measurements be performed at an 

ambient temperature of 25 °C ± 5 °C 

with an interior air speed rate of less 

than or equal to 0.5 meters/second. 

The following sections set forth 

proposed definitions for the HID test 

procedure, detailed discussion of the 

proposed test method, and proposed 

laboratory accreditation requirements. 

A. Definitions 

In today’s proposed rule, DOE 

proposes definitions for the following 

terms based on the EPCA definitions of 

these terms: ‘‘ballast’’ (42 U.S.C. 

6291(58)), ‘‘color rendering index’’ (42 

U.S.C. 6291(30)(J)), ‘‘correlated color 

temperature’’ (42 U.S.C. 6291(30)(K)), 

‘‘high-intensity discharge lamp’’ (42 

U.S.C. 6291(46)), ‘‘mercury vapor lamp’’ 

(42 U.S.C. 6291(47)(A)), and ‘‘metal 

halide lamp’’ (42 U.S.C. 6291(63)). 

As explained in section III.A.1, DOE 

also proposes to adopt definitions of 

‘‘beam angle,’’ ‘‘directional lamp,’’ 

‘‘high-pressure sodium lamp,’’ ‘‘lamp 

electrical power input,’’ ‘‘lamp 

wattage,’’ ‘‘lumen maintenance,’’ ‘‘rated 

luminous flux or rated lumen output,’’ 

and ‘‘self-ballasted lamp.’’ Many of the 

proposed definitions are identical or 

very similar to the definitions set forth 

in 10 CFR part 430 for consumer 

products. As discussed in section 

III.A.2, DOE also proposes to amend the 

definition of ‘‘ballast efficiency.’’ As 

discussed in III.A.3, DOE proposes a 

definition of ‘‘basic model’’ for HID 

lamps. 

1. Definitions Relevant to High-Intensity 

Discharge Lamps 

In this NOPR, DOE proposes to define 

the following terms: ‘‘beam angle,’’ 

‘‘directional lamp,’’ ‘‘high-pressure 

sodium lamp,’’ ‘‘lamp efficacy,’’ ‘‘lamp 

electrical power input,’’ ‘‘lamp 

wattage,’’ ‘‘lumen maintenance,’’ ‘‘rated 

luminous flux or rated lumen output,’’ 

and ‘‘self-ballasted lamp.’’ 

DOE proposes to define ‘‘beam angle’’ 

as follows: ‘‘ ‘Beam angle’ means the 

beam angle (or angles) as measured 

according to the requirements of ANSI 

C78.379, including complex beam 

angles as described in ANSI C78.379.’’ 

DOE proposes to define ‘‘directional 

lamp’’ as follows: ‘‘ ‘Directional lamp’ 

means a lamp emitting at least 80 

percent of its light output within a solid 

angle of p steradians (corresponding to 

a cone with an angle of 120 degrees).’’ 9

DOE proposes to define ‘‘highpressure sodium lamp’’ as follows: 

‘‘ ‘High-pressure sodium (HPS) lamp’ 

means a high-intensity discharge lamp 

in which the major portion of the light 

is produced by radiation from sodium 

vapor operating at a partial pressure of 

about 6,670 pascals (approximately 

0.066 atmospheres or 50 torr) or 

greater.’’ By including pressure 

equivalents in both atmospheres and 

torr, DOE’s proposed definition would 

harmonize with the existing statutory 

definition of ‘‘mercury vapor lamp,’’ 

which includes both units of pressure 

(pascals and atmospheres). (42 U.S.C. 

6291(47)(A)) 10

DOE proposes to adopt a definition 

for ‘‘lamp efficacy’’ similar to that set 


pmangrum on DSK3VPTVN1PROD with PROPOSALS-1
77918 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules 

11 10 CFR 430.2 defines lamp efficacy as ‘‘the 

measured lumen output of a lamp in lumens 

divided by the measured lamp electrical power 

input in watts expressed in units of lumens per watt 

(LPW).’’ 10 CFR part 430, subpart B, appendix R 

defines it as ‘‘the ratio of measured lamp lumen 

output in lumens to the measured lamp electrical 

power input in watts, rounded to the nearest tenth, 

in units of lumens per watt.’’ The primary 

difference between the definitions is the rounding 

of the values. 

12 DOE notes that EPCA defines ‘‘lamp efficacy’’ 

to mean the lumen output of a lamp divided by its 

wattage, expressed in lumens per watt. This 

proposed definition interprets the EPCA definition 

for this rulemaking. 

13The EPCA definition for ‘‘lamp wattage’’ is ‘‘the 

total electrical power consumed by a lamp in watts, 

after the initial seasoning period referenced in the 

appropriate IES standard test procedure and 

including, for fluorescent, arc watts plus cathode 

watts.’’ This proposed definition interprets the 

EPCA definition for this rulemaking. 

14Luminous flux is the numerator in the lamp 

efficacy equation. 

15Self-ballasted lamps have different 

characteristics from lamps that work with an 

external ballast. This definition is required to 

distinguish this lamp type. 

16EPCA provides a similar definition for the 

ballast efficiency of an HID ballast and authorizes 

DOE to modify the definition as necessary or 

appropriate to carry out the purposes of EPCA. (42 

U.S.C. 6291(59)) DOE proposes the amended 

definition for HID fixtures in accordance with this 

provision of EPCA because the proposed definition 

would eliminate ambiguity in the terms used to 

measure energy efficiency for HID fixtures. 

forth at 10 CFR part 430, subpart B, 

appendix R,11 where DOE defines ‘‘lamp 

efficacy’’ as ‘‘the ratio of measured lamp 

lumen output in lumens to the 

measured lamp electrical power input 

in watts, rounded to the nearest tenth, 

in units of lumens per watt.’’ DOE 

proposes in this rulemaking to replace 

‘‘lamp lumen output’’ with ‘‘rated 

luminous flux or rated lumen output’’ 

and to add the abbreviation ‘‘lm/W’’ 

after ‘‘lumens per watt.’’ The term 

‘‘rated luminous flux or rated lumen 

output’’ is consistent with DOE’s 

proposed definition for ‘‘lumen 

maintenance,’’ and means the same 

thing as ‘‘lamp lumen output.’’ 

Therefore, DOE proposes to define 

‘‘lamp efficacy’’ as follows: ‘‘ ‘Lamp 

efficacy’ means the ratio of rated lumen 

output (or rated luminous flux) to the 

measured lamp electrical power input 

in watts, rounded to the nearest tenth, 

in units of lumens per watt (lm/W).’’ 12

DOE proposes to define ‘‘lamp 

electrical power input’’ as follows: 

‘‘ ‘Lamp electrical power input’ means 

the total electrical power input to the 

lamp, including both arc and cathode 

power where appropriate, at the 

reference condition, in units of watts.’’ 

This definition is the same as that set 

forth at 10 CFR part 430, subpart B, 

appendix R. 

DOE proposes the following 

definition for ‘‘lamp wattage’’ in this 

rulemaking: ‘‘ ‘Lamp wattage’ means the 

total electrical power required by a lamp 

in watts, measured following the initial 

aging period referenced in the relevant 

industry standard.’’ (42 U.S.C. 

6291(30)(O)) 13

DOE proposes a definition for ‘‘lumen 

maintenance’’ as follows: ‘‘ ‘Lumen 

maintenance’ means the luminous flux 

or lumen output at a given time in the 

life of the lamp and expressed as a 

percentage of the rated luminous flux or 

rated lumen output, respectively.’’ This 

definition is the same as that set forth 

at 10 CFR part 430, subpart B, appendix 

W, section (2)(c). 

DOE proposes a definition for ‘‘rated 

luminous flux or rated lumen output’’ as 

follows: ‘‘ ‘Rated luminous flux or rated 

lumen output’ means the initial lumen 

rating (100 hour) declared by the 

manufacturer, which consists of the 

lumen rating of a lamp at the end of 100 

hours of operation.’’ 14 This is the same 

definition as is set forth at 10 CFR part 

430, subpart B, appendix W, section 

(2)(d). 

DOE proposes to define ‘‘selfballasted lamp’’ 15 based on the 

definition for ‘‘self-ballasted CFL lamp’’ 

found in 10 CFR 430 subpart B, 

appendix W, section (2)(h), as follows: 

‘‘ ‘Self-ballasted lamp’ means a lamp 

unit that incorporates all elements that 

are necessary for the starting and stable 

operation of the lamp in a permanent 

enclosure, and that does not include any 

replaceable or interchangeable parts.’’ 

2. Definition of ‘‘Ballast Efficiency’’ for 

Metal Halide Lamp Fixtures 

DOE proposes an amended definition 

of ‘‘ballast efficiency’’ for metal halide 

lamp fixtures, currently set forth at 10 

CFR 431.322, to correspond to the 

definitions proposed in section III.B.1. 

Currently, ‘‘ballast efficiency’’ for a 

high-intensity discharge fixture means, 

in relevant part, the efficiency of a lamp 

and ballast combination, expressed as a 

percentage, and calculated in 

accordance with the following formula: 

Efficiency = Pout/Pin where: 

(1) Pout equals the measured operating lamp 

wattage; 

(2) Pin equals the measured operating input 

wattage;’’ 

10 CFR 431.322 16

The meaning of the term ‘‘Pout’’ as 

currently defined for ballast efficiency is 

the same as DOE is proposing for ‘‘lamp 

electrical power input.’’ To avoid 

confusion where ‘‘Pout’’ refers to the 

lamp wattage when testing a ballast for 

HID fixtures, and ‘‘lamp electrical 

power input’’ refers to lamp wattage 

when testing a HID lamp, DOE proposes 

to amend the definition of ‘‘ballast 

efficiency’’ as follows: ‘‘ ‘Ballast 

efficiency’ means, in the case of a highintensity discharge fixture, the 

efficiency of a lamp and ballast 

combination, expressed as a percentage, 

and calculated in accordance with the 

following formula: Efficiency = Lamp 

electrical power input/Ballast power 

input where: 

(1) Lamp electrical power input 

means the total electrical power input to 

the lamp, including both arc and 

cathode power where appropriate, at the 

reference condition, units of watts; 

(2) Ballast power input equals the 

measured operating input wattage; 

(3) The lamp, and the capacitor when 

the capacitor is provided, shall 

constitute a nominal system in 

accordance with the ANSI C78.43 

(incorporated by reference; see 

§ 431.323); 

(4) For ballasts with a frequency of 60 

Hz, ballast power input and lamp 

electrical power input shall be 

measured after lamps have been 

stabilized according to section 4.4 of 

ANSI C82.6 (incorporated by reference; 

see § 431.323) using a wattmeter with 

accuracy specified in section 4.5 of 

ANSI C82.6; and 

(5) For ballasts with a frequency 

greater than 60 Hz, ballast power input 

and lamp electrical power input shall 

have a basic accuracy of ±0.5 percent at 

the higher of either 3 times the output 

operating frequency of the ballast or 2.4 

kHz.’’ 

3. Definition of ‘‘Basic Model’’ for HighIntensity Discharge Lamps 

DOE also proposes a definition of 

‘‘basic model’’ for the HID lamp test 

procedures. DOE provides extensive 

discussion of the concept of ‘‘basic 

model’’ in the 2010 NOPR for 

certification, compliance, and 

enforcement. 75 FR 56796, 56798–99 

(Sept. 16, 2010). 

DOE proposes to define ‘‘basic 

model’’ for HID lamps as follows: 

‘‘ ‘Basic model’ with respect to HID 

lamps means all units of a given type of 

covered equipment (or class thereof) 

manufactured by one manufacturer, 

having the same primary energy source 

and which have essentially identical 

electrical, physical, and functional (or 

hydraulic) characteristics that affect 

energy consumption, energy efficiency, 

water consumption, or water efficiency, 

and are rated to operate a given lamp 

type and wattage.’’ 

DOE invites comment on the 

definitions set forth in this section. 


pmangrum on DSK3VPTVN1PROD with PROPOSALS-1
Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules 77919 

17MH (metal halide) is one of the three types of 

HID lamps. 

18A notation in this form provides a reference for 

information that is in the docket of DOE’s 

rulemaking to develop test procedures for metal 

halide lamp ballasts (Docket No. EERE–2008–BT– 

TP–0017), which is maintained at http:// 

www.regulations.gov. This notation indicates that 

the statement preceding the reference is document 

number 0013 in the docket for the metal halide 

lamp ballasts test procedures rulemaking, and 

appears at page 13 of that document. 

19RMS—is the root-mean-square and comes from 

a mathematical formula that calculates the 

‘‘effective’’ value of any alternating current wave 

shape. ‘‘True’’ means that the RMS is calculated to 

the formula where ‘‘average responding’’ use 

scaling function to calculate the value. ‘‘True’’ is 

the more accurate type. 

B. Test Procedure for Measuring Energy 

Efficiency of High-Intensity Discharge 

Lamps 

1. Test Setup and Conditions 

The proposed test procedures adopt 

the methods and safety precautions set 

forth in ANSI C78.389 and LM–51 to 

obtain consistent and reproducible 

measurements of the electrical and 

photometric characteristics of HID 

lamps. In particular, the lamps being 

tested are to be operated at the specified 

conditions (i.e., tested at a given 

temperature and air speed), with the 

appropriate power supply 

characteristics, the lamps operating on 

the reference circuit before 

measurements are taken, and the 

appropriate instrumentation. Each of 

these factors is described in the 

following discussion. Lamp stabilization 

and aging are discussed in section 

III.B.2, Lamp Selection and Setup. 

As stated previously, photometric 

characteristics proposed to be measured 

are total luminous flux (lumens), 

luminous intensity (candelas), CCT, and 

CRI. Lamp electrical characteristics 

proposed to be measured are those 

required to calculate lamp efficacy 

during normal operation (e.g., line 

voltage, lamp voltage, input current, and 

lamp electrical power input). All 

measured quantities are proposed to be 

obtained using an appropriately rated 

reference ballast or power source whose 

characteristics are within the required 

specifications listed in section III.B.1.c. 

The test equipment required to conduct 

all the test procedures’ electric and 

photometric measurements is proposed 

to be calibrated and meet the required 

performance specifications in ANSI 

C78.389 and LM–51. 

a. Ambient Conditions 

The test apparatus must be operated 

in a location where ambient conditions 

(e.g., ambient temperature and air 

speed) are stable, in accordance with the 

specifications listed as follows. 

i. Ambient Test Temperature 

DOE proposes an ambient 

temperature requirement of 25 °C ± 5 °C 

for HID lamp testing in accordance with 

ANSI C78.389. This is the industry 

standard temperature for testing most 

ballasted and non-ballasted light 

sources (both HID and other types of 

sources). It is also the temperature 

required by the MH lamp ballast 17 test 

procedures final rule. 75 FR 10950, 

10956 (March 9, 2010). Although HID 

lamps are not as sensitive as other 

lamps to temperature, temperature still 

affects their performance such that it 

could affect test results. A specific, 

standardized, temperature allows for the 

use of relative photometry for light 

fixtures. Thus, an ambient temperature 

requirement of 25 °C ± 5 °C is followed 

in industry standards and practices for 

HID lamps. DOE invites comment on the 

proposed ambient temperature 

requirement. 

ii. Air Speed 

DOE proposes an air speed limit of 

≤ 0.5 meters per second (m/s) for HID 

lamp testing because, as detailed in the 

following, higher air speeds affect 

photometric and electrical data 

measurements. Although LM–51, 

section 2.3, states that special 

precautions against normal room air 

movements are unnecessary, ANSI 

C78.389, section 3.3, states that ambient 

conditions shall be draft-free (but 

provides no definition of the term 

‘‘draft-free’’). During the public meeting 

for the MH lamp ballast test procedures 

NOPR, the National Electrical 

Manufacturers Association (NEMA) 

requested a definition of ‘‘draft-free.’’ 

(Docket No. EERE–2008–BT–TP–0017, 

NEMA, No. 0013 at p. 13) 18 Following 

the public meeting and comment 

period, DOE received a comment from 

NEMA requesting that DOE either 

define ‘‘draft-free’’ or remove it from the 

MH lamp ballast test procedures. 

(Docket No. EERE–2008–BT–TP–0017, 

NEMA, No. 0024 at p. 3) In preparing 

the MH lamp ballast test procedures 

final rule, DOE reviewed industry test 

procedures for the topic of air speed. 

(Various documents use different terms; 

therefore, DOE also specifically 

reviewed the terms ‘‘airflow’’ and ‘‘air 

movement.’’) 75 FR at 10956 (March 9, 

2010). DOE found that air speed 

requirements varied, with some 

industry test procedures using nonquantitative terms such as ‘‘still air’’ or 

‘‘draft free.’’ This proposed HID lamps 

air speed requirement is the same as the 

MH lamp ballast testing requirement. 

DOE’s view is that specifying a 

maximum air speed requirement as part 

of the test conditions acknowledges 

industry practices intended to minimize 

forced convection cooling that could 

affect measured photometric and 

electrical data. Thus, DOE proposes to 

adopt for HID lamp testing the air speed 

limit of ≤ 0.5 m/s used for testing MH 

lamp ballasts (75 FR at 10957 (March 9, 

2010)) and invites comment on this 

proposed requirement. 

b. Power Supply Characteristics 

DOE proposes power supply 

characteristics for HID lamps test 

procedures based on ANSI C78.389 and 

LM–51, as follows. 

i. Voltage Waveshape 

DOE proposes to adopt the waveshape 

requirements set forth in ANSI C78.389 

for HID lamp testing. DOE proposes that 

any lamp being tested be operated with 

a sinusoidal voltage supply waveshape 

as recommended by ANSI C78.389, 

section 3.2, which states that the 

waveshape of the power supply shall 

have a root-mean-square (RMS) 19

summation of the harmonic components 

that remains below 3 percent of the 

fundamental frequency (i.e., the lowest 

frequency of the waveform). DOE invites 

comment on these proposed voltage 

waveshape requirements. 

ii. Voltage Regulation 

DOE proposes to adopt the voltage 

regulation requirements set forth in LM– 

51, section 3.2, for HID lamp testing, 

which states that the voltage regulation 

shall be within ± 0.1 percent. DOE also 

considered ANSI C78.389, section 3.2, 

which states that the power supply 

voltage should be regulated such that it 

will be steady and free of sudden 

changes (e.g., noise, line transients) and 

shall be regulated to within ± 0.5 

percent of the reference ballast voltage 

rating. ANSI C78.389, section 3.2, also 

notes that if automatic voltage 

regulation is not provided, constant 

checking and readjustments of the 

supply will be necessary for accurate 

lamp test measurements. DOE proposes 

to use the LM–51 requirement for 

voltage regulation, however, to 

minimize variations in electrical and 

photometric measurements and provide 

more consistent test measurements. 

DOE proposes that voltage regulation be 

within ± 0.1 percent of the reference 

ballast voltage rating. DOE invites 

comment on the voltage requirements 

proposed. 

iii. Power Supply Impedance 

For HID lamp testing, DOE proposes 

to adopt the power supply impedance 


pmangrum on DSK3VPTVN1PROD with PROPOSALS-1
77920 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules 

20ANSI C78.389 states that measuring lamp 

characteristics using ballasts other than reference 

ballasts produces results that are not consistent 

with these test procedures and are only valid for the 

ballast and circuit used to obtain the results. 

21The 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. 

measurement method and impedance 

limit specified in ANSI C78.389, section 

3.2, which requires that power supply 

impedance remain at or below 2 percent 

of the reference ballast impedance, 

measured at the point where the 

reference ballast and lamp are 

connected. This method requires that 

variable autotransformers or other 

voltage transformation devices have 

kilovolt-ampere ratings of at least five 

times the lamp wattage. DOE invites 

comment on this proposed power 

supply impedance measurement 

method and impedance limit. 

c. Reference Ballasts 

DOE proposes to adopt the reference 

ballast requirements of ANSI C78.389 

for HID lamp testing. For HID lamp 

measurements (electrical and 

photometric), ANSI C78.389, section 

3.4, requires that tested lamps be 

operated with (1) An appropriately rated 

reference ballast or (2) a reference 

ballast with variable impedance that can 

be set to match the impedance and 

electrical requirements for each lamp 

type to be tested. ANSI C78.389 states 

that the reference ballast should have 

the impedance and the electrical 

characteristics required by the lamp 

being tested to prevent the measured 

characteristics from differing from those 

stated by the lamp manufacturer. DOE 

notes that a ballast with different 

electrical characteristics, regardless of 

its impedance, can materially alter the 

measured electrical characteristics of 

the lamp.20 If electrical readings are to 

be taken on a lamp for which no ANSI 

standard exists, DOE proposes that the 

HID reference ballast have impedance 

appropriate for the lamp as specified in 

the standards incorporated by reference 

in ANSI C78.389. 

DOE has determined that reference 

ballasts are readily available, based on 

review of industry literature, 

communication with independent 

testing laboratories, and communication 

with industry, and that their use is 

likely to provide repeatable and 

consistent measurements. DOE invites 

comment on its proposed reference 

ballast requirements based on ANSI 

C78.389. 

d. Instrumentation 

DOE proposes to adopt the electrical 

and photometric instrumentation 

requirements of ANSI C78.389 and LM– 

51, respectively, for its HID lamp test 

procedures. The instruments proposed 

here for electrical measurements are 

described in ANSI C78.389, section 3.8. 

The instruments proposed here for 

photometric instruments are described 

in LM–51, section 9.0. These 

instrumentation requirements for 

electrical and photometric 

measurements are detailed in the 

following sections. 

i. Instrumentation Required for 

Electrical Measurement 

DOE proposes that instruments used 

for electrical measurements be accurate 

to better than 0.75 percent over a 

frequency range of 40 to 1000 Hz, with 

calibration capability (e.g., scale 

calibration). These accuracy and range 

requirements are the same as the 

industry requirement in ANSI C78.389, 

section 3.8.1. 

DOE also proposes that instrument 

impedance be high compared to the 

load impedance (high impedance is 

typically in the megaohm range) for 

voltage measurements, and low 

compared to the load impedance (low 

impedance is typically in the milliohm 

range) for current measurements to 

reduce the effects of the measurement 

instrumentation in the circuit. 

Specifically, for lamp current 

measurements, instruments connected 

in series with the HID lamp being tested 

would have an impedance such that the 

voltage drop remains at or below 2 

percent (1 percent for HPS lamps) of the 

rated lamp voltage under the proposal, 

unless the instrument impedance has 

already been included as part of the 

reference ballast impedance. If 

corrections for the presence of 

instrumentation in the circuit are to be 

avoided, the voltage drop shall be at or 

below 0.75 percent (0.50 percent for 

HPS lamps) of the rated lamp voltage. 

For lamp voltage measurements, 

instruments connected in parallel with 

the lamp being tested are proposed to 

not draw more than 1 percent of the 

rated lamp current. If the correction due 

to the presence of such instruments is 

to be avoided, then the current draw is 

proposed to be limited to 0.5 percent of 

the rated lamp current. These proposals 

are consistent with section 3.8.2 of 

ANSI C78.389. 

DOE proposes that instruments 

selected for HID lamp voltage and 

current measurement be of the true RMS 

type and have a specified accuracy and 

frequency response adequate to meet the 

specified uncertainty requirements (i.e., 

±0.5 percent for voltage and current and 

±0.75 percent for wattage). 

ii. Instrumentation for Photometric 

Measurement 

DOE proposes that the photometer 

have a relative spectral responsivity that 

approximates that of the human eye 

(i.e., the V-lambda (V(l)) function). DOE 

accepts use of either an integrating 

sphere or a goniophotometer for such 

measurements. DOE proposes that 

photometric measurements of color 

characteristics be specified in terms of 

the CIE colorimetry system and CRI. 

LM–51 provides further details 

regarding photometric measurements as 

well as colorimetry and CRI. 

In the case of integrating sphere 

measurements, the spectral responsivity 

would be measured taking into account 

the relative spectral throughput of the 

sphere and detector spectral 

responsivity.21 The detector used in an 

integrating sphere measurement must 

have a wide field of view 

(approximating a cosine response) to 

maximize the sampled area of the 

sphere wall during measurement. If a 

diffuser is used on the detector, its 

surface would need to be mounted flush 

with the sphere wall. 

An integrating sphere for luminous 

flux measurements must be large 

enough to allow the sphere’s interior 

ambient temperature to reach thermal 

equilibrium at the specified ambient 

temperature and to permit the internal 

baffle(s) to be small relative to the size 

of the integrating sphere. 

For measurements using a 

goniophotometer, DOE proposes that the 

detector required for intensity 

distribution measurements have a 

cosine response. This proposed 

requirement is particularly important 

for those cases in which the calibration 

source subtends a smaller viewing angle 

than the test source. The intensity 

distribution around a lamp would be 

determined with a photometer at a 

recommended minimum distance of five 

times the longest dimension of the 

lamp. The axis of rotation used to vary 

the angle between the lamp and the 

detector is to preserve the lamp 

orientation relative to the detector to 

provide measurement consistency and 

repeatability. 

These proposals are consistent with 

LM–51–00. DOE invites comment on 

these proposed requirements for 

instrumentation. 


pmangrum on DSK3VPTVN1PROD with PROPOSALS-1
Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules 77921 

22 DOE is currently amending the GSFL/GSIL/IRL 

test procedures. 76 FR 566661 (Sept. 14, 2011). 

23A 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. 

24The characteristic value represents the 

individual observations within a sample. 

25For 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. 

2. Lamp Selection and Setup 

a. Basic Model 

For HID lamp testing, DOE proposes 

that the energy efficiency characteristics 

of each basic model be determined 

using these test procedures. As 

discussed in section III.A.2, a ‘‘basic 

model’’ is a group of lamp models that 

are essentially identical in design and 

performance. The rated performance 

characteristics proposed to be measured 

(i.e., lumen output, CCT, and CRI) 

should be similar for all of the lamps 

represented by a basic model. 

b. Sampling Plans 

For HID lamp testing, DOE proposes 

a lamp sampling method similar to that 

used for general service fluorescent 

lamps, incandescent reflector lamps, 

and general service incandescent lamps 

(GSFL/GSIL/IRL).22 10 CFR 

430.27(a)(2)(i)–(ii) 

DOE proposes to adopt the lamp 

sampling method from 10 CFR 429.27 

for HID lamp testing as follows: 

For each basic model of HID lamps, 

samples of production lamps from a 

minimum sample size of 21 lamps are 

to be tested, and the results for all 

samples are to be averaged over a 

consecutive 12-month period. The 

manufacturer is to randomly select a 

minimum of three lamps from each 

month of production for a minimum of 

7 months out of the 12-month period. If 

production occurs during fewer than 7 

of such 12 months, the manufacturer is 

to randomly select three or more lamps 

from each month of production, and the 

number of lamps selected for each 

month is to be distributed as evenly as 

practicable among the months of 

production to obtain a minimum sample 

of 21 lamps. Due to inherent uncertainty 

in any sample measurement, the 

confidence limit is set to 95 percent 

based on the sample’s statistical t-test.23

Any represented characteristic value of 

a basic model is to be based on this 

sample and this characteristic value is 

to be no greater than the lower of: 

(A) The mean of the sample, where: 

and X ̄ is the sample mean of the 

characteristic value,24

n is the number of samples, and 

xi is the ith sample; 

Or, 

(B) The lower 95 percent confidence 

limit (LCL) of the characteristic value 

true mean divided by 0.97, where: 

and X ̄ is the sample mean of the 

characteristic value, 

s is the sample standard deviation, 

n is the number of samples, and 

t0.95 is the t statistic for a 95-percent onetailed confidence interval with n-1 

degrees of freedom (from statistical 

tables). 

In determining the proposed sampling 

plan requirements, DOE reviewed 

sample size requirements for voluntary 

programs for HID lamps (ENERGY 

STAR®), European testing requirements, 

and sample size requirements for other 

lighting technologies. 

ENERGY STAR luminaires (i.e., light 

fixtures) specification includes testing 

requirements for luminaires using HID 

lamps. Metal halide (quartz and 

ceramic) and HPS lamps are the only 

HID lamps allowed for ENERGY STARqualified luminaires. ENERGY STAR 

lamp-ballast efficacy testing requires a 

minimum sample of three lamp-ballast 

combinations. The remaining ENERGY 

STAR criteria (CCT, CRI, and lumen 

maintenance) require a minimum 10 

samples of each lamp model be tested. 

In 2009, Commission Regulation (EC) 

No 245 was published in the Official 

Journal of the European Union. This 

document included both energy 

efficiency standards and testing 

requirements for fluorescent and HID 

lamps. Annex IV of the document 

defines the sample size for all lamps as 

a total of 20 lamps of the same model 

and from the same manufacturer, 

randomly selected. 

DOE also surveyed testing 

requirements for non-HID light sources. 

In 2011, the IES published TM–21–11, 

which provides the methodology for the 

lumen maintenance of light-emitting 

diode (LED) sources and requires a 

sample size of 20 LEDs. Covered 

lighting products and equipment where 

non-power values are being measured 

(e.g., lumens, CCT, CRI, lumen 

maintenance) typically have sample 

sizes of 21 including general service 

fluorescent, general service 

incandescent, and incandescent 

reflector lamps (10 CFR 429.27) and 

candelabra base incandescent lamps and 

intermediate base incandescent lamps 

(10 CFR 429.40). Bared or covered (no 

reflector) medium base compact 

fluorescent lamps (CFLs), however, have 

sample sizes that vary with the value 

being measured. Only 5 lamps are 

needed for efficacy or lumen 

maintenance, 6 unique (and not 

previously tested) lamps are required for 

rapid cycle stress testing, and a 

minimum of 10 units are required for 

life testing for these CFLs. 

Based on its review of sample size 

requirements, DOE proposes to use a 

sample size of 21 for HID lamps. This 

is the same requirement as GSFL/GSIL/ 

IRL, and is similar to the European 

Union’s requirement of 20 samples. An 

odd number of lamps is required to 

establish a majority of surviving or 

failed lamps for life testing, whereas an 

even number could produce a 50–50 

split. Although lamp life is not a metric 

required in these proposed test 

procedures, manufacturers will likely 

use the same set of lamps for life testing 

as they do for the lumen maintenance 

testing. The sample size of 21 addresses 

the variability in lamp production, and 

the 95 percent confidence limit 

minimizes the tolerances in the testing 

instrumentation. 

In summary, DOE proposes to base 

the sampling method for HID lamp 

testing on the method set forth in 10 

CFR 429.27. For each basic model of 

HID lamp, DOE proposes that the same 

samples be used for measuring color 

characteristics as were used for 

luminous output (i.e., lumens and 

candelas (where required)) and power. 

The sampling method for HID lamps 

would be set forth as a new section in 

10 CFR part 429. DOE invites comment 

on the accuracy and applicability of the 

proposed sampling method, and 

whether an alternative sampling method 

would be more appropriate for HID 

lamps. 

c. Lamp Aging and Stabilization 

For HID lamp testing, DOE proposes 

a lamp aging method based on ANSI 

C78.389, section 3.7, to ensure stable 

photometric, color, and electrical 

characteristics of the lamp being tested. 

Aging is performed once, for 100 hours, 

on every lamp before stabilization and 

testing. ANSI C78.389, section 3.7, 

requires that, during the aging period, 

the lamp be operated in the same 

orientation in which it will be used.25

DOE invites comment on the proposed 

lamp aging method for HID lamp 

testing. Standard lamp orientation 


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26Lamp orientation is designated in the lamp 

designation (catalog code) and included in 

manufacturer catalogs, specification sheets, and the 

packaging. 

(burning position) would be base up 

unless otherwise designated by the 

manufacturer.26

Lamps being tested for lumen 

maintenance are proposed to be 

operated with an appropriately rated 

ballast as described in section III.B.1.c, 

or power source under specified normal 

operating conditions, defined in the 

following sections, and be operated in 

the same orientation used for the test 

procedures. 

DOE also proposes a lamp 

stabilization method based on ANSI 

C78.389, section 3.7. Under this 

proposal, after its one-time aging period, 

a lamp being tested should achieve 

stable operation prior to any 

measurements. DOE included metal 

halide lamp operational stability in the 

MH lamp ballast test procedures final 

rule, determining operational stability 

for tested ballasts based on three 

consecutive measurements of lamp 

power, 5 minutes apart, in which the 

three measurements had to remain 

within 2.5 percent tolerance. 75 FR at 

10958 (March 9, 2010). As detailed in 

ANSI C78.389, section 3.7, HID lamp 

stabilization requirements vary with 

lamp type. Table III.1 lists the lamp 

warm-up, stabilization, and restabilization requirements for MV, HPS, 

and MH lamps under ANSI C78.289. For 

example, MV lamps require a 15 to 20 

minute warm-up period, with stable 

operation indicated by three 

consecutive measurements of the lamp’s 

electrical characteristics over a 15 

minute period that vary by 1 percent or 

less. 

TABLE III.1—ANSI C78.389 HID LAMP WARM-UP AND STABILIZATION CRITERIA

Lamp type Lamp warm-up time Stabilization criteria 

MV ................................. 15–20 mins ......................................................................... 3 successive measurements (voltage and current). 

5 minute measurement intervals. 

Change in value < 1.0%. 

HPS ............................... 1 hour .................................................................................. 3 successive measurements (voltage and current). 

10–15 minute measurement intervals. 

Change in value < 1.0%. 

MH ................................ 6 hours operated within ±10% rated wattage ..................... 3 successive measurements (voltage and current). 

10–15 minute measurement intervals. 

Change in value < 3.0%. 

For HID lamp testing, DOE proposes 

to adopt the more detailed lamp-specific 

stabilization requirements of ANSI 

C78.389, section 3.7, as shown in Table 

III.1. DOE invites comment on these 

proposed requirements, as well as any 

appropriate alternative lamp 

stabilization procedures. 

d. Lamp/Circuit Transfer 

DOE proposes to adopt the lamp 

transfer and re-stabilization methods of 

ANSI C78.389, section 3.7, for HID lamp 

testing. HID lamps are very sensitive to 

movement once they are warmed up 

and stabilized. Therefore, any 

significant movement or disturbance 

could destabilize the lamp operation, 

altering its output or electrical 

characteristics and requiring the lamp to 

be re-stabilized prior to testing. The restabilization time varies by lamp type, 

whether the lamp arc has been 

extinguished, and whether lamp 

orientation has changed. Lamps are 

often ‘‘pre-burned’’ on a different ballast 

than that used for final electrical and 

photometric testing, which requires 

moving and re-stabilizing the lamp 

before final testing can begin. 

The lamp cool down and transfer 

requirements of ANSI C78.389, section 

3.7, are shown in Table III.2. The 

requirements vary by HID lamp type 

and with the specifics of the lamp 

movement. Under ANSI requirements, 

MH lamps that will be physically 

relocated without a change in 

orientation must be allowed to cool to 

60 °C before moving and then be 

warmed up for 30 minutes in the new 

location before stabilization 

measurements may begin. If its 

orientation changes, the MH lamp is to 

be operated for 6 hours in the final 

testing orientation before stabilization 

measurements may be taken. HPS lamps 

require a cooling period of at least 1 

hour before the lamps may be moved 

and restarted prior to stabilization 

measurements. MV lamps do not require 

cooling, but must be warmed up before 

stabilization measurements may be 

taken after the lamps are moved. 

Alternatively, LM–51, section 6.2, 

states that stabilization may be 

minimized by switching the lamp 

between ballasts without extinguishing 

the arc. Less warm-up time is required 

if the two ballasts being switched are 

electrically equivalent; otherwise, an 

additional warm-up period of 5 to 10 

minutes may be required. According to 

LM–51, section 6.2, some HID lamps 

may require a brief cooling period 

before testing may be restarted, in which 

case another 10 to 30 minutes of warmup time may be required before 

stabilization measurements may be 

taken. LM–51 does not specifically give 

guidance regarding the cooling 

requirements, whereas ANSI C78.389 

gives specific requirements (e.g., time or 

temperature) for cooling. LM–51 also 

generalizes re-stabilization, whereas 

ANSI C78.389 provides specific 

guidance for re-stabilization 

requirements for each of the HID lamp 

types. Therefore, given the sensitivity to 

movement of certain types of HID 

lamps, DOE has opted for the ANSI 

C78.389 re-stabilization requirements. 

TABLE III.2—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 before relocating.Not in standard, Reconfirm stabilized operations upon transfer/restrike. 


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27U.S. Department of Energy—Office of Energy 

Efficiency and Renewable Energy. Energy 

Conservation Program for Commercial and 

Industrial Equipment: Technical Support 

Document: High-Intensity Discharge Lamps 

Analysis of Potential Energy Savings Final 

Determination. June 2010. Washington, DC 

www1.eere.energy.gov/buildings/ 

appliance_standards/commercial/pdfs/ 

hid_nod_tsd_ch3_ta_07_01_2010.pdf. 

TABLE III.2—ANSI C78.389 HID LAMP COOL DOWN AND RE-STABILIZATION REQUIREMENTS—Continued 

Lamp type Cooling requirement Re-stabilization time 

MH .......................... Cool to below 60 °C if relocating .......... No relocation no reorientation—30 minutes, Relocation with no reorientation— 

30 minutes, Reorientation—6 hours. 

In summary, DOE proposes to adopt 

the lamp transfer and re-stabilization 

methods of ANSI C78.389, section 3.7, 

for HID lamp testing, as summarized in 

Table III.2. DOE invites comment on 

these proposed methods, as well as any 

alternative appropriate lamp transfer 

and re-stabilization methods. 

e. Lamp Orientation 

DOE proposes to adopt the lamp 

orientation requirements of ANSI 

C78.389, section 3.6, for HID lamp 

testing. Lamp orientation is critical for 

the testing of most HID lamps, and 

industry procedures have been 

developed to ensure the correct 

orientation is maintained for consistent 

electrical and photometric 

measurements. 

ANSI C78.389, section 3.6, requires 

that a lamp marked or designated on the 

lamp’s data sheet for use in a specific 

operating position be tested in that 

position. If no operating position is 

specified or the lamp is marked 

‘‘universal,’’ the lamp is to be operated 

in the base up position. 

In contrast, LM–51 does not contain 

lamp orientation requirements for 

testing, except to note that lamp 

orientation during warm-up must be the 

same as that during photometry. LM–51 

also states that the manufacturer’s 

specifications should be consulted for 

any restrictions on lamp orientation. 

In summary, DOE proposes to adopt 

the more specific lamp orientation 

requirements of ANSI C78.389, section 

3.6, for HID lamp testing because ANSI 

provides specific guidance for both MH 

and MV lamps where lamp position is 

critical. ANSI C78.389 also provides 

default guidance if no position is 

specified. DOE invites comment on 

these proposed requirements, as well as 

on any appropriate alternative lamp 

testing orientation requirements. 

3. Special Considerations for Directional 

Lamps 

Directional lamps, which are typically 

reflector lamps with a discernible beam 

pattern, have different set-up and 

measurement requirements than do 

omni-directional lamps. Care must be 

taken to ensure a directional lamp is 

properly positioned prior to testing for 

accurate measurement of center beam 

intensity and beam angle. There are also 

additional calculations required to 

determine the beam angle of directional 

lamps. DOE proposes that set-up and 

measurement of directional lamps be 

done in accordance with ANSI C78.379, 

which provides classification of beam 

patterns and specification of directional 

lamp measurement and evaluation. DOE 

invites comment on its proposal to 

adopt the test methods outlined in ANSI 

C78.379 for directional lamps. 

C. Laboratory Accreditation Program 

DOE proposes to adopt the 

requirements for selecting testing 

laboratories for HID lamps from the 

GSFL/GSIL/IRL test procedures final 

rule. 74 FR 31829, 31841 (July 6, 2009). 

That rule states that testing is to be 

conducted by test laboratories 

accredited by the National Voluntary 

Laboratory Accreditation Program 

(NVLAP) or by an accrediting 

organization recognized by NVLAP. 

NVLAP establishes standards for the 

accreditation of laboratories that test for 

compliance with relevant industry 

standards pursuant to 15 CFR 285.3. A 

manufacturer’s or importer’s own 

laboratory, if accredited, may be used to 

conduct the applicable testing. 15 CFR 

285.3 

DOE invites comment on these 

proposed requirements, as well as any 

alternative requirements for testing 

laboratory selection. 

D. Test Measurements and Calculations 

1. Measurement and Calculation of 

Efficacy 

DOE proposes that HID lamp efficacy 

be calculated as the lumen output 

divided by the input lamp wattage 

measured, with the resulting quotient 

rounded off to the nearest tenth of a 

lumen per watt. This requirement is 

consistent with the 2009 GSFL/GSIL/ 

IRL test procedures final rule, in which 

DOE required testing to a tenth of a 

lumen per watt. 74 FR 31829, 31836 

(July 6, 2009). DOE invites comment on 

this proposed efficacy calculation 

method. 

2. Measurement and Calculation of 

Center Beam Intensity and Beam Angle 

As indicated in section III.B.3, 

directional lamps have different set-up 

and measurement requirements than do 

omni-directional lamps. DOE proposes 

to adopt the procedure described in 

ANSI C78.379 for measuring center 

beam intensity, beam angle, and other 

relevant characteristics of directional 

lamps with symmetrical or 

asymmetrical beams. For lamps with 

complex beam patterns (e.g., containing 

multiple lobes of varying intensity), 

DOE proposes to adopt the procedure 

described in ANSI C78.379, annex A, for 

HID lamp testing. DOE invites comment 

on the proposed test procedures, as well 

as any appropriate alternative test 

procedures for center beam intensity 

measurement. 

3. Test Method for Measuring Lumen 

Maintenance 

DOE received comments on the 

proposed HID lamps determination from 

NEMA supporting DOE’s inclusion of 

lumen maintenance in potential energy 

conservation standards. (Docket No. 

EERE–2006–DET–0112, NEMA, No. 

0021 at p. 2) DOE proposes to include 

measuring lumen maintenance (i.e., the 

percentage (or fraction) of lamp light 

output relative to initial output, over 

time) for HID lamps. As discussed in the 

HID lamp determination technical 

support document, different 

manufacturers choose different points of 

rated life to measure lumen 

maintenance for the different HID 

lamps.27 The proposed DOE test method 

for lumen maintenance would provide a 

standard measurement for this metric. 

In addition, lumen maintenance is a 

more significant issue for HID lamps 

than for other electric lamps, and DOE 

already measures lumen maintenance 

for compact fluorescent lamps, using the 

procedure at 10 CFR part 430, subpart 

B, appendix W. For HID lamp testing, 

DOE proposes to adopt the test method 

described in LM–47, wherein lamp 

lumen maintenance is determined after 

initial lamp aging and initial lumen 

output measurement. At a minimum, 

the lumen maintenance measurements 

are to be collected at 40 percent and 70 


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28The special values or indices are not actually 

measured. Standard measurement software 

incorporates algorithms that compare the measured 

color information against the indices. CRI then 

averages the values for special values 1–8. 

29 DOE notes that individual special CRI values 

can also be used to assess the color rendering or 

reproduction ability of a lamp for a certain color or 

colors. When a lighting application requires 

saturated color rendering to provide accurate or 

enhanced color appearance, however, the CRI value 

may not provide sufficient information to make the 

appropriate choice of lamp. The special CRI value 

R9 provides additional color rendering information 

necessary to select lamps. DOE may consider the 

CRI value R9 in setting standards for HID lamps but 

does not propose measurement of that value in 

today’s test procedures for HID lamps. 

30While EPCA authorizes DOE to amend these 

mode definitions, DOE believes that amendment is 

unnecessary because the active mode definition is 

appropriate for HID lamps, and the proposed active 

mode test procedure accounts for the energy use of 

these lamps. 

31 In the GSFL/GSIL/IRL test procedure final rule, 

DOE concluded that measuring off mode and 

standby mode energy consumption is not applicable 

to GSFL, GSIL, and IRL because, according to the 

definitions of ‘‘standby mode’’ and ‘‘off mode,’’ 

current technologies of GSFL, GSIL, and IRL do not 

employ these two modes of operation. As such, 

DOE did not expand the test procedures to 

incorporate measurement methods for off mode or 

standby mode energy consumption of GSFL, GSIL, 

and IRL. 74 FR 31820, 31833 (July 6, 2009). 

percent of rated lamp life, as described 

in LM–47. 

DOE invites comment on the 

proposed test method, as well as any 

appropriate alternative test method for 

determining HID lamp lumen 

maintenance. 

4. Measurement and Calculation of 

Correlated Color Temperature and Color 

Rendering Index 

DOE proposes to adopt CCT and CRI 

measurement methods based on CIE 15 

and CIE 13.3. The CIE is internationally 

accepted as the authority for industry 

standards and references for color, 

colorimetry, and related practices and 

procedures. CIE recommendations are 

peer-reviewed by committee and revised 

and expanded as needed given new 

developments in lighting practice and 

science. DOE has previously 

incorporated these standards in the 

GSFL/GSIL/IRL test procedures final 

rule. 74 FR 31829, 31834 (July 6, 2009). 

In the past, DOE has used CCT to 

define and categorize certain kinds of 

lamps (e.g., modified-spectrum 

fluorescent and incandescent lamps, 

and general service fluorescent lamps). 

DOE also created product classes and 

set efficacy standards based on CCT in 

the GSFL/GSIL/IRL test procedures final 

rule. 74 FR at 34097 (July 6, 2009). DOE 

is considering chromaticity (CCT) as a 

means to define equipment classes and 

set energy conservation standards for 

HID lamps. Currently, there are no 

industry-accepted color/chromaticity 

guidelines for HID lamps. DOE 

examined industry practices and, in 

particular, the recommendations from 

IES and CIE organization and industry 

standards regarding color. For HID lamp 

testing, DOE proposes to adopt the 

procedures and methods in CIE 15 to 

determine HID lamp CCT. 

DOE is also considering CRI as a 

means to define equipment classes and 

set energy conservation standards for 

HID lamps. DOE proposes to adopt the 

methods and procedures set forth in CIE 

13.3 to determine lamp CRI. In 

particular, the methods identified in CIE 

13.3 determine a set of 14 special CRI 

values, 8 of which are used to calculate 

the lamp CRI.28 29

DOE invites comment on the proposal 

to adopt the procedures and methods set 

forth in CIE 15 to determine lamp CCT, 

and the procedure and methods in CIE 

13.3 to determine CRI, as well as any 

appropriate alternative methods for 

determining these lamp color 

properties. 

E. Standby Mode and Off Mode Energy 

Usage 

As discussed previously in section II, 

there is no standby mode or off mode 

energy use by HID lamps. DOE has 

preliminarily concluded that HID lamps 

do not operate in a standby or off mode. 

If a covered product is a single-function 

product and does not offer any 

secondary user-oriented or protective 

functions, it does not satisfy the EPCA 

definition for ‘‘standby mode.’’ (42 

U.S.C. 6259(gg)(1)(A)(iii)) All covered 

equipment that meets a relevant 

definition of HID lamp is singlefunction equipment that does not offer 

any secondary user-oriented or 

protective functions, thus HID lamps do 

not operate in standby mode. With 

respect to off mode, HID lamps must be 

entirely disconnected from the main 

power source (i.e., the lamp is switched 

off) in order to not provide any active 

mode or standby mode functions (i.e., 

emit light or instant start readiness 

state), to meet the second provision in 

the definition of ‘‘off mode.’’ (42 U.S.C. 

6259(gg)(1)(A)(ii)) 30 Therefore, DOE has 

determined that the HID lamps that are 

the subject of this rulemaking do not 

operate in standby mode or off mode, 

and does not propose to incorporate a 

test method for either of these modes 

into the test procedures for HID lamps.31

F. Effective Date and Compliance Date 

to the Test Procedures and Compliance 

Date for Submitting High-Intensity 

Discharge Certification Reports 

The effective date for these test 

procedures would be 30 days after 

publication of any final test procedures 

in the Federal Register. 

The compliance date for making any 

representations of the energy efficiency 

derived from the test procedures is 180 

days from the date of the publication of 

any final test procedures in the Federal 

Register. On or after that date, any such 

representations, including those made 

on marketing materials and product 

labels, would be required to be based on 

results generated under the final test 

procedures and the applicable sampling 

plans. 

Until DOE establishes energy 

conservation standards for HID lamps, 

manufacturers, including importers, are 

not required to submit compliance 

statements or certification reports for 

HID lamps. DOE will address these 

requirements should DOE establish 

energy conservation standards for HID 

lamps. 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

The Office of Management and Budget 

(OMB) has determined that test 

procedure rulemakings do not constitute 

‘‘significant regulatory actions’’ under 

section 3(f) of Executive Order 12866, 

‘‘Regulatory Planning and Review,’’ 58 

FR 51735 (Oct. 4, 1993). Accordingly, 

this action was not subject to review 

under the Executive Order by the Office 

of Information and Regulatory Affairs 

(OIRA) in the OMB. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of an initial regulatory flexibility 

analysis for any rule that by law must 

be proposed for public comment, unless 

the agency certifies that the rule, if 

promulgated, will not have a significant 

economic impact on a substantial 

number of small entities. As required by 

Executive Order 13272, ‘‘Proper 

Consideration of Small Entities in 

Agency Rulemaking,’’ 67 FR 53461 

(Aug.16, 2002), DOE published 

procedures and policies on February 19, 

2003 to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the DOE 

rulemaking process. 68 FR 7990. DOE 

has made its procedures and policies 

available on the Office of the General 

Counsel’s web site: http:// 

www.gc.doe.gov. 

Today’s proposed rule would adopt 

test procedures for HID lamps based on 

active industry testing standards, ANSI 

C78.379, ANSI C78.389, CIE 13.3, CIE 

15, IES LM–47, and IES LM–51. DOE 


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32Table IV.1 has 16 entries because DOE located 

two headquarters for Superior Lamp Inc.; however, 

both headquarters appear to belong to the same 

company. 

has reviewed today’s proposed rule 

under the provisions of the Regulatory 

Flexibility Act and the policies and 

procedures published on February 19, 

2003. For the reasons explained as 

follows, DOE certifies that this test 

procedure rulemaking would not have a 

significant economic impact on a 

substantial number of small entities. 

The Small Business Administration 

(SBA) has set size standards for an 

entity to be classified as a ‘‘small 

business’’ for the purpose of the 

regulatory flexibility analysis. DOE used 

the SBA’s size standards to determine 

whether any small entities would be 

required to comply with the rule. See 13 

CFR part 121. The size standards are 

listed by NAICS code and industry 

description and are available at http:// 

www.sba.gov/sites/default/files/ 

Size_Standards_Table.pdf. DOE 

identified applicable size standards for 

HID lamp manufacturers as NAICS 

335110, ‘‘Electric Lamp Bulb and Part 

Manufacturing,’’ and NAICS 335121, 

‘‘Residential Electric Lighting Fixture 

Manufacturing.’’ The SBA’s size 

standard for the respective NAICS codes 

are 1,000 employees or less (NAICS 

335110) and 500 employees or less 

(NAICS 335121). 

DOE examined small business 

manufacturers of equipment covered by 

this rulemaking to determine whether 

any of these manufacturers qualified as 

a small business under the SBA size 

standards. DOE conducted a market 

survey in which it reviewed industry 

trade association membership 

directories (including NEMA), 

individual company Web sites, and 

marketing research tools (e.g., Dun and 

Bradstreet reports, Manta) to create a list 

of companies that manufacture or sell 

HID lamps covered by this rulemaking. 

Using these sources, DOE identified 15 

possible manufacturers of HID lamps. 

Table IV.1 lists these manufacturers, the 

primary NAICS code for the company, 

and the SBA size standard for the 

applicable NAICS code. 

TABLE IV.1—POSSIBLE MANUFACTURERS OF HID LAMPS

Manufacturer NAICS code SBA threshold 

Eiko ............................................................................................................................................................ 423610 100 employees. 

Eye (Iwasaki) ............................................................................................................................................. 335121 500 employees. 

Fulham ....................................................................................................................................................... 335311 100 employees. 

GE Lighting ................................................................................................................................................ 335121 500 employees. 

Halco .......................................................................................................................................................... 423610 1,000 employees. 

Havells ....................................................................................................................................................... 335110 1,000 employees. 

LiteTronics .................................................................................................................................................. 423610 1,000 employees. 

OSRAM SYLVANIA ................................................................................................................................... 423490 100 employees. 

Philips ......................................................................................................................................................... 339112 500 employees. 

Superior Lamp Inc ..................................................................................................................................... 335110 1,000 employees. 

Superior Lamp Inc ..................................................................................................................................... 335110 1,000 employees. 

Technical Consumer Products (TCP Inc.) ................................................................................................. 452990 $30M in sales. 

Topaz ......................................................................................................................................................... 423610 100 employees. 

Ushio America ............................................................................................................................................ 423610 100 employees. 

Venture ....................................................................................................................................................... 335110 1000 employees. 

Westinghouse Lighting ............................................................................................................................... 423610 100 employees. 

Of the 15 companies listed in the 

table,32 DOE could not identify any 

small business manufacturers. All of the 

companies either exceeded the 

applicable size standard, were foreign 

owned and operated, or were not 

manufacturers of HID lamps. 

In addition, DOE notes that the 

proposed test procedures for HID lamps 

are based on test procedures developed 

and already in general use by industry. 

These are the same industry standards 

that manufacturers would need for 

existing voluntary performance 

standards, such as the ENERGY STAR 

program requirements that are the basis 

for the proposed test procedures. The 

costs of this testing are described in the 

following paragraph. 

DOE reviewed the potential costs for 

testing basic models of HID lamps for 

lumen output, power input, lumen 

maintenance, color characteristics, and, 

when applicable, intensity. Recently, 

NEMA provided a detailed list of costs 

for testing the lifetime of general service 

incandescent lamps. Although this is a 

different product, the two test 

procedures share elements. Per NEMA’s 

itemized list, $66 is needed for materials 

per lamp tested and labor and benefits 

equate to $30 per lamp tested. (Docket 

No. EERE–2011–BT–TP–0012, NEMA, 

No. 0008 at p. 4) The HID lamps test 

procedures involve more tasks (i.e., 

measuring lumens, measuring power, 

measuring color characteristics, lumen 

maintenance) than a lifetime test (e.g., 

operating the lamps until a sample 

population fails); therefore, labor and 

material costs will probably be 

somewhat greater for the HID test 

procedures. DOE estimates 

approximately between $100 to $200 in 

both materials and labor per lamp for 

the HID lamp test procedures. 

Therefore, with a sample size of 21, the 

total costs per basic model are between 

$2,100 and $4,200. 

In this NOPR, DOE also proposes to 

require test facilities conducting HID 

lamp efficacy, color, and lumen 

maintenance testing to be accredited by 

NVLAP or an organization recognized 

by NVLAP. When accreditation is 

sought for the first time, DOE has 

determined that NVLAP imposes fees of 

$9,000 and $8,000 on years one and two 

of accreditation, respectively. For the 

years following, the fees alternate 

between $5,000 and $8,000, with the 

$8,000 fee corresponding to the on-site 

evaluation required every other year. 

DOE does not expect this requirement to 

impose a significant additional burden 

for most manufacturers. Most HID lamp 

manufacturers also make other lamps 

that are currently covered products (e.g., 

GSFL, GSIL, IRL, medium-base compact 

fluorescent lamps). The test procedures 

for those lamps already require a 

laboratory accredited by NVLAP or an 

NVLAP-recognized organization. 

Because the proposed test procedure 

incorporates the same industry 

standards that manufacturers would 

need for existing voluntary performance 

standards, such as the ENERGY STAR 

program requirements that are the basis 

for the proposed test procedures, and 

because NVLAP certification is already 

required for other types of lamps 

typically made by HID manufacturers, 


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DOE does not find that the requirements 

in this document would result in any 

significant increase in testing costs. 

For the reasons stated in this section, 

DOE certifies that this proposed rule 

would not have a significant impact on 

a substantial number of small entities. 

Accordingly, DOE has not prepared a 

regulatory flexibility analysis for this 

rulemaking. DOE’s certification and 

supporting statement of factual basis 

will be provided to the Chief Counsel 

for Advocacy of the Small Business 

Administration pursuant to 5 U.S.C. 

605(b). DOE seeks comment regarding 

whether the proposed amendments in 

today’s rule would have a significant 

economic effect on any small entities. 

C. Review Under the Paperwork 

Reduction Act of 1995 

There is currently no information 

collection requirement related to the test 

procedure for HID lamps. In the event 

that DOE proposes an energy 

conservation standard with which 

manufacturers must demonstrate 

compliance, or otherwise proposes to 

require the collection of information 

derived from the testing of HID lamps 

according to this test procedure, DOE 

will seek OMB approval of such 

information collection requirement. 

Manufacturers of covered products 

must certify to DOE that their products 

comply with any applicable energy 

conservation standard developed by 

DOE. In certifying compliance, 

manufacturers must test their products 

according to the applicable DOE test 

procedure, including any amendments 

adopted for that test procedure. 

DOE established regulations for the 

certification and recordkeeping 

requirements for certain covered 

consumer products and commercial 

equipment. 76 FR 12422 (March 7, 

2011). The collection-of-information 

requirement for the certification and 

recordkeeping was subject to review and 

approval by OMB under the Paperwork 

Reduction Act (PRA). This requirement 

was approved by OMB under OMB 

Control Number 1910–1400. Public 

reporting burden for the certification 

was estimated to average 20 hours per 

response, including the time for 

reviewing instructions, searching 

existing data sources, gathering and 

maintaining the data needed, and 

completing and reviewing the collection 

of information. 

As stated above, in the event DOE 

proposes an energy conservation 

standard for HID lamps with which 

manufacturers must demonstrate 

compliance, DOE will seek OMB 

approval of the associated information 

collection requirement. DOE will seek 

approval either through a proposed 

amendment to the information 

collection requirement approved under 

OMB Control Number 1910–1400 or as 

a separate proposed information 

collection requirement. 

Notwithstanding any other provision 

of the law, no person is required to 

respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the PRA, unless 

that collection of information displays a 

currently valid OMB Control Number. 

D. Review Under the National 

Environmental Policy Act of 1969 

In this proposed rule, DOE proposes 

test procedures that it expects will be 

used to develop and implement future 

energy conservation standards for HID 

lamps. DOE has determined that this 

rule falls into a class of actions that are 

categorically excluded from review 

under the National Environmental 

Policy Act of 1969 (42 U.S.C. 4321 et 

seq.) and DOE’s implementing 

regulations at 10 CFR part 1021. 

Specifically, this proposed rule would 

establish test procedures without 

affecting the amount, quality, or 

distribution of energy usage, and 

therefore would not result in any 

environmental impacts. Thus, this 

rulemaking is covered by Categorical 

Exclusion A6 under 10 CFR part 1021, 

subpart D, which applies to any 

rulemaking that interprets or amends an 

existing rule without changing the 

environmental effect of that rule. 

Accordingly, neither an environmental 

assessment nor an environmental 

impact statement is required. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (Aug. 4, 1999), imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have Federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountable process to 

ensure meaningful and timely input by 

State and local officials in the 

development of regulatory policies that 

have Federalism implications. On 

March 14, 2000, DOE published a 

statement of policy describing the 

intergovernmental consultation process 

it will follow in the development of 

such regulations. 65 FR at13735. DOE 

has examined this proposed rule and 

has determined that it would not have 

a substantial direct effect on the States, 

on the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. EPCA governs and 

prescribes Federal preemption of State 

regulations as to energy conservation for 

the equipment that are the subject of 

today’s proposed rule. States can 

petition DOE for exemption from such 

preemption to the extent, and based on 

criteria, set forth in EPCA. (42 U.S.C. 

6297(d)) No further action is required by 

Executive Order 13132. 

F. Review Under Executive Order 12988 

Regarding the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard; and (4) promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort to ensure that the 

regulation: (1) Clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

standards in sections 3(a) and 3(b) to 

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, the proposed 

rule meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Public Law 104–4, 

section 201 (codified at 2 U.S.C. 1531). 

For a proposed regulatory action likely 


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to result in a rule that may cause the 

expenditure by State, local, and Tribal 

governments, in the aggregate, or by the 

private sector of $100 million or more 

in any one year (adjusted annually for 

inflation), section 202 of UMRA requires 

a Federal agency to publish a written 

statement that estimates the resulting 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), (b)) 

The UMRA also requires a Federal 

agency to develop an effective process 

to permit timely input by elected 

officers of State, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate,’’ and 

requires an agency plan for giving notice 

and opportunity for timely input to 

potentially affected small governments 

before establishing any requirements 

that might significantly or uniquely 

affect small governments. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820; also available at 

http://www.gc.doe.gov. DOE examined 

today’s proposed rule according to 

UMRA and its statement of policy and 

determined that the rule contains 

neither an intergovernmental mandate, 

nor a mandate that may result in the 

expenditure of $100 million or more in 

any year, so these requirements do not 

apply. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

rule would not have any impact on the 

autonomy or integrity of the family as 

an institution. Accordingly, DOE has 

concluded that it is not necessary to 

prepare a Family Policymaking 

Assessment. 

I. Review Under Executive Order 12630 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights’’ 53 FR 8859 

(March 18, 1988), that this regulation 

would not result in any takings that 

might require compensation under the 

Fifth Amendment to the U.S. 

Constitution. 

J. Review Under the Treasury and 

General Government Appropriations 

Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (44 U.S.C. 3516 note) provides 

for agencies to review most 

disseminations of information to the 

public under guidelines established by 

each agency pursuant to general 

guidelines issued by OMB. OMB’s 

guidelines were published at 67 FR 

8452 (Feb. 22, 2002), and DOE’s 

guidelines were published at 67 FR 

62446 (Oct. 7, 2002). DOE has reviewed 

today’s proposed rule under the OMB 

and DOE guidelines and has concluded 

that it is consistent with applicable 

policies in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to OMB a Statement 

of Energy Effects for any proposed 

significant energy action. A ‘‘significant 

energy action’’ is defined as any action 

by an agency that promulgated or is 

expected to lead to promulgation of a 

final rule, and that: (1) Is a significant 

regulatory action under Executive Order 

12866, or any successor order; and (2) 

is likely to have a significant adverse 

effect on the supply, distribution, or use 

of energy; or (3) is designated by the 

Administrator of OIRA as a significant 

energy action. For any proposed 

significant energy action, the agency 

must give a detailed statement of any 

adverse effects on energy supply, 

distribution, or use should the proposal 

be implemented, and of reasonable 

alternatives to the action and their 

expected benefits on energy supply, 

distribution, and use. 

Today’s regulatory action to create the 

test procedures for measuring the energy 

efficiency of HID lamps is not a 

significant regulatory action under 

Executive Order 12866. Moreover, it 

would not have a significant adverse 

effect on the supply, distribution, or use 

of energy, nor has it been designated as 

a significant energy action by the 

Administrator of OIRA. Therefore, it is 

not a significant energy action, and, 

accordingly, DOE has not prepared a 

Statement of Energy Effects. 

L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

91; 42 U.S.C. 7101), DOE must comply 

with section 32 of the Federal Energy 

Administration Act of 1974, as amended 

by the Federal Energy Administration 

Authorization Act of 1977. (15 U.S.C. 

788; FEAA) Section 32 essentially 

provides in relevant part that, where a 

proposed rule authorizes or requires use 

of commercial standards, the notice of 

proposed rulemaking must inform the 

public of the use and background of 

such standards. In addition, section 

32(c) requires DOE to consult with the 

Attorney General and the Chairman of 

the Federal Trade Commission (FTC) 

concerning the impact of the 

commercial or industry standards on 

competition. 

The proposed test procedures 

incorporate testing methods contained 

in the following commercial standards: 

1. ANSI C78.379–2006, ‘‘For Electric 

Lamps—Classification of Beam Patterns 

of Reflector Lamps’’; 

2. ANSI C78.389–R2009, ‘‘For Electric 

Lamps—High Intensity Discharge— 

Methods of Measuring Characteristics’’ 

(sections 1.0, 2.0, 3.0, and Figure 1); 

3. CIE 13.3–1995, ‘‘Technical Report: Method 

of Measuring and Specifying Colour 

Rendering Properties of Light Sources’’; 

4. CIE 15:2004, ‘‘Technical Report: 

Colorimetry’’; 

5. IES LM–47–01, ‘‘Approved Method for Life 

Testing of High Intensity Discharge (HID) 

Lamps’’; and 

6. IES LM–51–00, ‘‘Approved Method for the 

Electrical and Photometric 

Measurements of High Intensity 

Discharge Lamps’’ (sections 1.0, 3.2, 9.0, 

10.0, 11.0, and 12.0). 

DOE evaluated these standards and is 

unable to conclude whether they fully 

comply with the requirements of section 

32(b) of the Federal Energy 

Administration Act, (i.e., that they were 

developed in a manner that fully 

provides for public participation, 

comment, and review). Before 

prescribing a final rule, DOE will 

consult with the Attorney General and 

the Chairman of the FTC about the effect 

of these test procedures on competition. 

V. Public Participation 

A. Attendance at Public Meeting 

The time, date, and location of the 

public meeting are listed in the DATES

and ADDRESSES sections at the beginning 

of this document. If you plan to attend 

the public meeting, please notify Ms. 

Brenda Edwards at (202) 586–2945 or 

Brenda.Edwards@ee.doe.gov. As 

explained in the ADDRESSES section, 

foreign nationals visiting DOE 

Headquarters are subject to advance 

security screening procedures. 

In addition, you can attend the public 

meeting via webinar. Webinar 

registration information, participant 

instructions, and information about the 

capabilities available to webinar 

participants will be published on DOE’s 

Web site http://www1.eere.energy.gov/ 

buildings/appliance_standards/ 

commercial/ 

high_intensity_discharge_lamps.html. 


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Participants are responsible for ensuring 

their systems are compatible with the 

webinar software. 

B. Procedure for Submitting Prepared 

General Statement for Distribution 

Any person who has plans to present 

a prepared general statement may 

request that copies of his or her 

statement be made available at the 

public meeting. Such persons may 

submit requests, along with an advance 

electronic copy of their statement in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format, to the appropriate address 

shown in the ADDRESSES section at the 

beginning of this notice. The request 

and advance copy of statements must be 

received at least one week before the 

public meeting and may be emailed, 

hand-delivered, or sent by mail. DOE 

prefers to receive requests and advance 

copies via email. Please include a 

telephone number to enable DOE staff to 

make a follow-up contact, if needed. 

C. Conduct of Public Meeting 

DOE will designate a DOE official to 

preside at the public meeting and may 

also use a professional facilitator to aid 

discussion. The meeting will not be a 

judicial or evidentiary-type public 

hearing, but DOE will conduct it in 

accordance with section 336 of EPCA 

(42 U.S.C. 6306). A court reporter will 

be present to record the proceedings and 

prepare a transcript. DOE reserves the 

right to schedule the order of 

presentations and to establish the 

procedures governing the conduct of the 

public meeting. After the public 

meeting, interested parties may submit 

further comments on the proceedings as 

well as on any aspect of the rulemaking 

until the end of the comment period. 

The public meeting will be conducted 

in an informal, conference style. DOE 

will present summaries of comments 

received before the public meeting, 

allow time for prepared general 

statements by participants, and 

encourage all interested parties to share 

their views on issues affecting this 

rulemaking. Each participant will be 

allowed to make a general statement 

(within time limits determined by DOE), 

before the discussion of specific topics. 

DOE will permit, as time permits, other 

participants to comment briefly on any 

general statements. 

At the end of all prepared statements 

on a topic, DOE will permit participants 

to clarify their statements briefly and 

comment on statements made by others. 

Participants should be prepared to 

answer questions by DOE and by other 

participants concerning these issues. 

DOE representatives may also ask 

questions of participants concerning 

other matters relevant to this 

rulemaking. The official conducting the 

public meeting will accept additional 

comments or questions from those 

attending, as time permits. The 

presiding official will announce any 

further procedural rules or modification 

of the above procedures that may be 

needed for the proper conduct of the 

public meeting. 

A transcript of the public meeting will 

be included in the docket, which can be 

viewed as described in the Docket 

section at the beginning of this notice. 

In addition, any person may buy a copy 

of the transcript from the transcribing 

reporter. 

D. Submission of Comments 

DOE will accept comments, data, and 

information regarding this proposed 

rule before or after the public meeting, 

but no later than the date provided in 

the DATES section at the beginning of 

this proposed rule. Interested parties 

may submit comments using any of the 

methods described in the ADDRESSES

section at the beginning of this notice. 

Submitting comments via 

regulations.gov. The regulations.gov 

web page will require you to provide 

your name and contact information. 

Your contact information will be 

viewable to DOE Building Technologies 

staff only. Your contact information will 

not be publicly viewable except for your 

first and last names, organization name 

(if any), and submitter representative 

name (if any). If your comment is not 

processed properly because of technical 

difficulties, DOE will use this 

information to contact you. If DOE 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, DOE may not be 

able to consider your comment. 

However, your contact information 

will be publicly viewable if you include 

it in the comment or in any documents 

attached to your comment. Any 

information that you do not want to be 

publicly viewable should not be 

included in your comment, nor in any 

document attached to your comment. 

Persons viewing comments will see only 

first and last names, organization 

names, correspondence containing 

comments, and any documents 

submitted with the comments. 

Do not submit to regulations.gov 

information for which disclosure is 

restricted by statute, such as trade 

secrets and commercial or financial 

information (hereinafter referred to as 

Confidential Business Information 

(CBI)). Comments submitted through 

regulations.gov cannot be claimed as 

CBI. Comments received through the 

Web site will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section. 

DOE processes submissions made 

through regulations.gov before posting. 

Normally, comments will be posted 

within a few days of being submitted. 

However, if large volumes of comments 

are being processed simultaneously, 

your comment may not be viewable for 

up to several weeks. Please keep the 

comment tracking number that 

regulations.gov provides after you have 

successfully uploaded your comment. 

Submitting comments via email, hand 

delivery, or mail. Comments and 

documents submitted via email, hand 

delivery, or mail also will be posted to 

regulations.gov. If you do not want your 

personal contact information to be 

publicly viewable, do not include it in 

your comment or any accompanying 

documents. Instead, provide your 

contact information on a cover letter. 

Include your first and last names, email 

address, telephone number, and 

optional mailing address. The cover 

letter will not be publicly viewable as 

long as it does not include any 

comments. 

Include contact information each time 

you submit comments, data, documents, 

and other information to DOE. Email 

submissions are preferred. If you submit 

via mail or hand delivery, please 

provide all items on a CD, if feasible. It 

is not necessary to submit printed 

copies. No facsimiles (faxes) will be 

accepted. 

Comments, data, and other 

information submitted to DOE 

electronically should be provided in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format. Provide documents that are not 

secured, written in English and are free 

of any defects or viruses. Documents 

should not contain special characters or 

any form of encryption and, if possible, 

they should carry the electronic 

signature of the author. 

Campaign form letters. Please submit 

campaign form letters by the originating 

organization in batches of between 50 to 

500 form letters per PDF or as one form 

letter with a list of supporters’ names 

compiled into one or more PDFs. This 

reduces comment processing and 

posting time. 

Confidential Business Information. 

According to 10 CFR 1004.11, any 

person submitting information that he 

or she believes to be confidential and 

exempt by law from public disclosure 

should submit via email, postal mail, or 

hand delivery two well-marked copies: 

one copy of the document marked 


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confidential including all the 

information believed to be confidential, 

and one copy of the document marked 

non-confidential with the information 

believed to be confidential deleted. 

Submit these documents via email or on 

a CD, if feasible. DOE will make its own 

determination about the confidential 

status of the information and treat it 

according to its determination. 

Factors of interest to DOE when 

evaluating requests to treat submitted 

information as confidential include: (1) 

A description of the items; (2) whether 

and why such items are customarily 

treated as confidential within the 

industry; (3) whether the information is 

generally known by or available from 

other sources; (4) whether the 

information has previously been made 

available to others without obligation 

concerning its confidentiality; (5) an 

explanation of the competitive injury to 

the submitting person which would 

result from public disclosure; (6) when 

such information might lose its 

confidential character due to the 

passage of time; and (7) why disclosure 

of the information would be contrary to 

the public interest. 

It is DOE’s policy that all comments 

may be included in the public docket, 

without change and as received, 

including any personal information 

provided in the comments (except 

information deemed to be exempt from 

public disclosure). 

E. Issues on Which DOE Seeks Comment 

DOE proposes that HID lamp efficacy 

testing be based on the industry 

standards ANSI C78.379, ANSI C78.389, 

CIE 13.3, CIE 15, LM–47, and LM–51. 

DOE invites comments and data on 

the proposed HID lamp test procedures. 

Although comments are welcome on all 

aspects of this rulemaking, DOE is 

particularly interested in comments on 

the following: 

1. Definitions 

DOE seeks comments on all of the 

proposed definitions in this NOPR; see 

section III.A. 

2. Ambient Test Temperatures 

DOE invites comments and data on 

the applicability of the proposed 

ambient test temperature requirements 

(25 °C ±5 °C) based on ANSI C78.389. 

DOE is particularly interested in 

comments on whether an alternate set of 

ambient test conditions might be more 

appropriate for HID lamp testing. See 

section III.B.1.a.i for a discussion of the 

proposed ambient temperature 

conditions. 

3. Air Speed 

DOE invites comments and data on 

the appropriateness of adopting the 

maximum air speed limit (5 ≤ meters 

per second) for HID lamp testing that 

DOE required for the MH lamp ballast 

test procedures. See section III.B.1.a.ii 

for a discussion of the proposed air 

movement requirements. 

4. Power Supply Characteristics 

DOE invites comments on the 

appropriateness of adopting the 

waveshape and power source 

impedance requirements set forth in 

ANSI C78.389 and the voltage 

regulation requirement set forth in LM– 

51, as summarized and discussed in 

section III.B.1.b. 

5. Reference Ballasts 

DOE invites comments on the 

proposed reference ballast requirements 

and the appropriateness of adopting the 

recommendations in ANSI C78.389, as 

summarized and discussed in section 

III.B.1.c. 

6. Instrumentation 

DOE invites comments on the 

proposed instrumentation specifications 

and the appropriateness of adopting 

these requirements from the industry 

standards ANSI C78.389, section 3.8, 

and LM–51, section 9.0, as summarized 

and discussed in section III.B.1.d. 

7. Sampling Plans 

DOE invites comments and data on 

the precision and applicability of the 

proposed sample of 21 for HID lamps for 

testing. DOE seeks comments on 

whether an alternative sampling method 

exists that might be more appropriate 

for HID lamps. See section III.B.2.b for 

a discussion of the proposed sampling 

method. 

8. Lamp Aging and Stabilization 

DOE invites comments and data on 

the applicability of the proposed 100- 

hour lamp aging requirement and lamp 

stabilization method, both of which are 

set forth in ANSI C78.389, section 3.7. 

DOE is particularly interested in 

whether a preferred lamp aging or lamp 

stabilization approach exists within the 

industry. See section III.B.2.c for a 

discussion of the proposed lamp aging 

and stabilization conditions and 

requirements. 

9. Lamp/Circuit Transfer 

DOE has proposed that lamp transfer 

and re-stabilization methods of HID 

lamps be performed using the method 

described in section 3.7 of ANSI 

C78.389. DOE invites data and 

comments on whether an alternative 

method for re-stabilization after lamp 

transfer should be considered. See 

section III.B.2.d for a discussion of the 

method for lamp transfer and restabilization. 

10. Lamp Orientation 

DOE invites comments on the 

appropriateness of DOE’s proposed 

adoption of the lamp orientation 

requirements specified in section 3.6 of 

ANSI C78.389, which require base up 

positioning unless the manufacturer 

specifies a different orientation on the 

lamp, lamp packaging, or lamp data 

sheet. DOE also seeks comments on 

whether a preferred lamp orientation 

approach exists within the industry for 

lamp testing. See section III.B.2.e for a 

discussion of the proposed lamp 

orientation requirements. 

11. Special Consideration for 

Directional Lamps 

DOE invites comments on the 

proposed set-up and measurement 

methods for directional lamps based on 

ANSI C78.379. See section III.B.3 for a 

discussion of proposed beam angle 

calculations, and section III.D.2 for a 

discussion of proposed test set-up and 

measurement requirements. 

12. Laboratory Accreditation Program 

DOE has proposed adopting the lab 

accreditation plan in the GSFL/GSIL/ 

IRL test procedures, which would 

require laboratories that have been 

accredited by NVLAP or by an 

accrediting organization recognized by 

NVLAP for the testing of HID lamps. 

DOE invites comments on whether 

additional or alternative requirements 

for testing laboratories should be 

considered. See section III.C for a 

discussion of the proposed laboratory 

accreditation program. 

13. Test Measurements and Calculations 

DOE invites data and comments on 

the applicability of the proposed 

measurement and calculation of lamp 

efficacy procedures for omni-directional 

lamps, as well as the proposed 

efficiency measurements and 

calculation procedures for directional 

lamps using center beam intensity and 

beam angle. DOE also seeks comment on 

the measurement methods proposed for 

lumen maintenance and color 

characteristics (CCT and CRI) according 

to the requirements of ANSI C78.379, 

CIE 13.3, CIE 15, IES LM–47, and LM– 

51. See section III.E for a discussion of 

the proposed testing measurements and 

calculations. 


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14. Small Entities 

DOE seeks comments on its reasoning 

that the proposed test procedures will 

not have a significant effect on a 

substantial number of small entities. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this proposed rule. 

List of Subjects 

10 CFR Part 429 

Administrative practice and 

procedure, Buildings and facilities, 

Business and industry, Energy 

conservation, Grants programs—energy, 

Housing, Reporting and recordkeeping 

requirements, Technical assistance. 

10 CFR Part 431 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation test 

procedures, Incorporation by reference, 

Reporting and recordkeeping 

requirements, and Small business. 

Issued in Washington, DC, on November 

28, 2011. 

Kathleen B. Hogan, 

Deputy Assistant Secretary for Energy 

Efficiency, Office of Energy Efficiency and 

Renewable Energy. 

For the reasons stated in the 

preamble, DOE proposes to amend parts 

429 and 431 of chapter II of title 10, of 

the Code of Federal Regulations, as set 

forth as follows. 

PART 429—CERTIFICATION, 

COMPLIANCE, AND ENFORCEMENT 

FOR CONSUMER PRODUCTS AND 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

1. The authority citation for part 429 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317. 

2. In § 429.2 revise paragraph (a) to 

read as follows: 

§ 429.2 Definitions. 

(a) The definitions found in §§ 430.2, 

431.2, 431.62 431.72, 431.82, 431.92, 

431.102, 431.132, 431.152, 431.172, 

431.192, 431.202, 431.222, 431.242, 

431.262, 431.282, 431.292, 431.302, 

431.322, 431.442, and 431.452 apply for 

purpose of this part. 

* * * * * 

3. Section 429.55 is added to read as 

follows: 

§ 429.55 High-intensity discharge (HID) 

lamps. 

(a) Sampling plan for selection of 

units for testing. (1) The requirements of 

§ 429.11 are applicable to high-intensity 

discharge (HID) lamps. HID lamps 

include high-pressure sodium, mercury 

vapor, and metal halide lamps. 

(2)(i) For each basic model of HID 

lamp, samples of production lamps 

shall be obtained from a 12-month 

period, tested, and the results averaged. 

A minimum sample of 21 lamps shall be 

tested. The manufacturer shall 

randomly select a minimum of 3 lamps 

from each month of production for a 

minimum of 7 out of the 12-month 

period. In the instance where 

production occurs during fewer than 7 

of such 12 months, the manufacturer 

shall randomly select 3 or more lamps 

from each month of production, where 

the number of lamps selected for each 

month shall be distributed as evenly as 

practicable among the months of 

production to attain a minimum sample 

of 21 lamps. Any represented value of 

lamp efficacy and lumen maintenance 

of a basic model shall be based on the 

sample and shall be less than or equal 

to the lower of: 

(A) The mean of the sample, where: 

and X ̄ is the sample mean; 

n is the number of samples; and 

xi is the ith sample; 

Or, 

(B) The lower 95 percent confidence 

limit (LCL) of the true mean divided by 

0.97, where: 

and X ̄ is the sample mean; 

s is the sample standard deviation; 

n is the number of samples, and 

t0.95 is the t statistic for a 95-percent onetailed confidence interval with n-1 

degrees of freedom (from appendix A). 

(ii) For each basic model of highintensity discharge lamp, the color 

rendering index (CRI) shall be measured 

from the same lamps selected for the 

lumen output and watts input 

measurements in paragraph (a)(2)(i) of 

this section i.e., the manufacturer shall 

measure all lamps for lumens, lamp 

electrical input power, and CRI. The CRI 

shall be represented as the average of a 

minimum sample of 21 lamps and shall 

be less than or equal to the lower of: 

(i) The mean of the sample, where: 

and X ̄ is the sample mean; 

n is the number of samples; and 

xi is the ith sample; 

Or, 

(ii) The lower 95 percent confidence 

limit (LCL) of the true mean divided by 

0.97, where: 

and X ̄ is the sample mean; 

s is the sample standard deviation; 

n is the number of samples, and 

t0.95 is the t statistic for a 95-percent onetailed confidence interval with n-1 

degrees of freedom (from appendix A). 

(b) Certification reports. 

[Reserved] 

(c) Test data. Manufacturers must 

include the production date codes and 

the accompanying decoding scheme 

corresponding to all of the units tested 

for a given basic model in the detailed 

test records maintained under § 429.71. 

PART 431—ENERGY EFFICIENCY 

PROGRAM FOR CERTAIN 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

1. The authority citation for part 431 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317. 

2. Subpart 431.2 is amended by 

adding in alphabetical order, definitions 

for ‘‘Ballast’’, ‘‘Beam angle’’, ‘‘Color 

rendering index or CRI’’, ‘‘Correlated 

color temperature’’, ‘‘Directional lamp’’, 

‘‘High-intensity discharge lamp’’, ‘‘Highpressure sodium (HPS) lamp’’, ‘‘Lamp 

efficacy’’, ‘‘Lamp electrical power 

input’’, ‘‘Lamp wattage’’, ‘‘Lumen 

maintenance’’, ‘‘Mercury vapor lamp’’, 

‘‘Metal halide lamp’’, ‘‘Rated luminous 

flux or rated lumen output’’, and ‘‘Selfballasted lamp’’ to read as follows: 

§ 431.2 Definitions. 

* * * * * 

Ballast means a device used with an 

electric discharge lamp to obtain 

necessary circuit conditions (voltage, 

current, and waveform) for starting and 

operating. 

Beam angle means the beam angle (or 

angles) as measured according to the 

requirements of ANSI C78.379 

(incorporated by reference, see 

§ 431.453), including complex beam 

angles, as described in ANSI C78.379. 

Color rendering index or CRI means 

the measured degree of color shift 

objects undergo when illuminated by a 

light source as compared with the color 

of those same objects when illuminated 

by a reference source of comparable 

color temperature. 

Correlated color temperature means 

the absolute temperature of a blackbody 

whose chromaticity most nearly 

resembles that of the light source. 

* * * * * 


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Directional lamp means a lamp 

emitting at least 80 percent of its light 

output within a solid angle of p 

steradians (corresponding to a cone with 

an angle of 120 degrees). 

* * * * * 

High-intensity discharge lamp means 

an electric-discharge lamp in which— 

(i) The light-producing arc is 

stabilized by the arc tube wall 

temperature; and 

(ii) The arc tube wall loading is in 

excess of 3 watts/cm2, including such 

lamps that are high-pressure sodium, 

mercury vapor, and metal halide lamps. 

High-pressure sodium (HPS) lamp 

means a high-intensity discharge lamp 

in which the major portion of the light 

is produced by radiation from sodium 

vapor operating at a partial pressure of 

about 6,670 pascals (approximately 

0.066 atmospheres or 50 torr) or greater. 

* * * * * 

Lamp efficacy means the ratio of rated 

lumen output (or rated luminous flux) 

to the measured lamp electrical power 

input in watts, rounded to the nearest 

tenth, in units of lumens per watt 

(lm/W). 

Lamp electrical power input means 

the total electrical power input to the 

lamp, including both arc and cathode 

power where appropriate, at the 

reference condition, units of watts. 

Lamp wattage means the total 

electrical power required by a lamp in 

watts measured following the initial 

aging period referenced in the 

appropriate industry standard. 

Lumen maintenance means the 

luminous flux or lumen output at a 

given time in the life of the lamp and 

expressed as a percentage of the rated 

luminous flux or rated lumen output, 

respectively. 

Mercury vapor lamp means a highintensity discharge lamp, including 

clear, phosphor-coated, and self-ballast 

screw base lamps, in which the major 

portion of the light is produced by 

radiation from mercury typically 

operating at a partial vapor pressure in 

excess of 100,000 Pa (approximately 1 

atm). 

Metal halide lamp means a highintensity discharge lamp in which the 

major portion of the light is produced by 

radiation of metal halides and their 

products of dissociation, possibly in 

combination with metallic vapors. 

* * * * * 

Rated luminous flux or rated lumen 

output means the initial lumen rating 

(100 hour) declared by the 

manufacturer, which consists of the 

lumen rating of a lamp at the end of 100 

hours of operation. 

Self-ballasted lamp means a lamp 

unit that incorporates all elements that 

are necessary for the starting and stable 

operation of the lamp in a permanent 

enclosure, and that does not include any 

replaceable or interchangeable parts. 

* * * * * 

§ 431.282 [Amended] 

3. Section 431.282 is amended by 

removing the definitions of ‘‘ballast’’, 

‘‘high intensity discharge lamp’’, and 

‘‘mercury vapor lamp’’. 

4. Section 431.322 is amended by 

removing the definitions of ‘‘ballast’’ 

and ‘‘metal halide ballast’’, and revising 

the definition of ‘‘ballast efficiency’’ to 

read as follows: § 431. 322 Definitions 

concerning metal halide lamp ballasts 

and fixtures. 

* * * * * 

Ballast efficiency means, in the case of 

a high-intensity discharge fixture, the 

efficiency of a lamp and ballast 

combination, expressed as a percentage, 

and calculated in accordance with the 

following formula: Efficiency = Lamp 

electrical power input/Ballast power 

input where: 

(1) Lamp electrical power input 

means the total electrical power input to 

the lamp, including both arc and 

cathode power where appropriate, at the 

reference condition, units of watts; 

(2) Ballast power input equals the 

measured operating input wattage; 

(3) The lamp, and the capacitor when 

the capacitor is provided, shall 

constitute a nominal system in 

accordance with the ANSI C78.43 

(incorporated by reference; see 

§ 431.323); 

(4) For ballasts with a frequency of 60 

Hz, ballast power input and lamp 

electrical power input shall be 

measured after lamps have been 

stabilized according to section 4.4 of 

ANSI C82.6 (incorporated by reference; 

see § 431.323) using a wattmeter with 

accuracy specified in section 4.5 of 

ANSI C82.6; and 

(5) For ballasts with a frequency 

greater than 60 Hz, ballast power input 

and lamp electrical power input shall 

have a basic accuracy of ±0.5 percent at 

the higher of either 3 times the output 

operating frequency of the ballast or 2.4 

kHz. 

* * * * * 

5. Subpart Y is added to part 431 to 

read as follows: 

Subpart Y—High-Intensity Discharge 

Lamps 

Sec. 

431.451 Purpose and scope. 

431.452 Definitions concerning highintensity discharge lamps. 

431.453 Material incorporated by reference. 

431.454 Uniform test method for 

calculation of lamp efficacy and lumen 

maintenance from lamp measurements. 

431.455 Energy conservation standards and 

their dates. 

§ 431.451 Purpose and scope. 

This subpart contains energy 

conservation requirements for highintensity discharge lamps, pursuant to 

Part A–1 of Title III of the Energy Policy 

and Conservation Act, as amended, and 

42 U.S.C. 6311–6317. 

§ 431.452 Definitions concerning highintensity discharge lamps. 

Basic model with respect to HID 

lamps means lamps that are of the same 

designation, or class, and that have 

identical electrical characteristics and 

performance characteristics—including 

wattage, bulb shape, base, lumen 

output, starting method, correlated color 

temperature (CCT), and color rendering 

index (CRI)—and do not have any 

differing physical or functional 

characteristics that affect their energy 

use. 

§ 431.453 Material incorporated by 

reference. 

(a) General. We incorporate by 

reference the following standards into 

Subpart Y of Part 431. The material 

listed has been approved for 

incorporation by reference by the 

Director of the Federal Register in 

accordance with 5 U.S.C. 552(a) and 1 

CFR part 51. Any subsequent 

amendment to a standard by the 

standard-setting organization will not 

affect the DOE regulations unless and 

until amended by DOE. Material is 

incorporated as it exists on the date of 

the approval, and a notice of any change 

in the material will be published in the 

Federal Register. All approved material 

is available for inspection at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call (202) 741–6030 

or go to http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. Also, this material is 

available for inspection at U.S. 

Department of Energy, Office of Energy 

Efficiency and Renewable Energy, 

Building Technologies Program, 6th 

Floor, 950 L’Enfant Plaza SW., 

Washington, DC 20024, (202) 586–2945, 

or go to: http://www1.eere.energy.gov/ 

buildings/appliance_standards/. 

Standards can be obtained from the 

sources listed as follows. 

(b) ANSI. American National Standards 

Institute, 25 W. 43rd Street, 4th 

Floor, New York, NY 10036, (212) 


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77932 Federal Register / Vol. 76, No. 241 / Thursday, December 15, 2011 / Proposed Rules 

642–4900, or go to http:// 

www.ansi.org. 

(1) ANSI C78.379–2006 (‘‘ANSI 

C78.379’’), For Electric Lamps— 

Classification of the Beam Patterns 

of Reflector Lamps, approved 2006, 

IBR approved for § 431.454. 

(2) ANSI C78.389–2004 (R2009) (‘‘ANSI 

C78.389’’), American National 

Standard Institute Electric Lamps— 

High Intensity Discharge—Methods 

of Measuring Characteristics, 

approved August 9, 2009, IBR 

approved for § 431.454. 

(c) CIE. International Commission on 

Illumination (Commission 

Internationale de l’Eclairage) 

Central Bureau, Kegelgasse 27, A– 

1030, Vienna, Austria, 011+43 1 

714 31 87 0, or go to http:// 

www.cie.co.at. 

(1) CIE 13.3–1995 (‘‘CIE 13.3’’), 

Technical Report: Method of 

Measuring and Specifying Colour 

Rendering Properties of Light 

Sources, 1995. IBR approved for 

§ 431.454. 

(d) CIE 15:2004 (‘‘CIE 15’’), Technical 

Report: Colorimetry, 2004. IBR 

approved for § 431.454. 

(c) IES. Illuminating Engineering 

Society of North America, 120 Wall 

Street, Floor 17, New York, NY 

10005–4001, (212) 248–5000, or go 

to http://www.iesna.org. 

(1) IES LM–47–01 (‘‘LM–47’’), Approved 

Method for Life Testing of High 

Intensity Discharge (HID) Lamps, 

2001. IBR approved for § 431.454. 

(2) IES LM–51–00 (‘‘LM–51’’), Approved 

Method for the Electrical and 

Photometric Measurements of High 

Intensity Discharge Lamps, 2000. 

IBR approved for § 431.454. 

§ 431.454 Uniform test method for 

calculation of lamp efficacy and lumen 

maintenance from lamp measurements. 

(a) Test Method for Measuring Energy 

Efficiency of High-Intensity Discharge 

Lamps—(1) Test Setup and Conditions. 

The lamps being tested are to be 

operated at the required specified 

conditions with the lamps stabilized 

and operating on the reference circuit 

before any measurements are taken. 

Photometric characteristics to be 

measured are total luminous flux 

(lumens), luminous intensity (candelas), 

and color characteristics (CCT and CRI). 

Lamp electrical characteristics to be 

measured are those required to calculate 

lamp efficacy during normal operation 

(e.g., line voltage, lamp voltage, input 

current, and lamp electrical power 

input). All measured quantities must be 

obtained using an appropriately rated 

reference ballast or power source whose 

characteristics are within the required 

specifications listed as follows. The test 

equipment required to conduct all the 

necessary test procedure electrical and 

photometric measurements must be 

within calibration and meet the required 

performance specifications in ANSI 

C78.389 (incorporated by reference, see 

§ 431.453) and LM–51 (incorporated by 

reference, see § 431.453). All lamps to 

be tested must be aged for 100 hours in 

the same burning position as would be 

used during testing; typical lamp 

orientation will be base up unless 

otherwise designated by the 

manufacturer. Prior to any 

measurement, all lamps must be 

stabilized according to specific methods 

for each lamp type identified in ANSI 

C78.389, section 3.7. Lamps placed into 

long-term testing to determine lumen 

maintenance shall be operated with an 

appropriately rated ballast, as described 

as follows, or power source under 

specified normal operating conditions, 

outlined as follows, and must be 

operated in the orientation specified in 

paragraph (b)(4) of this section. 

(i) Ambient Conditions 

The test apparatus must be operated 

in a location where ambient conditions 

are stable (e.g., ambient temperature and 

air movement), in accordance with the 

specifications listed as follows. 

A. Ambient Test Temperature 

The ambient temperature shall be 25 

°C ± 5 °C. 

B. Air Speed 

The air speed limit shall be ≤ 0.5 

meters per second. 

(ii) Power Supply Characteristics 

Power supply characteristics and 

instrumentation requirements are 

specified in ANSI C78.389 and LM–51. 

A. Waveshape 

Waveshape requirements are set forth 

in ANSI C78.389. The lamp being tested 

shall be operated with a sinusoidal 

voltage supply, and the power supply 

voltage waveshape shall have a rootmean-square summation of the 

harmonic components that does not 

exceed 3 percent of the fundamental 

frequency. 

B. Voltage Regulation 

The power supply voltage shall be 

regulated to within ±0.1 percent of the 

reference ballast voltage rating. 

C. Power Supply Impedance 

The power supply impedance shall 

not exceed 2 percent of the reference 

ballast impedance measured at the point 

where the reference ballast and lamp are 

connected. This method implies that 

variable autotransformers or other 

voltage transformation devices have 

kilovolt-amperes ratings of at least five 

times the normal lamp wattage. 

(iii) Reference Ballasts 

For HID lamp testing, the reference 

ballast used must meet the requirements 

of ANSI C78.389. For HID lamp 

measurements (electrical and 

photometric), the tested lamps must be 

operated with (1) An appropriately rated 

reference ballast or (2) a reference 

ballast with variable impedance that can 

be set to match each lamp type to be 

tested. The reference ballast must have 

the impedance and the electrical 

characteristics required by the lamp 

being tested. If electrical readings are to 

be taken on a lamp for which no ANSI 

standard exists, the ballast used shall 

comply with the general requirements 

for HID lamp reference ballasts and have 

impedance appropriate for the lamp as 

specified in ANSI C78.389. 

(iv) Instrumentation 

The instruments required for 

electrical measurements are described 

in ANSI C78.389, section 3.8. The 

required photometric instruments are 

described in LM–51, section 9.0. 

A. Instrumentation Required for 

Electrical Measurement 

Instruments used for electrical 

measurements must be accurate to better 

than 0.75 percent over a frequency range 

of 40 to 1000 Hz, with calibration 

capability (e.g., scale calibration). See 

ANSI C78.389, section 3.8.1. 

Instruments connected in series with 

the HID lamp being tested are to have 

an impedance such that the voltage drop 

does not exceed 2 percent (1 percent for 

HPS lamps) of the rated lamp voltage, 

unless the impedance has already been 

included as part of the reference ballast 

impedance. To avoid instrument-incircuit corrections, the voltage drop 

shall not exceed 0.75 percent (0.50 

percent for HPS lamps) of the rated 

lamp voltage. For lamp voltage 

measurements, instruments connected 

in parallel with the lamp being tested 

shall draw less than 1 percent of the 

rated lamp current. To avoid correcting 

for the presence of such instruments, 

the current draw shall be limited to 0.5 

percent of the rated lamp current. 

Instruments selected for HID lamp 

voltage and current measurement shall 

be of the true RMS type and have a 

specified accuracy and frequency 

response adequate to meet the specified 

uncertainty requirements (i.e., ±0.5 

percent for voltage and current and 

±0.75 percent for wattage). 


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B. Instrumentation for Photometric 

Measurement 

The photometer shall have a relative 

spectral responsivity that approximates 

the V-lambda (V(l)) function. The 

detector used in an integrating sphere 

measurement shall have a wide field of 

view (approximating a cosine response). 

If a diffuser is used on the detector, its 

surface shall be mounted flush with the 

sphere wall. An integrating sphere shall 

be used for luminous flux 

measurements and must be large enough 

to allow the sphere interior ambient 

temperature to reach thermal 

equilibrium at the specified ambient 

temperature and to permit the internal 

baffle(s) to be small relative to the size 

of the integrating sphere. In the case of 

goniophotometer measurements, the 

detector required for intensity 

distribution measurements shall have a 

cosine response. The intensity 

distribution around a lamp may be 

determined with a photometer at a 

recommended minimum distance of five 

times the longest dimension of the 

lamp. The axis of rotation chosen to 

vary the angle between the lamp and the 

detector shall preserve the lamp 

orientation relative to the detector to 

provide measurement consistency and 

repeatability. Photometric 

measurements of color characteristics 

shall be specified in terms of the CIE 

colorimetry system and CRI. 

(b) Lamp Selection and Setup— 

(1) Lamp Aging and Stabilization. 

For HID lamp testing, a lamp must be 

aged using the aging method set forth in 

ANSI C78.389, section 3.7 (incorporated 

by reference, see § 431.453). A 100-hour 

aging period must be used by 

manufacturers of HID lamps to ensure 

stable photometric, color qualities, and 

electrical characteristics of the lamp 

being tested. This aging is performed 

once for every lamp before stabilization 

and testing. During the aging period, the 

lamp must be operated in the same 

orientation in which it will be used. 

After this one-time aging process, a 

lamp being tested must achieve stable 

operation prior to any measurements 

and the lamp stabilization method 

specified in ANSI C78.389, section 3.7, 

must be used. As detailed in ANSI 

C78.389, HID lamp stabilization 

requirements vary with lamp 

technology. Table I lists the lamp warmup, stabilization, and re-stabilization 

requirements for MV, HPS, and MH 

lamps. 

TABLE I—ANSI C78.389 HID LAMP WARM-UP AND STABILIZATION CRITERIA

Lamp type Lamp warm-up time Stabilization criteria 

MV ................................ 15–20 mins .......................................... 3 successive measurements (voltage and current). 

5 minute measurement intervals. 

Change in value < 1.0%. 

HPS .............................. 1 hour ................................................... 3 successive measurements (voltage and current). 

10–15 minute measurement intervals. 

Change in value < 1.0%. 

MH ................................ 6 hours Operated within ± 10% rated 

wattage.

3 successive measurements (voltage and current). 

10–15 minute measurement intervals. 

Change in value < 3.0%. 

(2) Lamp/Circuit Transfer. 

Lamp transfer and re-stabilization 

must be conducted according to ANSI 

C78.389, section 3.7. 

The lamp cool down and transfer 

requirements of ANSI C78.389, section 

3.7, are shown in Table II. The 

requirements vary with HID lamp type, 

as well as with the specifics of the lamp 

movement. MH lamps that will be 

physically relocated without a change in 

orientation must be allowed to cool to 

60 °C before moving and then warmed 

up for 30 minutes in any new location 

before stabilization measurements may 

begin; if the orientation will change, the 

MH lamp must be operated for 6 hours 

in the final testing orientation before 

stabilization measurements may be 

taken. HPS lamps require a cooling 

period of at least 1 hour before the lamp 

may be moved and re-started prior to 

stabilization measurements. MV lamps 

do not require cooling, but must be 

warmed up before stabilization 

measurements may be taken after the 

lamps are moved. 

TABLE II—ANSI C78.389 HID LAMP COOL DOWN AND RE-STABILIZATION REQUIREMENTS

Lamp type Cooling requirement Re-stabilization time 

MV ................................ None .................................................... Not in standard, Reconfirm stabilized operations upon transfer/restrike. 

HPS .............................. Allow to cool for 1 hour minimum before relocating.Not in standard, Reconfirm stabilized operations upon transfer/restrike. 

MH ................................ Cool to below 60 °C if relocating ......... No relocation no reorientation—30 minutes, Relocation with no reorientation—30 minutes, Reorientation—6 hours. 

(3) Lamp Orientation. 

Lamp orientation requirements are 

those specified in ANSI C78.389, 

section 3.6, for HID lamp testing. A 

lamp marked or otherwise designated 

for use in a specific operating position 

must be tested in that position. If no 

operating position is specified or the 

lamp is marked ‘‘universal,’’ the lamp 

shall be operated in the base up 

position. 

(c) Laboratory Accreditation Program. 

Testing for HID lamps shall be 

conducted by test laboratories 

accredited by the National Voluntary 

Laboratory Accreditation Program 

(NVLAP) or by an accrediting 

organization recognized by NVLAP. 

NVLAP establishes standards for the 

accreditation of laboratories that test for 

compliance with relevant industry 

standards pursuant to 15 CFR 285.3. A 

manufacturer’s or importer’s own 

laboratory, if accredited, may be used to 

conduct the applicable testing. 

(d) Test Measurements and 

Calculations— 

(1) Measurement and Calculation of 

Efficacy. 

HID lamp efficacy shall be calculated 

as the lumen output divided by the 

input lamp wattage measured, with the 

resulting quotient rounded off to the 

nearest tenth of a lumen per watt. 


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(2) Measurement and Calculation of 

Center Beam Intensity and Beam Angle. 

The test procedure described in ANSI 

C78.379 (incorporated by reference, see 

§ 431.453) shall be followed for 

measuring center beam intensity and 

beam angle of directional lamps with 

symmetrical or asymmetrical beams. For 

lamps with complex beam patterns, the 

test procedure described in ANSI 

C78.379, annex A, shall be followed. 

(3) Test Method for Measuring Lumen 

Maintenance. 

HID lamp lumen maintenance shall be 

determined, following the method 

specified in LM–47 (incorporated by 

reference, see § 431.453), after initial 

lamp aging and initial lumen output 

measurement. At a minimum, the lumen 

maintenance measurements shall be 

collected at 40 percent and 70 percent 

of rated lamp life, as described in LM– 

47. 

(4) Measurement and Calculation of 

Correlated Color Temperature and Color 

Rendering Index. 

HID lamp CCT and CRI shall be 

determined using the methods for 

measurement and characterizing color 

set forth in CIE 15 and CIE 13.3 

(incorporated by reference, see 

§§ 431.453). 

§ 431.455 Energy conservation standards 

and their compliance dates. 

[Reserved] 

[FR Doc. 2011–32162 Filed 12–14–11; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Part 39 

[Docket No. FAA–2011–1321; Directorate 

Identifier 2011–NM–045–AD] 

RIN 2120–AA64 

Airworthiness Directives; Airbus 

Airplanes 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Notice of proposed rulemaking 

(NPRM). 

SUMMARY: We propose to adopt a new 

airworthiness directive (AD) for certain 

Airbus Model A319 series airplanes, 

Model A320–211, –212, –214, –231, 

–232, and –233 airplanes, and Model 

A321 series airplanes that would 

supersede an existing AD. This 

proposed AD results from mandatory 

continuing airworthiness information 

(MCAI) originated by an aviation 

authority of another country to identify 

and correct an unsafe condition on an 

aviation product. The MCAI describes 

the unsafe condition as: 

Following an automatic [additional center 

tank(s)] ACT fuel transfer failure on an A319, 

it was noted that the ACT manhole cover 

seals were extruded, allowing leakage. 

This condition, if not corrected, can lead 

to fuel and/or vapour leakage, possibly 

resulting in a combustible fuel vapour/air 

mixture in the cargo compartment, which 

would constitute a fire risk. 

* * * * * 

The proposed AD would require 

actions that are intended to address the 

unsafe condition described in the MCAI. 

DATES: We must receive comments on 

this proposed AD by January 30, 2012. 

ADDRESSES: You may send comments by 

any of the following methods: 

• Federal eRulemaking Portal: Go to 

http://www.regulations.gov. Follow the 

instructions for submitting comments. 

• Fax: (202) 493–2251. 

• Mail: U.S. Department of 

Transportation, Docket Operations, 

M–30, West Building Ground Floor, 

Room W12–140, 1200 New Jersey 

Avenue SE., Washington, DC 20590. 

• Hand Delivery: U.S. Department of 

Transportation, Docket Operations, 

M–30, West Building Ground Floor, 

Room W12–140, 1200 New Jersey 

Avenue SE., Washington, DC, between 

9 a.m. and 5 p.m., Monday through 

Friday, except Federal holidays. 

For service information identified in 

this proposed AD, contact Airbus, 

Airworthiness Office—EAS, 1 Rond 

Point Maurice Bellonte, 31707 Blagnac 

Cedex, France; telephone +33 5 61 93 36 

96; fax +33 5 61 93 44 51; email: 

account.airworth-eas@airbus.com; 

Internet http://www.airbus.com. You 

may review copies of the referenced 

service information at the FAA, 

Transport Airplane Directorate, 1601 

Lind Avenue SW., Renton, Washington. 

For information on the availability of 

this material at the FAA, call (425) 227– 

1221. 

Examining the AD Docket 

You may examine the AD docket on 

the Internet at http:// 

www.regulations.gov; or in person at the 

Docket Operations office between 

9 a.m. and 5 p.m., Monday through 

Friday, except Federal holidays. The AD 

docket contains this proposed AD, the 

regulatory evaluation, any comments 

received, and other information. The 

street address for the Docket Operations 

office (telephone (800) 647–5527) is in 

the ADDRESSES section. Comments will 

be available in the AD docket shortly 

after receipt. 

FOR FURTHER INFORMATION CONTACT: 

Sanjay Ralhan, Aerospace Engineer, 

International Branch, ANM–116, 

Transport Airplane Directorate, FAA, 

1601 Lind Avenue SW., Renton, 

Washington 98057–3356; telephone 

(425) 227–1405; fax (425) 227–1149. 

SUPPLEMENTARY INFORMATION: 

Comments Invited 

We invite you to send any written 

relevant data, views, or arguments about 

this proposed AD. Send your comments 

to an address listed under the 

ADDRESSES section. Include ‘‘Docket No. 

FAA–2011–1321; Directorate Identifier 

2011–NM–045–AD’’ at the beginning of 

your comments. We specifically invite 

comments on the overall regulatory, 

economic, environmental, and energy 

aspects of this proposed AD. We will 

consider all comments received by the 

closing date and may amend this 

proposed AD based on those comments. 

We will post all comments we 

receive, without change, to http:// 

www.regulations.gov, including any 

personal information you provide. We 

will also post a report summarizing each 

substantive verbal contact we receive 

about this proposed AD. 

Discussion 

On October 26, 2005, we issued AD 

2005–23–02, Amendment 39–14360 (70 

FR 69067, November 14, 2005). That AD 

required actions intended to address an 

unsafe condition on Airbus Model 

A319–100 Series Airplanes, Model 

A320–111 airplanes, Model A320–200 

series airplanes, and Model A321–100 

series airplanes. 

Since we issued AD 2005–23–02, 

Amendment 39–14360 (70 FR 69067, 

November 14, 2005), The European 

Aviation Safety Agency (EASA), which 

is the Technical Agent for the Member 

States of the European Community, has 

issued EASA Airworthiness Directive 

2010–0177, dated August 30, 2010 

(referred to after this as ‘‘the MCAI’’), to 

correct an unsafe condition for the 

specified products. The MCAI states: 

Following an automatic ACT fuel transfer 

failure on an A319, it was noted that the ACT 

manhole cover seals were extruded, allowing 

leakage. 

This condition, if not corrected, can lead 

to fuel and/or vapour leakage, possibly 

resulting in a combustible fuel vapour/air 

mixture in the cargo compartment, which 

would constitute a fire risk. 

DGAC France AD F–2004–038 [which 

corresponds to FAA AD 2005–23–02] was 

issued to require the replacement of the ACT 

manhole cover and its seal in accordance 

with SB A320–28–1105, but this 

modification has proved not to be fully 

effective. Therefore, it is necessary to replace 

the seal material and to change the 

installation process in order to prevent such 

seal deformation and possibility of leakage. 


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