```

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

[[Page 29631]]

Vol. 79

Thursday,

No. 99

May 22, 2014

Part V

 Department of Energy

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10 CFR Parts 429 and 431

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

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

[[Page 29632]]

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DEPARTMENT OF ENERGY

 10 CFR Parts 429 and 431

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

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

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

ACTION: Supplemental notice of proposed rulemaking.

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

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

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

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

SUPPLEMENTARY INFORMATION: 

Table of Contents

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

[[Page 29633]]

    G. Laboratory Accreditation Program
    H. Effective Date and Compliance Date for the Test Procedures 
and Compliance Date for Submitting High-Intensity Discharge Lamp 
Certification Reports
    1. Effective Date for the Test Procedures
    2. Compliance Date for the Test Procedures
    3. Compliance Date for Submitting High-Intensity Discharge Lamp 
Certification Reports
III. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    1. Estimated Small Business Burden
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
IV. Public Participation
    A. Submission of Comments
    B. Issues on Which DOE Seeks Comment
    1. Definitions
    a. Beam Angle
    b. Color Rendering Index
    c. Correlated Color Temperature
    d. Directional Lamp
    e. High-Pressure Sodium Lamp
    f. Initial Lumen Output
    g. Lamp Efficacy
    h. Lamp Electrical Power Input
    i. Lamp Wattage
    j. Lumen Maintenance
    k. Mercury Vapor Lamp
    l. Metal Halide Lamp
    m. Rated Luminous Flux or Lumen Output
    n. Self-Ballasted Lamp
    o. Ballast Efficiency
    p. Basic Model
    2. Ambient Test Temperature
    3. Air Speed
    4. Reference Ballasts
    5. Instrumentation for Photometric Measurement
    6. Sampling Plan
    7. Lamp Seasoning and Stabilization
    8. Cool-Down and Re-Stabilization
    9. Lamp Orientation
    10. Special Consideration for Directional Lamps
    11. Efficacy
    12. Measurement and Calculation of Correlated Color Temperature 
and Color Rendering Index
    13. Dimming
    14. Small Business Burden
V. Approval of the Office of the Secretary

I. Authority and Background

    Title III, Part B of the Energy Policy and Conservation Act of 1975 
(Pub. L. 94-163, 42 U.S.C. 6291, et seq. ``EPCA'' or ``the Act'') sets 
forth a variety of provisions designed to improve energy efficiency and 
established the Energy Conservation Program for Consumer Products Other 
Than Automobiles.\1\ Part C of title III, ``Certain Industrial 
Equipment'' (42 U.S.C. 6311-6317), establishes an energy conservation 
program for such equipment.\2\ Although HID lamps are defined in 42 
U.S.C. 6291(46), DOE is required to set standards for HID lamps in 42 
U.S.C. 6317(a)(1). Therefore, DOE has determined that the provisions of 
Part C are applicable to HID lamps.
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    \1\ All references to EPCA in this document refer to the statute 
as amended through the American Energy Manufacturing Technical 
Corrections Act (AEMTCA), Public Law 112-210 (Dec. 18, 2012).
    \2\ For editorial reasons, Parts B and C were re-designated as 
Parts A and A-1 on codification in the U.S. Code.
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    Under EPCA, the energy conservation program consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. The 
testing requirements consist of test procedures that manufacturers of 
covered products must use as the basis for (1) certifying to DOE that 
their products comply with the applicable energy conservation standards 
adopted under EPCA (42 U.S.C. 6295(s) and 6316(a)), and (2) making 
representations about the efficiency of those products (42 U.S.C. 
6315(b)). Similarly, DOE must use these test procedures to determine 
whether the products comply with any relevant standards promulgated 
under EPCA (42 U.S.C. 6295(s) and 6316(a)(1)).
    EPCA requires DOE to prescribe testing requirements for HID lamps 
within 30 months after issuance of a positive determination that energy 
conservation standards are technologically feasible and economically 
justified, and would result in significant energy savings. (42 U.S.C. 
6317(a)(1)) DOE published a positive final determination for HID lamps 
on July 1, 2010. 75 FR 37975.

General Test Procedures Rulemaking Process

    Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered equipment. EPCA provides in relevant part that any test 
procedures prescribed or amended under this section shall be reasonably 
designed to produce test results that measure energy efficiency, energy 
use, or estimated annual operating cost of a covered product or 
equipment during a representative average use cycle or period of use, 
as determined by the Secretary of Energy, and shall not be unduly 
burdensome to conduct. (42 U.S.C. 6314(a)(2))

Background

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

II. Discussion of the Supplemental Notice of Proposed Rulemaking

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

[[Page 29634]]

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

A. Industry Standards and Test Procedures

    In the December 2011 TP NOPR, DOE proposed to incorporate by 
reference six industry standards and test procedures. 77 FR 77914, 
77916 (Dec. 15, 2011). These references were American National 
Standards Institute (ANSI) C78.379-2006, ``For Electric Lamps--
Classification of the Beam Patterns of Reflector Lamps''; ANSI C78.389-
R2009, ``For Electric Lamps--High Intensity Discharge--Methods of 
Measuring Characteristics'' (sections 1.0, 2.0, 3.0, and Figure 1); 
International Commission on Illumination (CIE) 13.3-1995, ``Technical 
Report: Method of Measuring and Specifying Colour Rendering Properties 
of Light Sources''; CIE 15:2004, ``Technical Report: Colorimetry''; 
Illuminating Engineering Society of North America (IES) LM-51-00, 
``Approved Method for the Electrical and Photometric Measurements of 
High Intensity Discharge Lamps'' (sections 1.0, 3.2, 9.0, 10.0, 11.0, 
and 12.0); and IES LM-47-01, ``Approved Method for Life Testing of High 
Intensity Discharge Lamps.'' In today's SNOPR, DOE proposes to update 
its references to incorporate IES LM-51-13, ``Approved Method for the 
Electrical and Photometric Measurements of High Intensity Discharge 
Lamps.'' DOE also proposes to incorporate by reference one additional 
standard: IES LM-78-07, ``IESNA Approved Method for Total Luminous Flux 
Measurement of Lamps Using an Integrating Sphere Photometer.''
    During the January 2012 HID TP public meeting, Intertek commented 
that IES LM-47-01 was more than 10 years old and had been updated. 
(Intertek, Public Meeting Transcript, No. 5 at p. 121) \3\ IES 
subsequently released LM-47-12. DOE no longer proposes to measure lumen 
maintenance; therefore, DOE no longer proposes to incorporate by 
reference in this SNOPR LM-47-12.
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    \3\ A notation in the form ``Intertek, Public Meeting 
Transcript, No. 5 at p. 121'' identifies a comment that DOE has 
received during a public meeting and has included in the docket of 
this rulemaking. This particular notation refers to a comment: (1) 
Submitted by Intertek; (2) transcribed from the public meeting in 
document number 5 of the docket, and (3) appearing on page 121 of 
that document.
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    Intertek also commented during the January 2012 HID TP public 
meeting that IES LM-51-00 was expected to be revised in the latter part 
of 2012. (Intertek, Public Meeting Transcript, No. 5 at p. 121) DOE 
notes that a revised version of IES LM-51 (IES LM-51-13) has been 
released, which DOE proposes to incorporate by reference in this SNOPR.
    The National Electrical Manufacturers Association (NEMA) expressed 
general support for LM-51, but requested more specificity related to 
instrumentation, and suggested that DOE incorporate by reference IES 
LM-78-07. (NEMA, No. 6 at p. 8) \4\ DOE reviewed this test method and 
proposes to incorporate by reference IES LM-78-07, ``IESNA Approved 
Method for Total Luminous Flux Measurement of Lamps Using an 
Integrating Sphere Photometer,'' sections 3.1 and 6.3, in this SNOPR.
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    \4\ A notation in the form ``NEMA, No. 6 at p. 8'' identifies a 
written comment that DOE has received and included in the docket of 
this rulemaking. This particular notation refers to a comment: (1) 
Submitted by National Electric Manufacturer's Association; (2) in 
document number 6 of the docket; and (3) on page 8 of that document.
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B. Definitions

    In the December 2011 TP NOPR, DOE proposed definitions for the 
following terms based on the EPCA definitions of these terms: 
``Ballast'' (42 U.S.C. 6291(58)), ``color rendering index'' (42 U.S.C. 
6291(30)(J)), ``correlated color temperature'' (42 U.S.C. 6291(30)(K)), 
``high-intensity discharge lamp'' (42 U.S.C. 6291(46)), ``mercury vapor 
lamp'' (42 U.S.C. 6291(47)(A)), and ``metal halide lamp'' (42 U.S.C. 
6291(63)). 76 FR 77914, 77917-18 (Dec. 15, 2011). These EPCA 
definitions remain unchanged by this SNOPR.
    As explained in section II.B.1 of this SNOPR, DOE proposed to 
establish definitions of ``beam angle,'' ``directional lamp,'' ``high-
pressure sodium lamp,'' ``lamp electrical power input,'' ``lamp 
efficacy,'' ``lamp wattage,'' ``lumen maintenance,'' ``rated luminous 
flux or rated lumen output,'' and ``self-ballasted lamp'' in the 
December 2011 TP NOPR. Many of the proposed definitions were identical 
or very similar to the definitions set forth in 10 CFR part 430 for 
consumer products. Since the publication of the December 2011 TP NOPR, 
DOE has determined that changes are warranted for some of the proposed 
definitions, and that others are not necessary (``beam angle,'' ``lamp 
electrical power input,'' ``lumen maintenance,'' and ``rated luminous 
flux or rated lumen output'') to include in the test procedures for HID 
lamps.
    As discussed in sections II.B.2 and II.B.3 of this SNOPR, 
respectively, DOE also proposed in the December 2011 TP NOPR to amend 
the definition of ``ballast efficiency'' and to establish a definition 
of ``basic model'' for HID lamps. In this SNOPR, DOE withdraws the 
amendment proposed in the December 2011 TP NOPR and proposes to retain 
the existing definition of ``ballast efficiency.'' In addition, DOE 
proposes revisions to the definition of ``basic model'' for HID lamps 
set forth in the December 2011 TP NOPR.
1. Definitions Relevant to High-Intensity Discharge Lamps
a. Beam Angle
    In the December 2011 TP NOPR, DOE proposed to define ``beam angle'' 
as ``the beam angle (or angles) as measured according to the 
requirements of ANSI C78.379, including complex beam angles as 
described in ANSI C78.379.'' 76 FR 77914, 77917 (Dec. 15, 2011). In 
comments on the NOPR, NEMA agreed with the proposed definition of beam 
angle (NEMA, No. 6 at p. 4), and DOE received no other comments 
supporting or opposing this proposed definition. DOE notes, however, 
that, as stated in the April 2013 HID lamps energy conservation 
standards (ECS) Interim Analysis public meeting. DOE is not considering 
standards for directional lamps in the HID lamps energy conservation 
standards (Docket No. EERE-2010-BT-STD-0043, DOE, Public Meeting 
Transcript, No. 23, at p. 18).\5\ For this reason, in this SNOPR, DOE 
withdraws the proposed definition of ``beam angle'' in the HID test 
procedures.
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    \5\ A notation in this form provides a reference for information 
that is in the docket of DOE's ``Energy Conservation Program for 
Certain Commercial and Industrial Equipment: Energy Conservation 
Standards for High-Intensity Discharge Lamps'' (Docket No. EERE-
2010-BT-STD-0043), which is maintained at www.regulations.gov. This 
notation indicates that the statement preceding the reference is 
document number 00023 in the docket for the metal halide lamp 
ballasts test procedures rulemaking, and appears at page 18 of that 
document.
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b. Color Rendering Index
    In the December 2011 TP NOPR, DOE proposed to adopt a definition of 
``color rendering index'' (CRI) based on the EPCA definition of the 
same term. 76 FR 77914, 77917 (Dec. 15, 2011); see also 42 U.S.C. 
6291(30)(J). The proposed definition was adopted from 10 CFR

[[Page 29635]]

430.2, which defines CRI as ``the measured degree of color shift 
objects undergo when illuminated by a light source as compared with the 
color of those same objects when illuminated by a reference source of 
comparable color temperature.'' \6\. DOE received no comments 
supporting or opposing this proposed definition and maintains the 
proposal for this SNOPR.
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    \6\ The definitions of ``color rendering index'' in EPCA and 10 
CFR 430.2 are substantively identical, excluding a minor wording 
difference. The EPCA definition uses the phrase ``measure of the 
degree of color shift'' whereas the CFR definition uses the phrase 
``measured degree of color shift.'' 42 U.S.C. 6291(30)(J); 10 CFR 
430.2.
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c. Correlated Color Temperature
    In the December 2011 TP NOPR, DOE proposed to adopt the EPCA 
definition of ``correlated color temperature'' (CCT) (42 U.S.C. 
6291(30)(K)), which defines the term as ``the absolute temperature of a 
blackbody whose chromaticity most nearly resembles that of the light 
source.'' 76 FR 77914, 77917 (Dec. 15, 2011). DOE received no comments 
supporting or opposing this proposed definition and maintains the 
proposal for this SNOPR.
d. Directional Lamp
    In the December 2011 TP NOPR, DOE proposed to define ``directional 
lamp'' as ``a lamp emitting at least 80 percent of its light output 
within a solid angle of [pi] steradians (corresponding to a cone with 
an angle of 120 degrees).'' 76 FR 77914, 77917 (Dec. 15, 2011). NEMA 
agreed with the proposed definition of directional lamp. (NEMA, No. 6 
at p. 4) DOE received no other comments supporting or opposing the 
proposed definition. DOE proposes to modify the definition to also 
incorporate the construction of the lamp. DOE proposes a revised 
definition of ``directional lamp'' as ``a lamp with an integral 
reflector, emitting at least 80 percent of its light output within a 
solid angle of [pi] steradians (corresponding to a cone with an angle 
of 120 degrees)'' in this SNOPR to clarify the lamp type that DOE is 
considering excluding from coverage in the ongoing HID lamps standards 
rulemaking (Docket No. EERE-2010-BT-STD-0043).
e. Initial Lumen Output
    In this SNOPR, DOE proposes to add a definition of ``initial lumen 
output'' to provide additional clarity. Initial lumen output is the 
measured amount of light that a lamp provides at the beginning of its 
life. An initial lumen output measurement is required to calculate lamp 
efficacy. Therefore, DOE proposes a definition of ``initial lumen 
output'' as ``the measured lumen output after the lamp is seasoned, 
then initially energized and stabilized, using the lamp seasoning and 
stabilization procedures in section 10 CFR 431.454(b)(1).'' \7\
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    \7\ 10 CFR 431.454(b)(1) is a new section proposed by this 
SNOPR.
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f. High-Pressure Sodium Lamp
    In the December 2011 TP NOPR, DOE proposed to define ``high-
pressure sodium lamp'' (HPS) as ``a high-intensity discharge lamp in 
which the major portion of the light is produced by radiation from 
sodium vapor operating at a partial pressure of about 6,670 pascals 
(approximately 0.066 atmospheres or 50 torr) or greater.'' 76 FR 77914, 
77917 (Dec. 15, 2011). NEMA agreed with the proposed definition of 
``high-pressure sodium lamp'' (NEMA, No. 6 at p. 5), and DOE received 
no other comments supporting or opposing this proposed definition. 
Therefore, DOE retains this definition in this SNOPR.
g. Lamp Efficacy
    In the December 2011 TP NOPR, DOE proposed a definition for ``lamp 
efficacy'' similar to that set forth at 10 CFR part 430, subpart B, 
appendix R,\8\ where ``lamp efficacy'' is defined as ``the ratio of 
measured lamp lumen output in lumens to the measured lamp electrical 
power input in watts, rounded to the nearest tenth, in units of lumens 
per watt.'' DOE proposed to replace ``lamp lumen output'' with ``rated 
luminous flux or rated lumen output'' and to add the abbreviation ``lm/
W'' after ``lumens per watt.'' DOE further stated that the term ``rated 
luminous flux or rated lumen output'' is consistent with DOE's proposed 
definition for ``lumen maintenance,'' and means the same thing as 
``lamp lumen output.'' Therefore, DOE proposed a definition for ``lamp 
efficacy'' as follows: ``the ratio of rated lumen output (or rated 
luminous flux) to the measured lamp electrical power input in watts, 
rounded to the nearest tenth, in units of lumens per watt (lm/W).'' 76 
FR 77914, 77918 (Dec. 15, 2011).
---------------------------------------------------------------------------

    \8\ 10 CFR 430.2 defines lamp efficacy as ``the measured lumen 
output of a lamp in lumens divided by the measured lamp electrical 
power input in watts expressed in units of lumens per watt (LPW).'' 
10 CFR part 430, subpart B, appendix R defines ``lamp efficacy'' as 
``the ratio of measured lamp lumen output in lumens to the measured 
lamp electrical power input in watts, rounded to the nearest tenth, 
in units of lumens per watt.'' The primary difference between the 
definitions is the rounding of the values.
---------------------------------------------------------------------------

    NEMA disagreed with DOE's use of ``rated luminous flux or rated 
lumen output'' as an equivalent to ``measured lamp lumen output,'' 
stating that the terms ``rated'' and ``measured'' are not 
interchangeable. (NEMA, No. 6 at pp. 2, 5) NEMA suggested that DOE 
instead use the definition for lamp efficacy in IES RP-16-10, 
``Nomenclature and Definitions for Illuminating Engineering'' (RP-16). 
(NEMA, No. 6 at p. 5) NEMA refined its comments during the March 2012 
framework public meeting for the HID lamps energy conservation 
standards (herein referred to as the March 2012 ECS public meeting), 
stating that upon a second review of RP-16, ``lamp efficacy'' is not 
defined, but ``luminous efficacy'' is defined, and encouraged DOE to 
use ``luminous efficacy'' as the appropriate term. (Docket No. EERE-
2010-BT-STD-0043, NEMA, Public Meeting Transcript, No. 6 at p. 40) The 
RP-16 definition for ``luminous efficacy of a source of light'' is ``. 
. . the quotient of the luminous flux emitted by the total lamp power 
input. It is expressed in lm/W.''
    DOE acknowledges that ``lamp efficacy'' is not defined in RP-16, 
but notes that ``lamp efficacy,'' rather than ``luminous efficacy,'' is 
used for all other covered lamps and is the common term in the lighting 
industry. Therefore, in this SNOPR, DOE proposes to keep the term 
``lamp efficacy,'' but to revise the definition proposed in the 
December 2011 TP NOPR.
    DOE acknowledges NEMA's statement that a rated value is a value 
declared by the manufacturer to represent the long-term average of any 
given parameter. (NEMA, No. 6 at p. 2) DOE proposes to revise the 
definition of ``lamp efficacy'' to be consistent with the definition of 
``lamp efficacy'' in EPCA and simply use the terms ``lumen output'' and 
``wattage.'' DOE includes additional language in its test procedures 
that qualifies lamp lumen output and wattage as ``measured.''
    The proposed definition for ``lamp efficacy'' in the December 2011 
TP NOPR specified that efficacy values (lumens per watt) be rounded to 
the nearest tenth. Lamp manufacturers OSRAM SYLVANIA and Philips 
Electronics (Philips) commented that HID lamp measurements vary widely 
because of the lamp chemistry used in HID lamps, the operating 
characteristics of high-lumen-output HID lamps, and the sheer light 
output of HID lamps (ranging from a few thousand to over a hundred 
thousand lumens), and stated that rounding calculated efficacies to the 
nearest tenth implies a measurement accuracy that is not achievable. 
(OSRAM SYLVANIA, Public Meeting Transcript, No. 5 at p. 32; Philips, 
Public Meeting Transcript, No. 5 at p.

[[Page 29636]]

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

    \9\ The EPCA definition for ``lamp wattage'' is ``the total 
electrical power consumed by a lamp in watts, after the initial 
seasoning period referenced in the appropriate IES standard test 
procedures and including, for fluorescent, arc watts plus cathode 
watts.''
---------------------------------------------------------------------------

    In this SNOPR, DOE proposes to modify its original proposed 
definition of ``lamp wattage'' to more closely parallel the EPCA 
definition of ``lamp wattage,'' and to reference the applicable IES 
lamp seasoning provisions required to support lamp wattage 
measurements. Specifically, DOE proposes to replace ``measured 
following the initial aging period referenced in the relevant industry 
standard'' with ``after the initial seasoning period referenced in 
section 6.2.1 of IES LM-51-13.''
    Therefore, DOE proposes in this SNOPR to define ``lamp wattage'' as 
``the total electrical power consumed by a lamp in watts, after the 
initial seasoning period referenced in section 6.2.1 of IES LM-51-13.''
    As previously discussed in this SNOPR, DOE is proposing a new 
definition of ``lamp efficacy'' in which the term ``measured lamp 
electrical power in watts'' is replaced with ``wattage.'' DOE defined 
``lamp wattage'' in the December 2011 TP NOPR and interprets it as 
equivalent to the term ``wattage.''
j. Lumen Maintenance
    In the December 2011 TP NOPR, DOE proposed to define ``lumen 
maintenance'' as ``the luminous flux or lumen output at a given time in 
the life of the lamp and expressed as a percentage of the rated 
luminous flux or rated lumen output, respectively.'' 76 FR 77914, 77918 
(Dec. 15, 2011). This definition is the same as that set forth for 
medium-base compact fluorescent lamps (CFLs) at 10 CFR part 430, 
subpart B, appendix W, section (2)(c).
    Pacific Gas and Electric Company, San Diego Gas and Electric, 
Southern California Gas Company, and Southern California Edison (herein 
referred to as the California Investor Owned Utilities (CA IOUs)), 
together with the Appliance Standards Awareness Project, American 
Council for an Energy-Efficient Economy, and the Natural Resources 
Defense Council jointly filed a comment (herein referred to as the 
Joint Comment) that supported measuring lumen maintenance for HID 
lamps, but did not comment specifically on the proposed definition. (CA 
IOUs, No. 8 at p. 1; Joint Comment, No. 9 at p. 1) NEMA disagreed with 
the definition, citing inconsistent references to measured and rated 
values. NEMA disagreed with DOE's use of ``rated luminous flux or rated 
lumen output'' as an equivalent to ``measured lamp lumen output,'' 
stating that the terms ``rated'' and ``measured'' are not 
interchangeable. According to NEMA, because measured values were 
expected to be reported, possible confusion and misreporting could 
arise if rated values were reported instead. (NEMA, No. 6 at pp. 2, 5-
6)
    DOE no longer proposes to measure lumen maintenance. Therefore, in 
this SNOPR, DOE withdraws the proposed definition of ``lumen 
maintenance'' for HID lamps as proposed in the December 2011 TP NOPR. 
76 FR 77914, 77918 (December 15, 2011).
k. Rated Luminous Flux or Rated Lumen Output
    In the December 2011 TP NOPR, DOE proposed to define ``rated 
luminous flux or rated lumen output'' as ``the initial lumen rating 
(100 hour) declared by the manufacturer, which consists of the lumen 
rating of a lamp at the end of 100 hours of operation.'' This is the 
same definition set forth for medium-base CFLs at 10 CFR part 430, 
subpart B, appendix W, section (2)(d), and proposed in the December 
2011 TP

[[Page 29637]]

NOPR. 76 FR 77914, 77918 (Dec. 15, 2011). NEMA agreed with the proposed 
definition of ``rated luminous flux or rated lumen output.'' (NEMA, No. 
6 at p. 4) DOE received no other comments supporting or opposing this 
proposed definition.
    DOE has removed the term ``rated luminous flux or rated lumen 
output'' from the proposed definition of ``lamp efficacy'' in this 
SNOPR. Therefore, in this SNOPR, DOE proposes to withdraw the proposed 
definition of ``rated luminous flux or rated lumen output'' for HID 
lamps as proposed in the December 2011 TP NOPR. 76 FR 77914, 77918 
(Dec. 15, 2011).
l. Self-Ballasted Lamp
    In the December 2011 TP NOPR, DOE proposed to define ``self-
ballasted lamp'' as ``a lamp unit that incorporates all elements that 
are necessary for the starting and stable operation of the lamp in a 
permanent enclosure and that does not include any replaceable or 
interchangeable parts.'' 76 FR 77914, 77918 (Dec. 15, 2011).\10\ NEMA 
agreed with the proposed definition, and DOE received no other comments 
supporting or opposing this proposed definition. (NEMA, No. 6 at p. 4) 
Therefore, DOE retains the December 2011 TP NOPR proposed definition in 
this SNOPR.
---------------------------------------------------------------------------

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

2. Definition of ``Ballast Efficiency'' for Metal Halide Lamp Fixtures
    In the December 2011 TP NOPR, DOE proposed an amended definition of 
``ballast efficiency'' for HID fixtures, currently set forth at 10 CFR 
431.322. 76 FR 77914, 77918 (Dec. 15, 2011). Currently, ``ballast 
efficiency'' for an HID fixture means, in relevant part, ``the 
efficiency of a lamp and ballast combination, expressed as a 
percentage, and calculated in accordance with the following formula:

Efficiency = Pout/Pin

    Where:

    (1) Pout equals the measured operating lamp wattage;
    (2) Pin equals the measured operating input wattage . 
. .''

10 CFR 431.322

    In the December 2011 TP NOPR, DOE noted that the definition of the 
term ``Pout'' is the same as the definition DOE proposed for 
``lamp electrical power input.'' In order to avoid possible confusion 
between ``Pout'' and ``lamp electrical power input,'' DOE 
proposed in the December 2011 TP NOPR to amend the definition of 
``ballast efficiency'' as follows: `` `Ballast efficiency' means, in 
the case of a high-intensity discharge fixture, the efficiency of a 
lamp and ballast combination, expressed as a percentage, and calculated 
in accordance with the following formula:

Efficiency = Lamp electrical power input/ballast power input

    Where:

    (1) Lamp electrical power input means the total electrical power 
input to the lamp, including both arc and cathode power where 
appropriate, at the reference condition, in units of watts;
    (2) Ballast power input equals the measured operating input 
wattage . . .''

76 FR 77914, 77198 (Dec. 15, 2011).
    NEMA commented that the proposed definition would produce 
inaccurate results for ballast efficiency because the lamp and ballast 
power inputs are measured at reference and non-reference conditions, 
respectively. (NEMA, No. 6 at pp. 6-7) DOE received no other comments 
related to the proposed definition of ``ballast efficiency.''
    Upon review, DOE determined that HID lamp testing and MH lamp 
ballast testing are conducted separately, which effectively eliminates 
any overlap and confusion of electrical power terms. As discussed 
earlier in this document, DOE proposes to use the term ``wattage'' 
instead of ``lamp electrical power input'' in its revised definition 
for ``lamp efficacy.'' Therefore, in this SNOPR, DOE withdraws the 
proposed definition of ``lamp electrical power input'' for HID lamps. 
In addition, DOE acknowledges that testing inaccuracies could arise 
from the proposed definition for ``ballast efficiency,'' which was 
intended to prevent confusion between the terms ``Pout'' and 
``lamp electrical power input.'' Because HID lamp testing and MH lamp 
ballast testing are conducted separately and DOE no longer proposes to 
define ``lamp electrical power input,'' this potential confusion should 
not materialize. Therefore, DOE is not proposing to amend the current 
definition of ``ballast efficiency'' at 10 CFR 431.322 in this SNOPR.
3. Definition of ``Basic Model'' for High-Intensity Discharge Lamps
    In the December 2011 TP NOPR, DOE proposed defining ``basic model'' 
for the HID lamp test procedures as follows: `` `Basic model' with 
respect to HID lamps means all units of a given type of covered 
equipment (or class thereof) manufactured by one manufacturer, having 
the same primary energy source and which have essentially identical 
electrical, physical, and functional (or hydraulic) characteristics 
that affect energy consumption, energy efficiency, water consumption, 
or water efficiency, and are rated to operate a given lamp type and 
wattage.'' 76 FR 77914, 77918 (Dec. 15, 2011).\11\
---------------------------------------------------------------------------

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

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

[[Page 29638]]

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

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

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

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

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

[[Page 29639]]

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

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

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

[[Page 29640]]

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

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

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

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

[[Page 29641]]

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

    \14\ The relative spectral throughput of an integrating sphere 
is the ratio of the spectral irradiance on the detector port of the 
sphere by a reference light source and the spectral irradiance of 
the same source measured outside the integrating sphere.
---------------------------------------------------------------------------

    DOE also proposed that an integrating sphere for luminous flux 
measurements must be large enough to allow the sphere's interior 
temperature to reach thermal equilibrium at the specified ambient 
temperature and to permit the internal baffle(s) to be small relative 
to the size of the integrating sphere. 76 FR 77914, 77920 (Dec. 15, 
2011).
    GE commented that NEMA members needed more detailed specifications 
for the integrating sphere diameter, and suggested that CIE standards 
might provide guidance. (GE, Public Meeting Transcript, No. 5 at p. 77) 
NEMA stated that it accepted DOE instrumentation requirements in 
principle, but requested more detailed guidance on integrating sphere 
diameter, suggesting that DOE reference IES LM-78-07, ``IESNA Approved 
Method for Total Luminous Flux Measurement of Lamps Using an 
Integrating Sphere Photometer.'' (NEMA, No. 6 at pp. 8-9) DOE reviewed 
LM-78 and notes that sections 3.1, ``Size of the Sphere,'' and 6.3, 
``Sources of Errors and Corrections,'' provide detailed guidance on 
integrating sphere diameter. DOE also reviewed CIE 84, ``Measurement of 
Luminous Flux,'' and determined that those sphere size specifications 
are already incorporated into LM-78. Therefore, DOE proposes that 
luminous flux be determined as specified in section 7.0 of IES LM-51-13 
and, when using an integrating sphere, determined as specified in 
sections 3.1 and 6.3 of IES LM-78-07.
ii. Goniophotometer
    In the December 2011 TP NOPR, DOE proposed that for measurements 
using a goniophotometer, the detector required for intensity 
distribution would have a cosine response. 76 FR 77914, 77920 (Dec. 15, 
2011). DOE did not receive any comments related to the use of 
goniophotometers in response to the 2011 TP NOPR. Because directional 
HID lamps are not covered in this SNOPR (see section II.C.3), DOE is 
revising its proposed test procedures to omit intensity measurements 
for directional lamps. Upon review of measurement correlation, testing 
burden, and relative incidence of use between goniophotometers and 
integrating spheres, DOE also proposes using an integrated sphere, 
rather than a goniometer system, to carry out all photometric 
measurements of HID lamps.
    While DOE recognizes that the integrating sphere and 
goniophotometer (a goniometer fitted with a photometer as the light 
detector) are both valid means of photometric measurement, DOE is 
concerned about the potential for a difference in the measured values. 
A test procedure that yields more than one possible value depending on 
instrumentation presents problems for certification and enforcement. If 
DOE and the manufacturer use different test methods, DOE could find 
that a lamp certified as compliant could be tested as non-compliant 
during a verification or enforcement proceeding. IES LM-51-13 does not 
explicitly specify the scanning resolution (i.e., quantity and location 
of measurements around the lamp). DOE also determined that further 
specification of the goniophotometer method is unreasonable, because 
the scanning resolution specification would need to be adequate for the 
lamp that requires the finest resolution. This would likely present an 
overly burdensome test method for many other lamps that could be 
measured at a lower resolution. In contrast, use of an integrating 
sphere enables photometric characteristics of the HID lamp to be 
determined with a single measurement. Therefore, integrating spheres 
are the preferred method for photometric measurement due to the 
reduction in time required for testing.
    In consideration of the lack of measurement correlation between 
goniophotometers and integrating spheres and the reduced burden and 
much higher incidence of use of integrating spheres, DOE proposes in 
the SNOPR to require all photometric measurements for HID lamps to be 
carried out in an integrating sphere and that goniometer systems must 
not be used. DOE invites interested parties to comment on the proposal 
to require all photometric values be measured by an integrating sphere 
(via photometer or spectroradiometer).
2. Lamp Selection and Setup
a. Basic Model
    In the December 2011 TP NOPR, DOE proposed test procedures for HID 
lamp testing to determine the energy efficiency characteristics of each 
basic model. 76 FR 77914, 77921 (Dec. 15, 2011). As discussed in 
section III.A.3 of the December 2011 TP NOPR, a ``basic model'' is a 
group of lamp models that are essentially identical in design and 
performance. Id. The revised definition of ``basic model'' proposed in 
today's SNOPR does not change these relevant aspects. The performance 
characteristics proposed to be measured (e.g., lumen output, power, and 
CCT) must be similar for all of the lamps represented by a basic model. 
76 FR 77914, 77918 (Dec. 15, 2011).
b. Sampling Plans
    In the December 2011 TP NOPR, DOE proposed a HID lamp sampling 
method similar to that used for GSFL/GSIL/IRL at 10 CFR 
429.27(a)(2)(i)-(ii), as follows.
    For each basic model of HID lamps, samples of production lamps from 
a minimum sample size of 21 lamps are to be tested, and the results for 
all samples are to be averaged over a consecutive 12-month period. The 
manufacturer is to randomly select a minimum of three lamps from each 
month of production for a minimum of 7 months out of the 12-month 
period. If production occurs during fewer than 7 of the 12 months, the 
manufacturer is to randomly select three or more lamps from each month 
of production, and the number of lamps selected for each month is to be 
distributed as evenly as practicable among the months of production to 
obtain a minimum sample of 21 lamps. Due to inherent uncertainty in any 
sample measurement, the confidence limit is set to 95 percent based on 
the sample's statistical t-test.\15\ Any represented characteristic 
value of a basic model is to be based on this sample, and this 
characteristic value is to be no greater than the lower of:
---------------------------------------------------------------------------

    \15\ A t-test is used to determine if two sample groups from the 
same population are ``statistically'' different, e.g., variability 
of distribution about the sample mean. The t-test evaluates this 
statistical difference by calculating the ratio of sample group mean 
difference to group variance. This ratio is analogous to a signal to 
noise ratio: The higher the ratio, the less likely it is that the 
difference between the two groups is random.
---------------------------------------------------------------------------

    (A) The mean of the sample,

Where:
[GRAPHIC] [TIFF OMITTED] TP22MY14.000

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

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

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

Or,

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

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

and x is the sample mean,
s is the sample standard deviation,
n is the number of samples, and
t0.95 is the t statistic for a 95-percent one-tailed 
confidence interval with n-1

[[Page 29642]]

degrees of freedom (from statistical tables).

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

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

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

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

[[Page 29643]]

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

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

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

[[Page 29644]]

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

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

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

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

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

[[Page 29645]]

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

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

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

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

[GRAPHIC] [TIFF OMITTED] TP22MY14.008

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

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

[[Page 29646]]

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

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

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

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

    [GRAPHIC] [TIFF OMITTED] TP22MY14.002
    
Where:
x is the sample mean,
n is the number of samples, and
xi is the ith sample;

Or,

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

[GRAPHIC] [TIFF OMITTED] TP22MY14.003

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

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

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

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

    \20\ For example, if the lamp is to be operated in the base-down 
position, the lamp must be operated (``burned in'' or ``aged'') in 
that base-down position.
    \21\ Lamp position is designated in the lamp designation 
(catalog code) and included in manufacturer catalogs, specification 
sheets, and the packaging.
---------------------------------------------------------------------------

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

[[Page 29647]]

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

    During the January 2012 TP public meeting, OSRAM SYLVANIA explained 
an industry practice where HID lamps are energized, stabilized, and 
moved into the integrating sphere. There is no cool-down or re-
stabilization because the lamps are not extinguished. (OSRAM SYLVANIA, 
Public Meeting Transcript, No. 5 at pp. 85-86) NEMA provided further 
details on how the lamps are moved into the integrating sphere while 
operating, and how stabilization is reconfirmed inside the sphere. 
(NEMA, No. 6 at p. 11) NEMA stated that this methodology is more 
efficient than extinguishing, cooling, and re-stabilizing the lamp. 
(NEMA, No. 6 at p. 11) NEMA also stated that this method generally 
requires a maximum stabilization time of only 15 minutes. NEMA was 
concerned that DOE's proposed cool-down and re-stabilization 
requirements would apply unnecessarily to lamps that remain operating 
with no change in orientation. (NEMA, No. 6 at p. 11) According to 
NEMA, ``The table [Table II.10], as written seems to apply to lamps 
that are turned off before locating them in the sphere. This should not 
apply to the lamps that remain lighted with no change in orientation.'' 
(NEMA, No. 6 at p.11) DOE understands that this methodology is an 
industry practice but is not documented in any industry standards.
    DOE agrees with NEMA's distinction, and proposes that lamps that 
remain energized with no change in orientation when moved should be 
operated for the minimum time needed to verify lamp stabilization prior 
to measurements. If the lamps are changed in orientation and/or 
extinguished and then moved, DOE proposes to apply the cool-down and 
re-stabilization requirements from the NOPR (shown in Table II.10).
e. Lamp Orientation
    In the December 2011 TP NOPR, DOE proposed to adopt the lamp 
orientation requirements of ANSI C78.389, section 3.6, for HID lamp 
testing. 76 FR 77914, 77923 (Dec. 15, 2011). As discussed herein, 
industry procedures have been developed to ensure that the correct 
orientation is maintained for consistent electrical and photometric 
measurements.
    ANSI C78.389, section 3.6, requires that a lamp marked or 
designated on the lamp's data sheet for use in a specific operating 
position be tested in that position. If no operating position is 
specified or the lamp is marked ``universal,'' this industry standard 
directs that the lamp is to be operated in the vertical base-up 
position.
    In contrast, LM-51 does not contain lamp orientation requirements 
for testing, except to note that lamp orientation during warm-up must 
be the same as that during photometry. LM-51 also states that the 
manufacturer's specifications should be consulted for any restrictions 
on lamp orientation.
    During the January 2012 TP public meeting, the CA IOUs asked 
whether HID lamps performed best in a vertical operating position. (CA 
IOUs, Public Meeting Transcript, No. 5 at pp. 89-90) OSRAM SYLVANIA 
stated that it measures lumen output for universal position lamps in 
horizontal and vertical orientations. (OSRAM SYLVANIA, Public Meeting 
Transcript, No. 5 at pp. 90-91) Manufacturers further elaborated that 
universal position lamps are often used in floodlights where the aiming 
angle is unknown, and it would be burdensome to test them in additional 
orientations. (OSRAM SYLVANIA, Public Meeting Transcript, No. 5 at pp. 
91-93; GE, Public Meeting Transcript, No. 5 at pp. 92-93)
    In their comments, the CA IOUs expressed concern that universal 
position lamps were less efficacious and, because they are less 
expensive than position-dedicated lamps, they might be substituted in 
position-dedicated applications. (CA IOUs, No. 8 at pp. 2-3) The CA 
IOUs urged DOE to require testing universal position lamps at multiple 
orientations, suggesting that two or three additional orientations 
would not add significant testing burden. (CA IOUs, No. 8 at pp. 2-3) 
The Joint Comment agreed, encouraging DOE to examine the range of 
efficacy levels of universal position lamps when operated in a 
horizontal position. (Joint Comment, No. 9 at p. 2) NEMA stated that it 
agreed with ANSI C78.389, which limits testing to a lamp's specified 
orientation or a vertical base-up orientation if not specified 
(including universal position lamps). (NEMA, No. 6 at p. 11)
    DOE reviewed manufacturer performance data for horizontal position 
only lamps, vertical base-up position only lamps, and universal 
position lamps (tested in a vertical, base-up position). In its review, 
DOE found the data reported in catalogs did not provide conclusive 
evidence of differences in efficacy between these lamp types. DOE also 
reviewed published data, such as manufacturer catalogs, for universal 
orientation lamps when operated in vertical base-up and horizontal 
orientations. This data suggests that universal position lamps are 
generally less efficacious when operated in a horizontal orientation.
    DOE acknowledges that manufacturers cannot know the orientation in 
which universal lamps will be operated, and agrees that testing at 
multiple orientations would impose an undue burden. At the January 2012 
TP public meeting, OSRAM SYLVANIA and GE stated that universal 
orientation lamps are most commonly used in a vertical position. (OSRAM 
SYLVANIA, Public Meeting Transcript, No. 5 at p. 91; GE, Public Meeting 
Transcript, No. 5 at p. 92)
    Vertical position specifies the orientation of the lamp, but does 
not denote whether the base is up or down in the orientation. Of the 
HID lamps, only MH lamps are affected by operating position. Vertical 
burning MH lamps are available in base-up, base-down, and base-up/base-
down designations.
    Universal lamps are specified for projects for two major reasons: 
(1) The fixture can be aimed (e.g., a floodlight) and is going to be 
aimed at angle that is not entirely vertical or horizontal; and (2) 
there are multiple types of fixtures at the site (e.g., a bollard with 
a base-down socket, an area lighting fixture with a base-up socket, or 
a downlight fixture with a base-up socket) that use

[[Page 29648]]

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

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

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

D. Test Measurements and Calculations

1. Measurement and Calculation of Efficacy
    In the December 2011 TP NOPR, DOE proposed that HID lamp efficacy 
be calculated as the initial lumen output divided by the measured input 
lamp wattage, with the resulting quotient rounded off to the nearest 
tenth of a lumen per watt. 76 FR 77914, 77923 (Dec. 15, 2011). This 
requirement is consistent with the 2009 GSFL/GSIL/IRL test procedures 
final rule, in which DOE required testing to a tenth of a lumen per 
watt. 74 FR 31829, 31836 (July 6, 2009).
    In this SNOPR, DOE proposes specific provisions for initial lumen 
output and lamp input power measurements for clarity. DOE proposes that 
the initial lumen output be measured in accordance with section 
II.C.1.d, in which DOE maintained its proposal from the NOPR that 
photometric testing be conducted per IES LM-51-2013. For lamp input 
power, DOE proposes measurements be conducted in accordance with 
section 3.5, 3.9, and 3.10 of ANSI C78.389. Section 3.5 details the 
circuit types that can be used for the connecting the required 
measurement instrumentation, including the reference ballast, 
voltmeter, wattmeter, and/or ammeter to the HID lamp. Section 3.9 
describes the methods necessary to compensate for the presence of 
instruments in the lamp circuit when taking the measurements. Lastly, 
section 3.10 (which applies exclusively to HPS lamps) gives 
instructions for the measurement of lamp amperes and volts at nominal 
lamp wattage. To measure the wattage of an HID lamp, if a voltmeter and 
ammeter are used then the product of the measured voltage and the 
current is the lamp wattage (input electrical power) of the HID lamp. 
If a wattmeter is used, then the measured value in watts is the lamp 
wattage of the HID lamp. DOE did not receive any comments following the 
December 2011 TP NOPR regarding input power measurements for HID lamps. 
In this SNOPR, DOE proposes to calculate HID lamp efficacy as the 
measured initial lumen output divided by the measured input power in 
watts, with the resulting quotient rounded off to the nearest tenth of 
a lumen per watt. DOE requests comment on the input power and lumen 
output measurements necessary to calculate lamp efficacy.
2. Measurement and Calculation of Center Beam Intensity and Beam Angle
    In the December 2011 TP NOPR, DOE proposed measuring center beam 
intensity and calculating the beam angle for directional lamps using 
the procedures described in ANSI C78.379. 76 FR 77914, 77923 (Dec. 15, 
2011). During the January 2012 TP public meeting, NEMA expressed 
general concern about DOE's directional HID lamp requirements. (NEMA, 
Public Meeting Transcript, No. 5 at pp. 88-89) GE clarified that NEMA 
agreed with using ANSI C78.379, but that its concern was related to the 
specific metrics and related tolerances once the measurements were 
completed. (GE, Public Meeting Transcript, No. 5 at p. 89) NEMA 
elaborated that measuring the beam performance of directional lamps 
increases the measurement variation if zonal lumens are used to set 
efficiency limits. (NEMA, No. 6 at p. 11)
    As discussed in section II.C.3, DOE is considering excluding 
directional lamps from its HID lamps ECS rulemaking. For this reason, 
DOE is not including center beam intensity or beam angle calculation 
provisions in this SNOPR.
3. Measurement and Calculation of Correlated Color Temperature and 
Color Rendering Index
    In the December 2011 TP NOPR, DOE proposed to adopt CCT and CRI 
measurement methods based on CIE 15 and CIE 13.3. 76 FR 77914, 77924 
(Dec. 15, 2011). DOE previously incorporated these standards in the 
GSFL/GSIL/IRL test procedures final rule. 74 FR 31829, 31834 (July 6, 
2009).
    During the January 2012 TP public meeting, the CA IOUs asked NEMA 
to distinguish its position on the proposed methodology for color 
quality measurements from its disagreement of using color quality to 
establish equipment classes in the HID lamps ECS. (CA IOUs, Public 
Meeting Transcript, No. 5 at pp. 106-107) NEMA responded that it had no 
issue with the proposed methods for measuring color quality of HID 
lamps. (NEMA, Public Meeting Transcript, No. 5 at p. 107)
    NEMA commented that test standards are appropriate for CCT and CRI 
for lamps at 100 hours. NEMA further elaborated that the industry does 
not endorse the concept of CRI or CCT maintenance. (NEMA, No. 6 at p. 
3) DOE acknowledges that after HID lamps have been seasoned (operated 
for 100 hours), the color characteristics can be measured. Although DOE 
is considering using initial CCT and CRI to determine scope and 
equipment classes in the HID lamps ECS rulemaking, DOE is not 
considering CCT or CRI maintenance requirements. (Docket No. EERE-2010-
BT-STD-0043)
    DOE acknowledges that the color shift of HID lamps occurs over time 
and is not possible to predict. Therefore, DOE proposes that after the 
initial seasoning period (100 hours of operation), manufacturers would 
measure CCT values for 21 HID lamps (see section II.C.2.b.i for a 
discussion of proposed sample size requirements). The sample

[[Page 29649]]

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

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

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

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

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

[[Page 29650]]

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

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

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

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

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

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

F. Standby Mode and Off Mode Energy Usage

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

[[Page 29651]]

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

G. Laboratory Accreditation Program

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

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

1. Effective Date for the Test Procedures
    The test procedures will be effective 30 days after publication of 
any final rule in the Federal Register.
2. Compliance Date for the Test Procedures
    The compliance date for making any representations of the energy 
efficiency of covered HID lamps is 180 days from the date of the 
publication of any final rule in the Federal Register. On or after that 
date, any such representations, including those made on marketing 
materials and product labels, would be required to be based on results 
generated under the final test procedures and the applicable sampling 
plans.
3. Compliance Date for Submitting High-Intensity Discharge Lamp 
Certification Reports
    Until DOE establishes energy conservation standards for HID lamps, 
manufacturers, including importers, are not required to submit 
compliance statements or certification reports for HID lamps. DOE will 
address these requirements should DOE establish energy conservation 
standards for HID lamps.

III. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (OMB) has determined that test 
procedures rulemakings do not constitute ``significant regulatory 
actions'' under section 3(f) of Executive Order 12866, ``Regulatory 
Planning and Review,'' 58 FR 51735 (Oct. 4, 1993). Accordingly, this 
action was not subject to review under the Executive Order by the 
Office of Information and Regulatory Affairs (OIRA) in the OMB.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of a regulatory flexibility analysis for any rule that by 
law must be proposed for public comment, unless the agency certifies 
that the rule, if promulgated, will not have a significant economic 
impact on a substantial number of small entities. As required by 
Executive Order 13272, ``Proper Consideration of Small Entities in 
Agency Rulemaking,'' 67 FR 53461 (Aug. 16, 2002), DOE published 
procedures and policies to ensure that the potential impacts of its 
rules on small entities are properly considered during the DOE 
rulemaking process. 68 FR 7990 (Feb. 19, 2003). DOE has made its 
procedures and policies available on the Office of the General 
Counsel's Web site: http://energy.gov/gc/office-general-counsel.
    DOE reviewed the test procedures considered in today's SNOPR under 
the provisions of the Regulatory Flexibility Act (RFA) and the policies 
and procedures published on February 19, 2003. As discussed in more 
detail below, DOE found that because the proposed test procedures have 
not previously been required of manufacturers, all manufacturers, 
including small manufacturers, may potentially experience a financial 
burden associated with new testing requirements. While examining this 
issue, DOE determined that it could not certify that the proposed rule, 
if promulgated, would not have a significant impact on a substantial 
number of small entities. Therefore, DOE has prepared an Initial 
Regulatory Flexibility Analysis (IRFA) for this rulemaking. The IRFA 
describes the potential impacts on small businesses associated with HID 
lamp testing and labeling requirements. DOE has transmitted a copy of 
this IRFA to the Chief Counsel for Advocacy of the Small Business 
Administration (SBA) for review.
1. Estimated Small Business Burden
    SBA has set a size threshold for electric lamp manufacturers to 
describe those entities that are classified as ``small businesses'' for 
the purposes of the IRFA. DOE used the SBA's small business size 
standards to determine whether any small manufacturers of HID lamps 
would be subject to the requirements of the rule. 65 FR 30836, 30849 
(May 15, 2000), as amended at 65 FR 53533, 53545 (Sept. 5, 2000) and 
codified at 13 CFR part 121. The size

[[Page 29652]]

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

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

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

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

    The costs in the table were calculated as follows:

[[Page 29653]]

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

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

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

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

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

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

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

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

[[Page 29654]]

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

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

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

C. Review Under the Paperwork Reduction Act of 1995

    There is currently no information collection requirement related to 
the test procedures for HID lamps. In the event that DOE proposes an 
energy conservation standard with which manufacturers must demonstrate 
compliance, or otherwise proposes to require the collection of 
information derived from the testing of HID lamps according to these 
test procedures, DOE will seek OMB approval of such information 
collection requirement.
    Manufacturers of covered products must certify to DOE that their 
products comply with any applicable energy conservation standard 
developed by DOE. In certifying compliance, manufacturers must test 
their products according to the applicable DOE test procedure, 
including any amendments adopted for that test procedure.
    DOE established regulations for the certification and recordkeeping 
requirements for certain covered consumer products and commercial 
equipment. 76 FR 12422 (March 7, 2011). The collection-of-information 
requirement for the certification and recordkeeping was subject to 
review and approval by OMB under the Paperwork Reduction Act (PRA). 
This requirement was approved by OMB under OMB Control Number 1910-
1400. Public reporting burden for the certification was estimated to 
average 20 hours per response, including the time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    As stated above, if DOE proposes an energy conservation standard 
for HID lamps with which manufacturers must demonstrate compliance, DOE 
will seek OMB approval of the associated information collection 
requirement. DOE will seek approval either through a proposed amendment 
to the information collection requirement approved under OMB Control 
Number 1910-1400 or as a separate proposed information collection 
requirement.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    In this proposed rule, DOE proposes test procedures that it expects 
will be used to develop and implement future energy conservation 
standards for HID lamps. DOE has determined that this rule falls into a 
class of actions that are categorically excluded from review under the 
National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and 
DOE's implementing regulations at 10 CFR part 1021. Specifically, this 
proposed rule would establish test procedures without affecting the 
amount, quality, or distribution of energy usage, and therefore would 
not result in any environmental impacts. Thus, this rulemaking is 
covered by Categorical Exclusion A6 under 10 CFR part 1021, subpart D, 
which applies to any rulemaking that interprets or amends an existing 
rule without changing the environmental effect of that rule. 
Accordingly, neither an environmental assessment nor an environmental 
impact statement is required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (Aug. 4, 1999), 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have Federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have Federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined this proposed rule and has 
determined that it would not have a substantial direct effect on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. EPCA governs and prescribes Federal 
preemption of State regulations as to energy conservation for the 
equipment that is the subject of today's proposed rule. States can 
petition DOE for exemption from such preemption to the extent, and 
based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further 
action is required by Executive Order 13132.

[[Page 29655]]

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal 
agencies the general duty to adhere to the following requirements: (1) 
Eliminate drafting errors and ambiguity; (2) write regulations to 
minimize litigation; (3) provide a clear legal standard for affected 
conduct rather than a general standard; and (4) promote simplification 
and burden reduction. Section 3(b) of Executive Order 12988 
specifically requires that Executive agencies make every reasonable 
effort to ensure that the regulation: (1) Clearly specifies the 
preemptive effect, if any; (2) clearly specifies any effect on existing 
Federal law or regulation; (3) provides a clear legal standard for 
affected conduct while promoting simplification and burden reduction; 
(4) specifies the retroactive effect, if any; (5) adequately defines 
key terms; and (6) addresses other important issues affecting clarity 
and general draftsmanship under any guidelines issued by the Attorney 
General. Section 3(c) of Executive Order 12988 requires Executive 
agencies to review regulations in light of applicable standards in 
sections 3(a) and 3(b) to determine whether they are met or it is 
unreasonable to meet one or more of them. DOE has completed the 
required review and determined that, to the extent permitted by law, 
the proposed rule meets the relevant standards of Executive Order 
12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a proposed regulatory action likely to result in a rule that may 
cause the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820; also available 
at http://energy.gov/gc/office-general-counsel. DOE examined today's 
proposed rule according to UMRA and its statement of policy and 
determined that these requirements do not apply because the rule 
contains neither an intergovernmental mandate nor a mandate that may 
result in the expenditure of $100 million or more in any year.

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

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

I. Review Under Executive Order 12630

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

J. Review Under the Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed today's proposed rule under the OMB and DOE guidelines and has 
concluded that it is consistent with applicable policies in those 
guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated or is expected to lead to promulgation of a 
final rule, and that: (1) Is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    Today's regulatory action to create the test procedures for 
measuring the energy efficiency of HID lamps is not a significant 
regulatory action under Executive Order 12866. Moreover, it would not 
have a significant adverse effect on the supply, distribution, or use 
of energy, nor has it been designated as a significant energy action by 
the Administrator of OIRA. Therefore, it is not a significant energy 
action, and, accordingly, DOE has not prepared a Statement of Energy 
Effects.

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

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

[[Page 29656]]

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

    DOE evaluated these standards and is unable to conclude whether 
they fully comply with the requirements of section 32(b) of the Federal 
Energy Administration Act, (i.e., that they were developed in a manner 
that fully provides for public participation, comment, and review). 
Before prescribing a final rule, DOE will consult with the Attorney 
General and the Chairman of the FTC about the effect of these test 
procedures on competition.

IV. Public Participation

A. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this proposed rule. Interested parties may submit 
comments using any of the methods described in the ADDRESSES section at 
the beginning of this notice.
    Submitting comments via www.regulations.gov. The 
www.regulations.gov Web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Otherwise, persons viewing comments will see only first and 
last names, organization names, correspondence containing comments, and 
any documents submitted with the comments.
    Do not submit to www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (CBI)). Comments submitted through 
regulations.gov cannot be claimed as CBI. Comments received through 
www.regulations.gov will waive any CBI claims for the information 
submitted. For information on submitting CBI, see the Confidential 
Business Information section.
    DOE processes submissions made through www.regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that www.regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email, hand delivery/courier, or mail. 
Comments and documents submitted via email, hand delivery/courier, or 
mail also will be posted to www.regulations.gov. If you do not want 
your personal contact information to be publicly viewable, do not 
include it in your comment or any accompanying documents. Instead, 
provide your contact information in a cover letter. Include your first 
and last names, email address, telephone number, and optional mailing 
address. The cover letter will not be publicly viewable as long as it 
does not include any comments
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery/courier, please provide all items on a CD, if feasible, in 
which case it is not necessary to submit printed copies. No facsimiles 
(faxes) will be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English, and free of any defects or 
viruses. Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. Pursuant to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery/courier two well-marked copies: 
one copy of the document marked ``confidential,'' including all the 
information believed to be confidential, and one copy of the document 
marked ``non-confidential,'' with the information believed to be 
confidential deleted. Submit these documents via email or on a CD, if 
feasible. DOE will make its own determination about the confidential 
status of the information and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

B. Issues on Which DOE Seeks Comment

    DOE requests comments and data on the HID lamp test procedures 
proposed in this SNOPR. Although comments are welcome on all aspects of 
this rulemaking, DOE is particularly interested in comments on the 
following:
1. Definitions
    DOE seeks comments on all of the proposed definitions in this 
SNOPR.
a. Beam Angle
    DOE requests comments on its proposal to withdraw the December

[[Page 29657]]

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

V. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Buildings and facilities,

[[Page 29658]]

Business and industry, Energy conservation, Grants programs--energy, 
Housing, Reporting and recordkeeping requirements, Technical 
assistance.

10 CFR Part 431

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Imports, 
Incorporation by reference, Reporting and recordkeeping requirements, 
Small business.

    Issued in Washington, DC, on May 5, 2014.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.
    For the reasons stated in the preamble, DOE proposes to amend parts 
429 and 431 of chapter II of title 10, Code of Federal Regulations as 
set forth below.

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

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

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

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

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

    (a) When testing of covered products or covered equipment is 
required to comply with section 323(c) of the Act, or to comply with 
rules prescribed under sections 324, 325, or 342, 344, 345, or 346 of 
the Act, a sample composed of production units (or units representative 
of production units) of the basic model being tested must be selected 
at random and tested, and must meet the criteria found in Sec. Sec.  
429.14 through 429.55 of this subpart. Components of similar design may 
be substituted without additional testing if the substitution does not 
affect energy or water consumption. Any represented values of energy 
efficiency, water efficiency, energy consumption, or water consumption 
for all individual models represented by a given basic model must be 
the same.
    (b) Unless otherwise specified, the minimum number of units tested 
must be no less than two (except where a different minimum limit is 
specified in Sec. Sec.  429.14 through 429.55 of this subpart).
0
3. Section 429.55 is added to read as follows:

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

    (a) Sampling plan for selection of units for testing. (1) The 
requirements of Sec.  429.11 are applicable to high-intensity discharge 
(HID) lamps. HID lamps include high-pressure sodium (HPS), mercury 
vapor (MV), and metal halide (MH) lamps.
    (2)(i) For each basic model of HID lamp, a sample of sufficient 
size, but not less than 21 units, shall be randomly selected and tested 
to ensure that--any represented value of lamp efficacy of a basic model 
shall be less than or equal to the lower of:
    (A) The mean of the sample,

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

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

Or,

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

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

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

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

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

    (b) Certification reports. [Reserved]

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

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

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

0
2. Subpart 431.2 is amended by adding in alphabetical order, 
definitions for ``ballast'', ``high-intensity discharge lamp'', ``high-
pressure sodium (HPS) lamp'', ``mercury vapor lamp'', and ``metal 
halide lamp'' to read as follows:

Sec.  431.2  Definitions.

* * * * *
    Ballast means a device used with an electric discharge lamp to 
obtain necessary circuit conditions (voltage, current, and waveform) 
for starting and operating.
* * * * *
    High-intensity discharge lamp means an electric-discharge lamp in 
which--
    (1) The light-producing arc is stabilized by the arc tube wall 
temperature; and
    (2) The arc tube wall loading is in excess of 3 watts/cm\2\, 
including such lamps that are high-pressure sodium, mercury vapor, and 
metal halide lamps.
    High-pressure sodium (HPS) lamp means a high-intensity discharge 
lamp in which the major portion of the light is produced by radiation 
from sodium vapor operating at a partial pressure of about 6,670 
pascals (approximately 0.066 atmospheres or 50 Torr) or greater.
* * * * *
    Mercury vapor lamp means a high-intensity discharge lamp, including 
clear, phosphor-coated, and self-ballasted screw base lamps, in which 
the major portion of the light is produced by radiation from mercury 
typically operating at a partial vapor pressure in excess of 100,000 Pa 
(approximately 1 atm).
    Metal halide lamp means a high-intensity discharge lamp in which 
the major portion of the light is produced by radiation of metal 
halides and their products of dissociation, possibly in combination 
with metallic vapors.
* * * * *

Sec.  431.282  [Amended]

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

Sec.  431.322  [Amended]

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

[[Page 29659]]

Subpart Y--High-Intensity Discharge Lamps

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

Sec.  431.451  Purpose and scope.

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

Sec.  431.452  Definitions concerning high-intensity discharge lamps.

    Basic model means all units of a given type of covered equipment 
(or class thereof) manufactured by one manufacturer, that have the same 
primary energy source, and that have essentially identical electrical, 
physical, and functional characteristics that affect energy consumption 
or efficacy.
    Color rendering index or CRI means the measure of the degree of 
color shift objects undergo when illuminated by a light source as 
compared with the color of those same objects when illuminated by a 
reference source of comparable color temperature.
    Correlated color temperature means the absolute temperature of a 
blackbody whose chromaticity most nearly resembles that of the light 
source.
    Directional lamp means a lamp with an integral reflector, emitting 
at least 80 percent of its light output within a solid angle of [pi] 
steradians (corresponding to a cone with an angle of 120 degrees).
    Initial lumen output means the measured lumen output after the lamp 
is seasoned, then initially energized and stabilized, using the lamp 
seasoning and stabilization procedures in 10 CFR 431.454(b)(1).
    Lamp efficacy means the lumen output of a lamp divided by its 
wattage, expressed in lumens per watt (LPW).
    Lamp wattage means the total electrical power consumed by a lamp in 
watts, after the initial seasoning period referenced in section 6.2.1 
of IES LM-51-13.
    Self-ballasted lamp means a lamp unit that incorporates all 
elements that are necessary for the starting and stable operation of 
the lamp in a permanent enclosure and that does not include any 
replaceable or interchangeable parts.

Sec.  431.453  Materials incorporated by reference.

    (a) General. DOE incorporates by reference the following standards 
into subpart Y of part 431. The material listed has been approved for 
incorporation by reference by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent 
amendment to a standard by the standard-setting organization will not 
affect the DOE regulations unless and until amended by DOE. Material is 
incorporated as it exists on the date of the approval, and a notice of 
any change in the material will be published in the Federal Register. 
All approved material is available for inspection at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030 or go to 
www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. Also, this material is available for inspection at U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program, 6th Floor, 950 L'Enfant Plaza SW., 
Washington, DC 20024, 202-586-2945. Standards can be obtained from the 
sources listed as follows.
    (b) ANSI. American National Standards Institute, 25 W. 43rd Street, 
4th Floor, New York, NY 10036, 212-642-4900, or go to www.ansi.org.
    (1) ANSI C78.389-2004 (R2009) (``ANSI C78.389''), American National 
Standard for Electric Lamps--High Intensity Discharge--Methods of 
Measuring Characteristics, approved August 9, 2009, IBR approved for 
Sec.  431.454.
    (b) [Reserved].
    (c) CIE. International Commission on Illumination (Commission 
Internationale de l'Eclairage) Central Bureau, Kegelgasse 27, A-1030, 
Vienna, Austria, 011+43 1 714 31 87 0, or go to www.cie.co.at.
    (1) CIE 13.3-1995 (``CIE 13.3-1995''), Technical Report: Method of 
Measuring and Specifying Colour Rendering Properties of Light Sources, 
1995. IBR approved for Sec.  431.454.
    (2) CIE 15:2004 (``CIE 15-2004''), Technical Report: Colorimetry, 
2004. IBR approved for Sec.  431.454.
    (d) IES. Illuminating Engineering Society of North America, 120 
Wall Street, Floor 17, New York, NY 10005-4001, 212-248-5000, or go to 
www.iesna.org.
    (1) IES LM-51-13 (``LM-51-13''), Approved Method for the Electrical 
and Photometric Measurements of High Intensity Discharge Lamps, 2013. 
IBR approved for Sec.  431.454.
    (2) IES LM-78-07 (``LM-78-07''), IESNA Approved Method for Total 
Luminous Flux Measurement of Lamps Using an Integrating Sphere 
Photometer, 2007. IBR approved for Sec.  431.454.

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

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

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

[[Page 29660]]

C78.389 (incorporated by reference, see Sec.  431.453).
    (5) Photometric instrumentation. Instrumentation for photometric 
measurements must meet the requirements of section 7.0 of IES LM-51, 
and sections 3.0 and 6.3 of IES LM-78 (incorporated by reference, see 
Sec.  431.453).
    (b) Lamp preparation. (1) Lamp seasoning and stabilization. The HID 
lamp must be seasoned for 100 hours per section 6.2.1 of IES LM-51 
(incorporated by reference, see Sec.  431.453). During the seasoning 
period, the lamp must be operated in the same orientation in which it 
will be tested for lamp efficacy. HID lamps with no specified operating 
position (including universal lamps) must be operated in the vertical 
base-up orientation for seasoning and stabilization. After this one-
time seasoning process, a lamp being tested must achieve stable 
operation, prior to any measurements, using the lamp stabilization 
method specified in section 3.7 of ANSI C78.389 (incorporated by 
reference, see Sec.  431.453). As detailed in ANSI C78.389, HID lamp 
stabilization requirements vary with lamp technology. Table I lists the 
lamp warm-up, stabilization, and re-stabilization requirements for MV, 
HPS, and MH lamps.

                              Table I--HID Lamp Warm-Up and Stabilization Criteria
----------------------------------------------------------------------------------------------------------------
                  Lamp type                            Lamp warm-up time              Stabilization criteria
----------------------------------------------------------------------------------------------------------------
MV...........................................  15-20 minutes...................  3 successive measurements
                                                                                  (voltage and current).
                                                                                 5-minute measurement intervals.
                                                                                 Change in value 10% rated wattage.          (voltage and current).
                                                                                 10- to 15-minute measurement
                                                                                  intervals.
                                                                                 Change in value measurementn, where the resultant value needs to be less than 101% and
  greater than 99% for the lamp to be considered stabilized.
** This is determined by measurement(n+1)/measurementn, where the resultant value needs to be less than 103% and
  greater than 97% for the lamp to be considered stabilized.

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

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

    (3) Lamp orientation. Lamp orientation requirements are those 
specified in section 3.6 of ANSI C78.389 (incorporated by reference, 
see Sec.  431.453). A lamp marked or otherwise designated for use in a 
specific operating position must be tested in that position. If no 
operating position is specified or the lamp is marked ``universal,'' 
the lamp must be operated in the vertical base-up position.
    (c) Test measurements and calculations. Test measurements and 
calculations must be carried out in accordance with the test 
conditions, setup, and lamp preparation requirements of Sec.  
431.454(a)-(b).
    (1) Measurement and calculation of lamp efficacy. (i) Measure the 
initial lumen output as specified in section 7.0 of IES LM-51 
(incorporated by reference, see Sec.  431.453).
    (ii) Measure the input power in watts as specified in sections 3.5, 
3.9, and 3.10 of ANSI C78.389 (incorporated by reference, see Sec.  
431.453). If a voltmeter and ammeter are used for measurements, 
multiply the measured voltage and current values.
    (iii) HID lamp efficacy must be calculated as the value from 
(c)(1)(i) divided by the value from (c)(1)(ii) of this section, with 
the resulting quotient rounded off to the nearest tenth of a lumen per 
watt.
    (2) Measurement and calculation of correlated color temperature and 
color rendering index. (i) Determine HID lamp CCT using the methods for 
measurement and characterizing color set forth in CIE 15 (incorporated 
by reference, see Sec.  431.453). The CCT value must be rounded to the 
nearest 10 kelvins.
    (ii) Determine HID lamp CRI using the methods for measurement and 
characterizing color set forth in CIE 15 and CIE 13.3 (incorporated by 
reference, see Sec.  431.453). Measure HID lamp CRI if necessary to 
determine whether a lamp is subject to standards based on its CRI as 
specified in Sec.  431.455. The CRI must be rounded to the nearest 
whole number.

Sec.  431.455  [Reserved].

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