This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

33171 

Vol. 74, No. 131 

Friday, July 10, 2009 

DEPARTMENT OF ENERGY 

10 CFR Part 431 

[Docket No. EERE–2008–BT–TP–0017] 

RIN 1904–AB87 

Energy Conservation Program for 

Certain Commercial and Industrial 

Equipment: Test Procedures for Metal 

Halide Lamp Ballasts 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The U.S. Department of 

Energy (DOE) proposes to establish 

metal halide lamp ballast test 

procedures that manufacturers would 

use to demonstrate compliance with the 

metal halide ballast energy conservation 

standards mandated by the statute. In 

accordance with the Energy Policy and 

Conservation Act, as amended (EPCA), 

these test procedures are based on 

American National Standards Institute 

(ANSI) Standard C82.6–2005, ‘‘Ballasts 

for High-Intensity Discharge Lamps— 

Method of Measurement.’’ Also in 

accordance with EPCA, DOE proposes a 

test method for measuring standby 

mode power consumption and discusses 

the fact that off mode power 

consumption does not apply to metal 

halide lamp ballasts. 

DATES: DOE held a public meeting on 

Friday, December 19, 2008, in 

Washington, DC. DOE began accepting 

comments, data, and information 

regarding this notice of proposed 

rulemaking (NOPR) at the public 

meeting and will continue to accept 

such submissions until no later than 

September 23, 2009. For details, see 

section IV, ‘‘Public Participation,’’ of 

this NOPR. 

ADDRESSES: The public meeting was 

held at the U.S. Department of Energy, 

Forrestal Building, Room 8E–089, 1000 

Independence Avenue, SW., 

Washington, DC 20585–0121. 

Any comment submitted must 

identify the NOPR on Test Procedures 

for Metal Halide Lamp Ballasts and 

provide the docket number EERE–2008– 

BT–TP–0017 and/or Regulation 

Identifier Number (RIN) 1904–AB87. 

Comments may be submitted using any 

of the following methods: 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comment. 

• E-mail: Metal_Halide_

Ballasts.Rulemaking@hq.doe.gov. 

Include the docket number EERE–2008– 

BT–TP–0017 and/or RIN 1904–AB87 in 

the subject line of the message. 

• Postal Mail: Ms. Brenda Edwards, 

U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue, SW., 

Washington, DC 20585–0121. Please 

submit one signed paper original. 

• Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 6th 

Floor, 950 L’Enfant Plaza, SW., 

Washington, DC 20024. Telephone: 

(202) 586–2945. Please submit one 

signed paper original. 

For detailed instructions on 

submitting comment and additional 

information on the rulemaking process, 

see section IV, ‘‘Public Participation,’’ of 

this document. 

Docket: For access to the docket to 

read background documents or 

comments received, visit the U.S. 

Department of Energy, Resource Room 

of the Building Technologies Program, 

6th Floor, 950 L’Enfant Plaza, SW., 

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

between 9 a.m. and 4 p.m., Monday 

through Friday, except Federal holidays. 

Please contact Ms. Brenda Edwards at 

the above phone number for additional 

information regarding visiting the 

Resource Room. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Linda Graves, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–1851. E-mail: 

Linda.Graves@ee.doe.gov. Or you may 

contact Mr. Eric Stas, U.S. Department 

of Energy, Office of the General Counsel, 

GC–72, 1000 Independence Avenue, 

SW., Washington, DC 20585–0121. 

Telephone: (202) 586–9507. E-mail: 

Eric.Stas@hq.doe.gov. 

For additional information on how to 

submit or review public comments, 

contact Ms. Brenda Edwards, U.S. 

Department of Energy, Office of Energy 

Efficiency and Renewable Energy, 

Building Technologies Program, 

Mailstop EE–2J, 1000 Independence 

Avenue, SW., Washington, DC 20585– 

0121. Telephone: (202) 586–2945. Email:Brenda.Edwards@ee.doe.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background and Authority 

II. Summary of the Proposal 

III. Discussion 

A. ANSI Standards Development Process 

B. Definitions 

C. Test Method for Measuring Energy 

Efficiency of Metal Halide Ballasts 

1. Test Setup and Conditions 

a. Lamp Orientation 

b. Power Supply, Ambient Test 

Temperatures, and Instrumentation 

c. Lamp Stabilization 

2. Test Measurements 

3. Ballast Efficiency Calculation 

D. Test Method for Measuring Standby 

Power of Metal Halide Ballasts 

1. Overview of Test Method 

2. Test Method and Measurements 

3. Combining Measurements and Burden 

E. Scope of Applicability of Standby Power 

Test Procedure 

F. Effective Date of Standby Mode Test 

Method 

G. Units To Be Tested 

H. Submission of Data 

I. Enforcement Provisions 

IV. Public Participation 

A. Submission of Comments 

B. Issues on Which DOE Seeks Comment 

1. Test Temperatures 

2. Test Instrumentation and Requirements 

3. Test Connections 

4. Lamp Orientation 

5. Lamp Seasoning and System 

Stabilization 

6. Test Measurements 

7. Applicability of Off Mode 

8. Applicability of Standby Measurements 

9. Definitions 

10. Circuit Diagrams 

11. Units To Be Tested 

12. Submission of Data 

13. Enforcement Provisions 

V. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act of 1995 

D. Review Under the National 

Environmental Policy Act 

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 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
33172 Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 

1This part was originally titled Part B; however, 

it was redesignated Part A, after Part B of Title III 

was repealed by Public Law 109–58. 

2A ‘‘regulated lag ballast’’ is the industry term for 

a lag ballast with a third coil for improved lamp 

power regulation. 

3ANSI standards discussed in this document are 

available for purchase at: http://webstore.ansi.org/. 

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 

VI. Approval of the Office of the Secretary 

I. Background and Authority 

Title III of the Energy Policy and 

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

seq.; EPCA or the Act) sets forth a 

variety of provisions designed to 

improve energy efficiency. Part A 1 of 

Title III (42 U.S.C. 6291–6309) 

establishes the ‘‘Energy Conservation 

Program for Consumer Products Other 

than Automobiles,’’ which covers 

certain products, including ‘‘metal 

halide lamp fixtures.’’ (42 U.S.C. 

6292(a)(19)) Since the metal halide lamp 

fixture energy conservation standards in 

EPCA establish a minimum efficiency 

for the ballasts that are incorporated 

into those fixtures, this test procedure 

addresses measurement of metal halide 

ballast efficiency. (42 U.S.C. 

6295(hh)(1)(A)) 

Under the Act, the overall program 

consists essentially of testing, labeling, 

and Federal energy conservation 

standards. The testing requirements 

consist of DOE test procedures, adopted 

pursuant to EPCA, that manufacturers of 

covered equipment must use as the 

basis for establishing and certifying to 

DOE that their equipment complies with 

applicable energy conservation 

standards promulgated under EPCA and 

for representing the efficiency of this 

equipment. Similarly, DOE must use 

these test procedures to determine 

whether the equipment complies with 

EPCA standards. 

Under 42 U.S.C. 6293, EPCA sets forth 

generally applicable criteria and 

procedures for DOE’s adoption and 

amendment of such test procedures. 

EPCA provides that ‘‘[a]ny test 

procedures prescribed or amended 

under this section shall be reasonably 

designed to produce test results which 

measure energy efficiency, energy use, 

* * * or estimated annual operating 

cost of a covered product 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. 6293(b)(3)) 

For metal halide lamp ballasts, 

section 324(c) of the Energy 

Independence and Security Act of 2007 

(EISA 2007), Public Law 110–140, 

amended EPCA, and, in relevant part, 

required DOE to establish test 

procedures for metal halide ballasts—a 

newly covered equipment type under 

the statute—as follows: ‘‘(18) Metal 

halide lamp ballasts.—Test procedures 

for metal halide lamp ballasts shall be 

based on ANSI Standard C82.6–2005, 

entitled ‘Ballasts for High-Intensity 

Discharge Lamps—Method of 

Measurement’.’’ (42 U.S.C. 6293(b)(18)) 

Section 324(e) of EISA 2007 further 

amended EPCA to prescribe mandatory 

minimum efficiency levels for pulsestart metal halide ballasts, magnetic 

probe-start ballasts, and nonpulse-start 

electronic ballasts that operate lamps 

rated greater than or equal to 150 watts 

(W) but less than or equal to 500 W. (42 

U.S.C. 6295(hh)(1)(A)) Excluded from 

these energy conservation standards are 

regulated lag ballasts,2 electronic 

ballasts that operate at 480 volts, or 

ballasts in fixtures that are: (1) Rated 

only for 150 W lamps; (2) rated for use 

in wet locations, as specified by the 

National Electrical Code 2002, section 

410.4(A); and (3) contain a ballast that 

is rated to operate at ambient air 

temperatures above 50 °C, as specified 

by UL 1029–2001. (42 U.S.C. 

6295(hh)(1)(B)) These statutory 

standards apply to metal halide lamp 

fixtures manufactured on or after 

January 1, 2009. (42 U.S.C. 

6295(hh)(1)(C)) 

DOE again notes that because of the 

codification of the metal halide ballast 

provisions at 42 U.S.C. 6295, a 

rulemaking for metal halide ballast 

energy conservation standards is subject 

to the requirements of the consumer 

products provisions of Part A of Title III. 

However, because metal halide ballasts 

are generally considered to be 

commercial equipment and consistent 

with DOE’s previous action to 

incorporate requirements of the Energy 

Policy Act of 2005 (EPACT 2005) for 

commercial equipment into 10 CFR Part 

431 (‘‘Energy Efficiency Program for 

Certain Commercial and Industrial 

Equipment’’), DOE intends to place the 

new requirements for metal halide 

ballasts in 10 CFR part 431 for ease of 

reference. DOE notes that the location of 

the provisions within the CFR does not 

affect either the substance or applicable 

procedure for metal halide ballasts; as 

such, DOE is placing them in the 

appropriate CFR part based on the 

nature or type of those products. Based 

upon their placement into 10 CFR 431, 

metal halide ballasts will be referred to 

as ‘‘equipment’’ throughout this notice. 

DOE notes that pursuant to section 

310 of EISA 2007, the Department’s test 

procedure for all covered products must 

account for standby and off mode 

energy consumption, including the 

procedure for metal halide ballasts. (42 

U.S.C. 6295(gg)(2)) Furthermore, section 

310 of EISA 2007 provides that any final 

rule establishing or revising energy 

conservation standards that is adopted 

on or after July 1, 2010, must 

incorporate standby mode and off mode 

energy use. (42 U.S.C. 6295(gg)(3)(A)) A 

DOE test procedure to measure standby 

mode and off mode energy use must be 

in place to allow manufacturers to 

measure and certify to energy 

conservation standards that address 

these modes and is included in this 

proposed test procedure. 

II. Summary of the Proposal 

As noted above, EPCA, as amended by 

EISA 2007, states that test procedures 

for metal halide lamp ballasts shall be 

based on ANSI Standard C82.6–2005, 

‘‘Ballasts for High Intensity Discharge 

Lamps—Method of Measurement.’’ 3 (42 

U.S.C. 6293(b)(18)) DOE reviewed ANSI 

Standard C82.6–2005 and found it 

suitable for the purposes of metal halide 

ballasts, because it contained all of the 

required major elements to adequately 

test and measure the efficiency of this 

equipment, as discussed in section III.C 

of this document. Accordingly, DOE has 

drawn on relevant portions of ANSI 

Standard C82.6–2005 in developing its 

proposed test procedures for metal 

halide ballasts. Specifically, today’s 

NOPR references the ballast power loss 

measurement method (section 6.10) of 

ANSI Standard C82.6–2005 as the 

means of determining the efficiency of 

metal halide lamp ballasts, and it 

references other applicable sections of 

ANSI Standard C82.6–2005 for test 

conditions and setup. This NOPR also 

proposes test procedures for measuring 

standby mode power consumption, 

based on relevant portions of ANSI 

Standard C82.6–2005. Finally, this 

NOPR proposes sampling and efficiency 

calculations to be used in the required 

testing. 

The proposed test procedures apply to 

metal halide ballasts that operate lamps 

rated greater than or equal to 150 W but 

less than or equal to 500 W. DOE 

discusses its proposal in detail in the 

following sections. DOE invites public 

comment, particularly on the key issues 

outlined in section IV.E. 

DOE reviewed the definitions of 

‘‘standby mode’’ and ‘‘off mode’’ 

contained in EPCA in the context of 

metal halide ballasts. (42 U.S.C. 

6295(gg)(1)) DOE found that while it 

was possible for metal halide ballasts to 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 33173 

operate in standby mode, the off mode 

condition does not apply to metal halide 

ballasts because it addresses a mode of 

energy use in which metal halide 

ballasts do not operate. For this reason, 

today’s notice proposes a test method 

for metal halide ballasts that measures 

power consumed in standby mode (see 

section III.D) and provides an 

opportunity for the public to comment 

on DOE’s rationale for why off mode 

does not apply to such equipment (see 

section III.B). 

As amended, EPCA provides that 

amendments to the test procedures to 

include standby mode and off mode 

energy consumption shall not be used to 

determine compliance with previously 

established standards. (42 U.S.C. 

6295(gg)(2)(C)) Thus, the proposed 

inclusion of a standby mode test 

procedure in today’s notice will not 

affect a manufacturer’s ability to 

demonstrate compliance with the 

energy conservation standards for metal 

halide lamp fixtures that take effect 

January 1, 2009. Indeed, the standby 

mode test procedure need not be 

performed to determine compliance 

with the statutory energy conservation 

standards for metal halide lamp fixtures 

because the statutory standards do not 

account for standby mode power 

consumption. The Department’s test 

procedures for measuring standby mode 

would become effective, in terms of 

adoption into the Code of Federal 

Regulations, 30 days after the date of 

publication in the Federal Register of 

the final rule in this test procedures 

rulemaking. Manufacturers would be 

required to use the test procedures’ 

standby mode provisions to demonstrate 

compliance with any future energy 

conservation standards on the effective 

date of a final rule establishing amended 

standards for metal halide lamp ballasts 

that addresses standby mode power 

consumption. The introductory 

sentence in proposed section 431.324(c) 

would be removed in a notice of final 

rulemaking to amend the existing 

standards for metal halide lamp ballasts. 

III. Discussion 

DOE reviewed ANSI Standard C82.6– 

2005 to determine whether any 

additional elements would be needed to 

provide a complete test procedure. DOE 

concluded that all elements required for 

conducting a measurement of the 

efficiency of metal halide ballasts are 

currently present in ANSI Standard 

C82.6–2005, including lamp orientation, 

power supply characteristics, 

operational test temperatures, 

instrumentation requirements, setup 

connections, and lamp stabilization. 

DOE proposes to incorporate these 

applicable requirements and methods 

into the DOE test procedure. DOE notes 

that it is proposing a statistically 

meaningful method for determining 

sample size as part of the metal halide 

ballast test procedure, consistent with 

the sampling methods used for DOE test 

procedures for products and equipment 

subject to energy conservation 

standards. 

A. ANSI Standards Development 

Process 

DOE reviewed the process that the 

American National Standards Institute 

(ANSI) follows in support of the 

development of ANSI accredited 

standards and finds that it embodies all 

the elements of a thorough public 

review and consensus process. This 

thorough process is conducted by 

applicable industry groups so that all 

materially affected and interested 

parties are informed and may 

participate. Due process is the key to 

ensuring that ANSI standards are 

developed in an environment that is 

equitable, accessible, and responsive to 

the input and concerns of various 

stakeholders. It also serves and protects 

the public interest, since standards 

developed and accredited by ANSI must 

meet the Institute’s requirements for 

openness, balance, consensus, and other 

due process safeguards. The basic 

elements of the American National 

Standards Institute process include: 

• Consensus on a proposed standard 

by a group or ‘‘consensus body’’ that 

includes representatives from materially 

affected and interested parties; 

• Broad-based public review and 

comment on draft standards; 

• Consideration of and response to 

comments submitted by voting members 

of the relevant consensus body and by 

public review; 

• Incorporation of approved changes 

into a draft standard; and 

• Right to appeal by any participant 

that believes that due process principles 

were not sufficiently respected during 

the standards development in 

accordance with the ANSI-accredited 

procedures of the standards developer. 

The ANSI process serves all 

standardization efforts in the United 

States by providing and promoting a 

process that withstands scrutiny while 

protecting the rights and interests of 

every participant. DOE believes this 

process ensures that ANSI standards 

and the provisions within them are 

adequately vetted within the industry 

and represent consensus among all 

materially affected and interested 

parties. Therefore, DOE proposes the 

adoption of appropriate and relevant 

sections of the ANSI Standard C82.6– 

2005 as part of the test procedures for 

metal halide lamp ballasts, with only 

minimal additional analysis. 

B. Definitions 

DOE reviewed the relevant portions of 

EISA 2007 and 10 CFR part 431 for 

applicable existing definitions for use in 

developing and applying the metal 

halide ballast test procedure. EISA 2007 

amends EPCA, in part, by adding 

definitions of key terms that are 

applicable to the metal halide ballast 

test procedure, including ‘‘ballast,’’ 

‘‘ballast efficiency,’’ ‘‘electronic ballast,’’ 

‘‘metal halide ballast,’’ ‘‘metal halide 

lamp,’’ ‘‘metal halide lamp fixture,’’ 

‘‘probe-start metal halide ballast,’’ and 

‘‘pulse-start metal halide ballast.’’ (42 

U.S.C. 6291) These terms are defined as 

follows: 

‘‘Ballast’’ means a device used with 

an electric discharge lamp to obtain 

necessary circuit conditions (voltage, 

current, and waveform) for starting and 

operating. (42 U.S.C. 6291(58)) 

‘‘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 = Pout/Pin, 

where Pout equals the measured 

operating lamp wattage, Pin equals the 

measured operating input wattage, and 

the lamp, and the capacitor, when the 

capacitor is provided, shall constitute a 

nominal system in accordance with the 

ANSI Standard C78.43–2004. For 

ballasts with a frequency of 60 Hz, Pin

and Pout shall be measured after lamps 

have been stabilized according to 

section 4.4 of ANSI Standard C82.6– 

2005 using a wattmeter with accuracy 

specified in section 4.5 of ANSI 

Standard C82.6–2005. For ballasts with 

a frequency greater than 60 Hz, Pin and 

Pout shall have a basic accuracy of ±0.5 

percent at the higher of—(1) 3 times the 

output operating frequency of the 

ballast; or (2) 2 kHz for ballasts with a 

frequency greater than 60 Hz. (42 U.S.C. 

6291(59)) 

‘‘Electronic ballast’’ means a device 

that uses semiconductors as the primary 

means to control lamp starting and 

operation. (42 U.S.C. 6291(60)) DOE 

understands that this definition 

appropriately includes equipment 

commonly referred to as ‘‘nonpulse-start 

electronic ballasts.’’ 

‘‘Metal halide ballast’’ means a ballast 

used to start and operate metal halide 

lamps. (42 U.S.C. 6291(62)) 

‘‘Metal halide lamp’’ means a highintensity discharge lamp in which the 

major portion of the light is produced by 

radiation of metal halides and their 

products of dissociation, possibly in 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
33174 Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 

4Non-dimmable ballasts would operate the lamp 

or lamps in active mode at 100 percent of the rated 

system light output. 5 Dimmable ballasts may vary the system light 

output from 100 percent to some lower level of light 

output, either in steps or continuously. 

combination with metallic vapors. (42 

U.S.C. 6291(63)) 

‘‘Metal halide lamp fixture’’ means a 

light fixture for general lighting 

application designed to operate with a 

metal halide lamp and a ballast for a 

metal halide lamp. (42 U.S.C. 6291(64)) 

‘‘Probe-start metal halide ballast’’ 

means a ballast that (1) starts a probestart metal halide lamp that contains a 

third starting electrode (probe) in the arc 

tube, and (2) does not generally contain 

an igniter, but instead starts lamps with 

high ballast open circuit voltage. (42 

U.S.C. 6291(65)) 

‘‘Pulse-start metal halide ballast’’ 

means an electronic or electromagnetic 

ballast that starts a pulse-start metal 

halide lamp with high voltage pulses. 

(42 U.S.C. 6291(66)) 

Although the new statutory 

definitions pertaining to ballasts were 

relatively comprehensive, DOE believes 

that additional definitions are necessary 

for purposes of the metal halide ballast 

test procedure. Therefore, in this NOPR, 

DOE is proposing to amend 10 CFR 

431.322, ‘‘Definitions concerning metal 

halide lamp ballasts and fixtures,’’ by 

adding a definition for ‘‘basic model’’ as 

it relates to metal halide ballasts. As 

explained below, DOE also proposes to 

insert definitions for ‘‘active mode,’’ 

‘‘standby mode,’’ ‘‘off mode,’’ ‘‘AC 

control signal,’’ ‘‘DC control signal,’’ 

‘‘PLC control signal,’’ and ‘‘wireless 

control signal.’’ EPCA lists definitions 

for three modes of energy consumption 

that are applicable to a broad set of 

consumer products and commercial 

equipment, including metal halide 

ballasts. (42 U.S.C. 6295(gg)(1)(A)) The 

EPCA definitions of ‘‘active mode,’’ 

‘‘standby mode,’’ and ‘‘off mode’’ are 

discussed in this section, and their 

applicability to metal halide ballasts is 

addressed. 

The ‘‘basic model’’ definition for 

metal halide ballasts is based on the 

‘‘basic model’’ definition for fluorescent 

ballasts. DOE proposes to define the 

term ‘‘basic model,’’ with respect to 

metal halide ballasts, as all units of a 

given type of metal halide ballast (or 

class thereof) that: (1) Are rated to 

operate a given lamp type and wattage; 

(2) have essentially identical electrical 

characteristics; and (3) have no differing 

electrical, physical, or functional 

characteristics that affect energy 

consumption. 

‘‘Active mode’’ is defined under 

EPCA as ‘‘the condition in which an 

energy-using product—(I) is connected 

to a main power source; (II) has been 

activated; and (III) provides 1 or more 

main functions.’’ (42 U.S.C. 

6295(gg)(1)(A)(i)) DOE interprets this 

mode as being applicable to all metal 

halide ballasts, where the main function 

of the metal halide lamp ballast is to 

operate one or more metal halide lamps 

(i.e., starting the lamp and regulating the 

current, voltage, or power of the lamp). 

DOE understands that there are many 

different types of ballasts that could be 

considered ‘‘metal halide ballasts,’’ but 

the main function common to all of 

them is that they are designed to operate 

metal halide lamps. DOE does not 

discriminate between non-dimmable 4

and dimmable 5 ballasts when 

considering active mode; rather, DOE 

interprets active mode as being 

applicable to any amount of rated 

system light output (i.e., greater than 

zero percent of the rated system light 

output). Again, this is because a ballast’s 

main function is the operation of a 

metal halide lamp. 

‘‘Standby mode’’ is defined under 

EPCA as ‘‘the condition in which an 

energy-using product—(I) is connected 

to a main power source; and (II) offers 

1 or more of the following user-oriented 

or protective functions: (aa) To facilitate 

the activation or deactivation of other 

functions (including active mode) by 

remote switch (including remote 

control), internal sensor, or timer. (bb) 

Continuous functions, including 

information or status displays 

(including clocks) or sensor-based 

functions.’’ (42 U.S.C. 

6295(gg)(1)(A)(iii)) As discussed below, 

two key aspects of this definition relate 

to metal halide ballasts: (1) Connected 

to a main power source; and (2) offering 

the activation or deactivation of other 

functions by remote switch. 

The definition of ‘‘standby mode’’ in 

part requires that ballasts be connected 

to their main power source. (42 U.S.C. 

6295(gg)(1)(A)(iii)(I)) This ‘‘connected’’ 

requirement effectively precludes the 

majority of ballasts from having standby 

mode energy consumption, because 

most ballasts are operated with on-off 

switches, circuit breakers, or other 

relays that disconnect the ballast from 

the main power source. Although 

further consideration of such ballasts is 

unnecessary because their operational 

design falls outside the statutory 

definition of ‘‘standby mode,’’ DOE 

would characterize their operation in 

such situations as follows: Once the 

ballast is disconnected from the main 

power source, the ballast ceases to 

operate the lamp (i.e., the system light 

output falls to zero), and the ballast 

consumes no energy. The vast majority 

of metal halide ballasts do not consume 

power when they are switched off. 

Based upon the statutory definition of 

‘‘standby mode,’’ ballasts controlled by 

disconnecting the ballast from the main 

power source do not operate in standby 

mode. 

The ‘‘standby mode’’ definition 

further states that it applies to energyusing products that facilitate the 

activation or deactivation of other 

functions by remote switch, internal 

sensor, or timer. (42 U.S.C. 

6295(gg)(1)(A)(iii)(II)(aa)) DOE interprets 

this condition as applying to ballasts 

that are designed to operate in, or 

function as, a lighting control system 

where auxiliary control devices send 

signals. An example of this type of 

ballast would be one that incorporates a 

digital addressable lighting interface 

(DALI) capability. These ballasts 

(whether dimming or not) incorporate 

an electronic circuit that enables the 

ballast to communicate with, and 

receive orders from, the DALI system. 

These instructions could tell the ballast 

to go into active mode or to adjust the 

light output to zero percent output. In 

this latter condition, the ballast is no 

longer providing current to the metal 

halide lamp (i.e., no longer in active 

mode). Thus, at zero light output, the 

ballast is standing by, connected to a 

main power source while it awaits 

instructions from the lighting control 

system to initiate an arc so the metal 

halide lamp can produce light again. 

Another example would be a metal 

halide ballast that incorporates a 

lighting control circuit that is connected 

to a photosensor. This ballast and sensor 

function as a miniature lighting controls 

system, whereby the sensor provides 

input to the ballast control circuit, 

which determines whether the lamp 

should be operational or not. When the 

lamp is not operational (i.e., when the 

photosensor indicates that it is bright 

outside), the ballast will consume power 

to enable the photosensor circuit to 

continuously monitor the ambient 

conditions. When the circuit determines 

that it has gotten dark and it is time to 

start the lamp, it will instruct the ballast 

to initiate an arc in the lamp. 

DOE invites comment on its proposed 

approach to treat metal halide ballasts 

that operate in, or function as, a lighting 

control system that receives signals from 

auxiliary control devices as being 

capable of operating in standby mode. 

‘‘Off mode’’ is defined by EPCA as 

‘‘the condition in which an energy-using 

product—(I) is connected to a main 

power source; and (II) is not providing 

any standby or active mode function.’’ 

(42 U.S.C. 6295(gg)(1)(A)(ii)) DOE 

considered this definition in the context 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 33175 

of metal halide ballasts and believes that 

off mode does not apply to any metal 

halide ballast, dimmable or nondimmable, because off mode describes a 

condition that commercially available 

ballasts do not attain. 

The definition of ‘‘off mode’’ requires 

that ballasts be connected to a main 

power source and not provide any 

standby or active mode function. (42 

U.S.C. 6295(gg)(1)(A)(ii)) DOE does not 

believe it is possible for ballasts to meet 

these criteria. As described above, active 

mode encompasses conditions in which 

the ballast operates a lamp or lamps to 

produce greater than zero percent of the 

rated system light output. Standby mode 

applies to the situation in which the 

ballast is connected to a main power 

source and is not operating a lamp or 

lamps (i.e., the lamps have zero percent 

light output). Therefore, when 

connected to a main power source, the 

functions provided in standby mode 

and active mode already encompass 

every possible level of ballast operation, 

from zero to greater than zero percent of 

system rated light output. There is no 

condition in which the ballast is 

connected to the main power source and 

it is not already accounted for in either 

active mode or standby mode. For this 

reason, ballasts fail to meet the second 

requirement of the EPCA definition of 

off mode, that it is not providing any 

standby or active mode function. (42 

U.S.C. 6295(gg)(1)(A)(ii)(II)) 

Furthermore, the power consumption 

measurement of the ballast in standby 

mode already captures the device in its 

lowest power-consuming condition. 

This means that in standby mode, the 

ballast is connected to a main power 

source, but is not providing any output 

to the lamps (i.e., zero percent light 

output). Disconnecting the ballast from 

the main power source by a switch, for 

example, would bring the ballast to a 

lower state of energy use (i.e., zero 

percent power consumption), and 

would fail to meet the first criterion of 

the off mode definition, that the ballast 

be connected to a main power source. 

(42 U.S.C. 6295(gg)(1)(A)(ii)(I)) 

For some products, DOE is 

interpreting off mode as a condition in 

which the user may choose to operate a 

manual switch mounted on the device 

to enable off mode, which would 

represent the lowest energy state. 

However, this condition does not apply 

to metal halide ballasts, and DOE is not 

aware of any ballasts manufactured with 

a manual switch mounted on the 

housing. Instead, these ballasts are 

usually inaccessible to end-users, and 

do not incorporate manual switches or 

other features that users may operate to 

affect the mode of the ballast. Thus, the 

lowest energy state of a metal halide 

lamp ballast is that which is measured 

in standby mode, which by definition 

cannot also constitute off mode. 

For all of the reasons discussed above, 

DOE is unable to identify a situation in 

which a ballast would be in off mode. 

Therefore, DOE tentatively concluded in 

today’s notice that off mode is 

inapplicable to metal halide lamp 

ballasts. Should circumstances change 

in the future, DOE may revisit this 

interpretation and propose a test 

method to measure off mode for metal 

halide ballasts. DOE invites comment on 

its tentative decision not to incorporate 

a test method for measuring off mode 

energy consumption for metal halide 

ballasts at this time. 

DOE is proposing in today’s notice to 

define the term ‘‘AC control signal.’’ 

DOE finds that some lighting control 

systems operate by communicating with 

(i.e., providing a control signal to) the 

ballasts over a separate wiring system 

using AC voltage. DOE was unable to 

locate a definition for ‘‘AC control 

signal’’ in International Electrotechnical 

Commission (IEC) Standard 62301 or 

ANSI Standard C82.6–2006. Therefore, 

DOE prepared a definition for an ‘‘AC 

control signal’’ to enhance the clarity 

and understanding of its proposed test 

procedure. The proposed definition for 

‘‘AC control signal’’ is as follows: ‘‘an 

alternating current (AC) signal that is 

supplied to the ballast using additional 

wiring for the purpose of controlling the 

ballast and putting the ballast in 

standby mode.’’ In today’s test 

procedure, DOE proposes to measure 

the power consumed by the ballast 

through the control signal wiring 

system. 

DOE is proposing in today’s notice to 

define the term ‘‘DC control signal.’’ 

DOE finds that some lighting control 

systems operate by communicating with 

(i.e., providing a control signal to) the 

ballasts over a separate wiring system 

using DC voltage. DOE was unable to 

locate a definition for ‘‘DC control 

signal’’ in IEC Standard 62301 or ANSI 

Standard C82.6–2006. Therefore, DOE 

prepared a definition for a ‘‘DC control 

signal’’ to enhance the clarity and 

understanding of its proposed test 

procedure. The proposed definition of 

‘‘DC control signal’’ states that it is ‘‘a 

direct current (DC) signal that is 

supplied to the ballast using additional 

wiring for the purpose of controlling the 

ballast and putting the ballast in 

standby mode.’’ In today’s test 

procedure, DOE proposes to measure 

the power consumed by the ballast 

through the control signal wiring 

system. 

DOE is proposing in today’s notice to 

define the term ‘‘power line carrier 

(PLC) control signal.’’ DOE finds that 

some lighting control systems operate 

by communicating with (i.e., providing 

a control signal to) the ballasts over the 

existing power lines that provide the 

main power connection to the ballast. 

DOE was unable to locate a definition 

for ‘‘PLC control signal’’ in IEC Standard 

62301 or ANSI Standard C82.6–2006. 

Therefore, DOE prepared a definition for 

a ‘‘PLC control signal’’ to enhance the 

clarity and understanding of its 

proposed test procedure. The proposed 

definition of a ‘‘PLC control signal’’ 

states that it is ‘‘a power line carrier 

(PLC) signal that is supplied to the 

ballast using the input ballast wiring for 

the purpose of controlling the ballast 

and putting the ballast in standby 

mode.’’ In today’s test procedure, DOE 

proposes to measure the power 

consumed by the ballast through the 

PLC control signal. 

DOE is proposing in today’s notice to 

define the term ‘‘wireless control 

signal.’’ DOE finds that some lighting 

control systems operate by 

communicating with (i.e., providing a 

control signal to) the ballasts over a 

wireless system, much like a wireless 

computer network. DOE was unable to 

locate a definition for a ‘‘wireless 

control signal’’ in IEC Standard 62301 or 

ANSI Standard C82.6–2006. Therefore, 

DOE prepared a definition for a 

‘‘wireless control signal’’ to enhance the 

clarity and understanding of its 

proposed test procedure. The proposed 

definition of ‘‘wireless control signal’’ 

states that it is ‘‘a wireless signal that is 

radiated to and received by the ballast 

for the purpose of controlling the ballast 

and putting the ballast in standby 

mode.’’ In today’s test procedure, DOE 

is not proposing to measure the power 

consumed by the ballast through the 

wireless control signal, because the 

quantity of power contained in the 

signal is extremely small (on the order 

of milliwatts), would be difficult to 

measure, and is unlikely to appreciably 

impact ballast power consumption. 

DOE determined in its review of the 

proposed metal halide ballast test 

procedures that other terms used in the 

procedure are standard industry 

terminology and, thus, do not need to be 

explicitly defined in the ballast test 

procedure. DOE finds these terms to be 

unambiguous and easy to apply 

consistently in metal halide ballast 

testing. DOE invites comment on the 

appropriateness of adopting the 

aforementioned definitions for ‘‘basic 

model,’’ ‘‘active mode,’’ ‘‘standby 

mode,’’ ‘‘off mode,’’ ‘‘AC control 

signal,’’ ‘‘DC control signal,’’ ‘‘PLC 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
33176 Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 

control signal’’ and ‘‘wireless control 

signal.’’ 

C. Test Method for Measuring Energy 

Efficiency of Metal Halide Ballasts 

1. Test Setup and Conditions 

a. Lamp Orientation 

DOE proposes that lamp orientation 

for testing be as specified in section 4.3 

of ANSI Standard C82.6–2005, which 

requires vertical, base-up orientation, 

unless the manufacturer specifies 

another orientation for that ballast and 

associated lamp combination. DOE is 

proposing this approach for two 

reasons. First, DOE understands that 

vertical, base-up lamp orientation is the 

most common in the industry, and, 

because of the natural stability of the 

vertical operating position, DOE 

believes that this approach would 

produce the most repeatable and 

accurate testing results. By way of 

explanation, the halide material in a 

metal halide lamp is not fully vaporized 

during lamp operation, which creates a 

cold spot in the arc tube that affects the 

photometric and electrical 

characteristics of the lamp and ballast 

operation. The cold spot is typically 

found at the lowest point in the tube, 

which is the most consistent in a 

vertical burning orientation. In contrast, 

horizontal orientation creates a less 

stable arc condition. ANSI Standard 

C82.6–2005 references specific 

requirements in section 3.6 of ANSI 

Standard C78.389–2004, ‘‘Lamp 

Position,’’ for stabilization when the 

lamp manufacturer specifies horizontal 

orientation. In these cases, ANSI 

Standard C78.389–2004 requires that 

metal halide lamps with tipped arc 

tubes be oriented horizontally with the 

tip in the up position. If the lamp has 

a tipless arc tube, the lamp must be kept 

horizontally level and in the same 

position throughout all measurements to 

ensure repeatability and consistency in 

measurements. Given the concerns with 

repeatability and consistency associated 

with testing a metal halide lamp in a 

horizontal orientation and the lack of 

any relevant benefit from testing in such 

orientation, DOE is proposing to test in 

a vertical, base-up orientation. DOE 

invites comment on the appropriateness 

of adopting the requirements in section 

4.3 of ANSI Standard C82.6–2005 for 

lamp orientation. 

b. Power Supply, Ambient Test 

Temperatures, and Instrumentation 

DOE proposes power supply 

characteristics, ambient test 

temperatures, and instrumentation 

requirements as specified in section 4.0 

of ANSI Standard C82.6–2005. DOE 

recognizes that specification of objective 

test setup characteristics is an important 

consideration in terms of producing 

reliable, repeatable, and consistent test 

results. These aspects of DOE’s proposal 

are addressed in further detail below. 

Section 4.1 of ANSI Standard C82.6– 

2005 requires that the root mean square 

(RMS) summation of harmonic 

components in the power supply be no 

more than 3 percent of the fundamental 

voltage and frequency components. 

Section 4.1 also requires that: (1) The 

impedance of the power source be no 

more than 3 percent of the specified 

ballast impedance, and (2) power 

supply devices used in the test circuits 

have a power rating at least five times 

the wattage of the lamp intended to 

operate on the ballast under test. DOE 

believes that these requirements provide 

reasonable stringency in terms of power 

quality because they are consistent with 

other comprehensive industry standards 

that regulate harmonic content and 

power supply impedance (e.g., ANSI 

Standard C78.389–2004). Furthermore, 

DOE believes that these requirements 

would be readily achievable and that 

they would be likely to ensure 

repeatable and consistent 

measurements. DOE invites comment on 

the appropriateness of adopting section 

4.1 of ANSI C82.6–2005 for power 

supply requirements. 

Section 4.2 in ANSI Standard C82.6– 

2005 requires maintenance of an 

ambient temperature of 25 °C ±5 °C to 

reduce potential ballast operating 

variances caused by excessive 

temperature. DOE proposes to require 

that testing be performed in a draft-free 

environment, which is considered a 

standard laboratory environmental 

condition and would further ensure 

consistency in test conditions. Although 

ambient temperature is not considered 

critical to metal halide lamp operation 

and light output, it can affect lamp and 

ballast system electrical performance. 

Therefore, temperatures must be 

controlled for ballast efficiency testing 

to ensure repeatability and consistency 

in test results. DOE believes that 

applying the ambient temperature 

requirements, as set forth in the 

industry standard, in a draft-free 

environment would result in 

appropriate testing conditions. DOE 

invites comment on the appropriateness 

of adopting section 4.2 of ANSI C82.6– 

2005 for ambient temperature 

requirements. 

Similarly, the instrumentation 

requirements and their connections to 

the lamp and ballast systems are 

specified to ensure repeatability and 

consistency in test measurements. The 

instrumentation requirements 

prescribed in sections 4.5.1 and 4.5.3 of 

ANSI Standard C82.6–2005 were 

developed to ensure that the measured 

values accurately reflect ballast 

operation. The ANSI requirements for 

digital voltmeters, ammeters, and 

wattmeters include a resolution of three 

and one-half digits and minimum basic 

instrumentation accuracy of 0.50 

percent (i.e., one-half of 1 percent) of the 

reading from actual with true RMS 

capability. For analog instruments, the 

ANSI standard specifies that analog 

ammeters and voltmeters must have 

accuracies of ±0.50 percent up to 800 

Hertz, and that analog wattmeters must 

have accuracies of ±0.75 percent up to 

1,000 Hertz for power factors of 50 

percent to 100 percent and ±0.50 

percent up to 125 Hertz for ballasts with 

power factors between 0 and 20 percent. 

On this issue, DOE is concerned that the 

range of possible power factors covered 

by ANSI Standard C82.6–2005 does not 

provide measuring instrument 

accuracies for any ballasts that may be 

designed with power factors between 20 

percent and 50 percent. Therefore, DOE 

is proposing to require all analog 

wattmeters used on ballasts with power 

factors less than 50 percent to same 

accuracy as those for ballasts with 

power factors less than 20 percent (i.e., 

±0.50 percent up to 125 Hertz). Finally, 

section 4.5.1 instructs that only one 

analog instrument may be connected to 

the test circuit at one time to reduce 

impedance effects on the testing. DOE 

believes that all these instrumentation 

requirements, as set forth in ANSI 

Standard C86.5–2005, would facilitate 

repeatable and consistent testing and 

measurement. DOE invites comment on 

the appropriateness of adopting sections 

4.5.1 and 4.5.3 of ANSI C82.6–2005 for 

equipment and connection 

requirements. 

In summary, the power supply 

characteristics, ambient test 

temperatures, and instrumentation and 

test circuit connection requirements that 

DOE is proposing in this NOPR are 

derived from ANSI Standard C82.6– 

2005 and are consistent with those 

commonly found and described in other 

lamp and ballast testing standards used 

by the lighting industry, such as ANSI 

Standard C78.389–2004. Accordingly, 

DOE tentatively concluded that these 

test setup conditions are appropriate for 

effective testing. DOE requests comment 

on whether these or other test setup 

conditions may be more appropriate for 

this metal halide ballast test procedure. 

c. Lamp Stabilization 

As an initial matter, DOE proposes 

that the process for lamp stabilization 

before ballast efficiency testing would 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 33177 

6 IESNA LM–54–99, ‘‘Lamp Seasoning,’’ is the 

Lighting Measurement (LM) document developed 

by the Illuminating Engineering Society of North 

America (IESNA) that the industry refers to for 

seasoning requirements for lamp and ballast 

photometric and electrical testing. Available at: 

http://www.ies.org/shop/. 

follow section 4.4 of ANSI Standard 

C82.6–2005, which requires a 100-hour 

seasoning period. DOE believes that a 

100-hour seasoning period is commonly 

used by manufacturers of high-intensity 

discharge lamp technologies to ensure 

that the initial, more-rapid depreciation 

in output caused by impurities has been 

surpassed.6 DOE has no knowledge of 

an alternative seasoning time period 

that is more appropriate for this 

technology. DOE invites comment on 

the existence and appropriateness of 

any alternatives to this method of lamp 

seasoning. 

DOE evaluated the requirements of 

the basic stabilization method 

prescribed in section 4.4.2 of ANSI 

Standard C82.6–2005 to ensure that the 

method was capable of providing a 

sufficiently stable lamp and ballast 

system, as would ensure consistent 

measurements. Specifically, section 

4.4.2 requires that the lamp and ballast 

system reach operating stability such 

that the electrical parameters cease to 

change. The time to achieve this point 

is typically at least 30 minutes, but it 

may take as much as 6 hours to achieve 

this state if a metal halide lamp is 

moved while hot or its orientation is 

changed. This methodology 

incorporates a standby ballast to help 

stabilize the lamp without heating the 

test ballast. (Heating the test ballast 

could cause resistance changes that lead 

to unrepeatable test results.) 

DOE also considered similar 

stabilization guidance found in ANSI 

Standard C78.389–2004 that applies 

more specific operating times, including 

a generic minimum of 6 hours for basic 

stabilization for all lamps. Section 3.7.2 

of ANSI Standard C78.389–2004 also 

prescribes that the lamp ballast system 

is stable when the lamp’s electrical 

characteristics vary by no more than 3 

percent in three consecutive 10- to 15- 

minute intervals. 

Because not all lamps will require a 

full 6-hour stabilization period, DOE 

proposes that the lamp and ballast 

system be considered stable for testing 

purposes when the lamp’s electrical 

characteristics vary by no more than 3 

percent in three consecutive 10- to 15- 

minute intervals measured after the 

minimum 30-minute warm-up period 

specified in section 4.4.2 of ANSI 

Standard C82.6–2005. A critical part of 

this methodology is the ability to switch 

from the standby ballast to the test 

ballast without allowing the lamp to 

extinguish. The use of a standby ballast 

for warming up the lamp is not DOE’s 

preferred method, but in cases where 

switching without extinguishing the 

lamp is not possible, the alternative 

stabilization method described in 

section 4.4.3 of ANSI Standard 82.6– 

2005 should be used. This method 

allows for the lamp to operate on the 

test ballast for a 15-minute warm-up 

period and measurements to be taken 

within the following 2 minutes, but it 

also requires that lamp operating 

characteristics be determined separately 

on a reference ballast. 

DOE invites comment on its proposed 

lamp stabilization methods from 

sections 4.4.2 and 4.4.3 of ANSI C82.6– 

2005 and any alternative options for 

accurate ballast testing. 

2. Test Measurements 

DOE proposes that test measurements 

of metal halide ballast operation be used 

in the calculation of ballast efficiency, 

as discussed in section III.C.3, ‘‘Ballast 

Efficiency Calculation,’’ of this 

document. This calculated ballast 

efficiency is an integral part of the metal 

halide ballast test procedures 

established under 42 U.S.C. 6293. 

Under DOE’s proposal, the test 

measurements for metal halide ballasts 

would require that ballast operation 

testing be conducted according to the 

same requirements as set forth in 

section 6.10, ‘‘Ballast Power Loss,’’ of 

ANSI Standard C82.6–2005. This 

section specifies measurements of 

output power to the lamp and input 

power to the ballast using a wattmeter. 

ANSI Standard C82.6–2005, section 

6.10, specifies the proper instrument 

connections. The section also provides 

the needed guidance and methods for 

eliminating or compensating for the 

power consumption of a voltmeter 

(when connected) and the wattmeter 

potential coil. In summary, section 6.10 

of ANSI Standard C82.6–2005 provides 

a measurement of power using a welldefined, common electrical industry 

standard test with dedicated equipment. 

DOE is not aware of any equivalent 

alternative method for these 

measurements. DOE invites comment 

and data on whether an alternative 

power measurement method should be 

considered. 

3. Ballast Efficiency Calculation 

DOE proposes that the ballast 

efficiency be calculated as the measured 

output power to the lamp divided by the 

measured input power to the ballast 

(Pout/Pin). DOE proposes that the Pout and 

Pin terms be determined according to the 

Ballast Power Loss method described in 

section III.C.2, ‘‘Test Measurements,’’ of 

this document. This measure of 

efficiency represents the metric used in 

the energy conservation standard 

prescribed by the statute. (42 U.S.C. 

6295(hh)(1)) Therefore, DOE proposes 

that both output and input power be 

measured in accordance with section 

6.10 of ANSI Standard C82.6–2005, 

which requires the use of a true RMS 

wattmeter. DOE invites comment on the 

proposed ballast efficiency calculation 

and any appropriate alternative options. 

D. Test Method for Measuring Standby 

Power of Metal Halide Ballasts 

1. Overview of Test Method 

EPCA, in relevant part, directs DOE to 

establish test procedures to include 

standby mode, ‘‘taking into 

consideration the most current versions 

of Standards 62301 and 62087 of the 

International Electrotechnical 

Commission.’’ (42 U.S.C. 6295(gg)(2)(A)) 

IEC Standard 62087 applies to audio, 

video, and related equipment, but not to 

lighting equipment. Thus, DOE has 

determined that IEC Standard 62087 is 

not suitable to be applied to this 

rulemaking. Instead, DOE developed 

today’s proposed rule consistent with 

procedures outlined in IEC Standard 

62301. In addition, to develop a test 

method that would be familiar to metal 

halide ballast manufacturers, DOE also 

referenced language and methodologies 

presented in ANSI Standard C82.6– 

2005, ‘‘Ballasts for High-Intensity 

Discharge Lamps—Methods of 

Measurement.’’ 

In overview, today’s proposed test 

procedure for measuring standby power 

consumption consists of the following 

steps: (1) A signal is sent to the ballast 

instructing it to reduce light output to 

zero percent; (2) The main input power 

to the ballast is measured; and (3) The 

power from the control signal path is 

measured in one of three ways, 

depending on how the signal from the 

control system is delivered to the 

ballast. Further details on this proposed 

methodology are presented below. 

2. Test Method and Measurements 

In the portion of the proposed metal 

halide ballast test procedure dealing 

with standby power measurement, the 

test procedure would direct the 

technician to send a signal to the ballast 

under test, instructing the ballast to 

have zero percent light output using the 

appropriate communication protocol or 

system for that unit. Next, the 

technician would measure the input 

power (in watts) to the ballast in 

accordance with ANSI Standard C82.6– 

2005. Finally, the technician would 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
33178 Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 

7 ‘‘Intelligent operation’’ means a device which is 

able to receive information, evaluate that 

information, and take appropriate action based 

upon that information. For example, certain ballasts 

contain a circuit which, when it receives a signal, 

then takes action to dim light output to a certain 

level or to switch off the lamp (or other action). 

measure the power from the ballast 

control signal path using a method for 

an AC control signal path, a DC control 

signal path, or a power line carrier 

control signal path, consistent with the 

type of path that the ballast employs. 

The measurement of input power to 

the ballast from the main electricity 

supply during standby mode is based on 

the approach in ANSI Standard C82.6– 

2005, section 6. This measurement 

parallels the approach DOE is proposing 

for measuring the active mode power 

consumption for input power (watts) to 

the ballast in accordance with ANSI 

Standard C82.6–2005. Thus, the test 

measurements of ballast input power 

would be required to be conducted in 

accordance with the appropriate 

sections of the current industry test 

method. 

As proposed at 10 CFR 431.324(c), the 

proposed test procedure would direct 

manufacturers to address measurement 

of the ballast’s control signal power. As 

DOE understands it, there are four 

possible ways of delivering a control 

signal to a metal halide lamp ballast: (1) 

A dedicated AC control signal wire; (2) 

a dedicated DC control signal wire; (3) 

a PLC control signal over the main 

supply input wires; and (4) a wireless 

control signal. DOE is interested in 

measuring the power consumed by the 

lighting control signal, and, therefore, 

proposes three methods for measuring 

that power, depending on which type of 

system is being used. As explained 

above, DOE is not proposing to measure 

the power supplied to a ballast using the 

fourth approach (i.e., the wireless 

control signal), because DOE estimates 

that the power supplied to a ballast 

using a wireless signal would be very 

small (well below 1.0 watt), would be 

difficult to measure, and would be 

unlikely to appreciably impact ballast 

power consumption. The three circuit 

diagrams in the proposed test procedure 

direct the technician to measure the 

control signal power using either a 

wattmeter (for the AC control signal 

wiring and the PLC control signal) or a 

voltmeter and ammeter (for the DC 

control signal). DOE is proposing to 

incorporate three circuit diagrams at 10 

CFR 431.324(c) to clearly present the 

intended method of measurement for 

each type of control system 

communication protocol. 

DOE invites stakeholder comments on 

the proposed method for measuring the 

power consumed by the control signal 

system while the ballast is in standby 

mode. 

3. Combining Measurements and 

Burden 

DOE’s metal halide ballast test 

procedure would direct manufacturers 

of such equipment to take the two 

required measurements (i.e., the main 

input power and the control signal 

power in standby mode), but it would 

not tell manufacturers how to combine 

these values or use them in equations 

pertaining to energy efficiency. Instead, 

DOE intends to study how best to use 

these measurements of standby mode 

power consumption in a separate 

rulemaking to review and possibly 

amend the energy conservation 

standards for metal halide lamp ballasts, 

which DOE is required to complete by 

January 1, 2012, pursuant to EISA 2007. 

Although beyond the scope of the 

present rulemaking, DOE invites 

comment on recommended approaches 

for combining these measurements into 

a single metric as part of a future energy 

conservation standards rulemaking. 

DOE further notes that the proposed 

test procedure is designed to produce 

results that measure standby power 

consumption in an accurate and 

repeatable manner, and should not be 

unduly burdensome on manufacturers 

to conduct. DOE believes that these 

objectives would be met by the 

proposed test procedure, particularly 

given that it is based upon IEC Standard 

62301 and follows testing approaches 

used in ANSI Standard C82.6–2005. 

DOE invites comment on the issue of 

test burden, including whether there are 

any alternatives that would generate 

results with the same level of accuracy 

and repeatability while reducing the 

burden. 

E. Scope of Applicability of Standby 

Power Test Procedure 

This rulemaking addresses ballasts 

that operate metal halide lamp fixtures. 

After studying the market of 

commercially-available metal halide 

ballasts and the statutory definition of 

‘‘standby mode,’’ DOE is proposing to 

interpret this mode as only applying to 

certain ballasts under certain operating 

conditions. DOE believes standby mode 

only applies to ballasts that incorporate 

some kind of lighting control system 

interface, because these ballasts appear 

to be the only ones that satisfy the EPCA 

definition of ‘‘standby mode’’ (which 

DOE is codifying into its regulations). 

Specifically, DOE found that only metal 

halide ballasts with a lighting-control 

system interface can be ‘‘connected to a 

main power source’’ and ‘‘facilitate the 

activation or deactivation of other 

functions (including active mode) by 

remote switch (including remote 

control), internal sensor, or timer.’’ (42 

U.S.C. 6295(gg)(1)(A)(iii)) DOE 

understands that many of these ballasts 

are designed with advanced circuitry 

that adds new features, including 

intelligent operation.7 One example of 

these ballasts would be a DALI-enabled 

ballast. DALI-enabled ballasts have 

internal circuitry that is fundamentally 

part of the ballast design that remains 

active and consumes energy, even when 

the ballast is not operating any lamps. 

If, on the other hand, these same 

ballasts were dimmed to a level less 

than full output, but greater than zero 

percent, they could not be in standby 

mode because they would still be 

providing a ballast’s main function (i.e., 

operating a lamp to produce light). (42 

U.S.C. 6295(gg)(1)(A)(i)) Such ballast 

would be deemed to be in active mode 

even if the quantity of light produced 

was just one percent of the rated system 

output. 

As explained above, not all metal 

halide ballasts would need to be tested 

for standby mode power, because many 

ballast designs would not meet the 

statutory definition for operation in 

standby mode. In fact, the vast majority 

of metal halide ballasts sold today are 

not capable of operating in standby 

mode, thereby rendering the standby 

provisions of the test procedure 

inapposite in terms of those units. 

Generally, these excluded ballasts are 

ones that are not active components of 

a lighting control system; instead, they 

are controlled simply by having the 

active power disconnected through use 

of a manual switch, occupancy sensor, 

or other system. For these ballasts, light 

output is reduced to zero percent by 

disconnecting the main power. 

However, the ballast would not be in 

standby mode, as defined by EPCA, 

because it is no longer connected to a 

main power source. 

Thus, DOE believes that the metal 

halide ballasts subject to standby mode 

power measurements would be those 

that incorporate some electronic circuit 

enabling the ballast to communicate 

with and be part of a lighting control 

system. DOE invites comment as to the 

proposed scope of applicability of this 

metal halide ballast test procedure and 

whether there are other considerations 

that would lead to the potential 

coverage of additional or fewer ballast 

types under the standby mode 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 33179 

measurement portion of the test 

procedure. 

F. Effective Date of Standby Mode Test 

Method 

As discussed in section II of this 

notice, EPCA requires DOE to consider 

standby mode and off mode for all 

energy conservation final rules issued 

after July 1, 2010. (42 U.S.C. 

6295(gg)(3)(A)) In addition, EPCA states 

that not later than January 1, 2012, DOE 

shall publish a final rule to determine 

whether the standards established for 

metal halide lamp fixtures should be 

amended. (42 U.S.C. 6295(hh)(2)) Due to 

the fact that this rulemaking, to possibly 

amend the standards for metal halide 

lamp fixtures, would be issued after July 

1, 2010, DOE must take into 

consideration standby and off mode 

energy consumption in that future 

energy conservation standards 

rulemaking. 

DOE believes that in having these test 

procedure provisions included in the 

CFR, it will provide manufacturers 

additional time to become familiar with 

energy consumption of certain metal 

halide ballasts. In the coming years, as 

DOE conducts its energy conservation 

standards rulemaking reviewing the 

energy conservation standards for metal 

halide lamp ballasts, it will take into 

consideration energy consumption. 

During that rulemaking, stakeholders 

will already be familiar with the test 

procedure for measuring and calculating 

standby mode power consumption and 

will be able to better understand any 

ballast design implications that may 

impact the efficiency of metal halide 

lamp ballasts. 

As discussed in section II above and 

as provided in the proposed 

amendments at 10 CFR 431.324(c), 

manufacturers of metal halide lamp 

ballasts would not need to perform 

standby measurements under this test 

procedure to certify compliance with 

the energy conservation standards for 

metal halide lamp fixtures that come 

into effect on January 1, 2009, because 

those statutory standards do not account 

for standby mode power consumption. 

In terms of publication in the Code of 

Federal Regulations, the effective date of 

this test procedure on metal halide lamp 

fixtures would be 30 days after the date 

of publication in the Federal Register of 

a final rule in this test procedures 

rulemaking. However, manufacturers 

would only be required to use the 

amended test procedure’s standby mode 

provisions to demonstrate compliance 

with any future energy conservation 

standard on the effective date of a final 

rule establishing amended standards for 

metal halide lamp ballasts that 

addresses standby mode power 

consumption (at which time, DOE 

would remove the limitation in 10 CFR 

431.324(c)). 

G. Units To Be Tested 

Accurate testing of metal halide 

ballasts require a statistically 

meaningful sample of test units to 

provide sufficient assurance that the 

true mean efficiency of a basic model 

meets or exceeds the applicable energy 

conservation standard. In efforts to meet 

this testing need and to reduce the 

testing burden on manufacturers, DOE 

considered four factors in developing 

sample size requirements: (1) Providing 

a highly statistically valid probability 

that a basic model that is tested meets 

applicable energy conservation 

standards; (2) providing a highly 

statistically valid probability that a 

manufacturer preliminarily found to be 

in noncompliance will actually be in 

noncompliance; (3) assuring 

compatibility with other sampling plans 

DOE has promulgated; and (4) 

minimizing manufacturers’ testing time 

and costs. 

Based on the consideration of these 

four factors and an analysis of sampling 

methods used for DOE test procedures 

for products and equipment subject to 

energy conservation standards, DOE 

considered three alternatives for the 

specification of test sample size for 

metal halide ballast equipment: (1) Test 

every unit to determine with 100 

percent certainty that each one complies 

with the statute; (2) test a predetermined 

number of units to yield a high level of 

statistical confidence; and (3) test until 

a determination can be made that a 

basic model does, or does not, comply. 

The first alternative is not practical 

for small equipment with high-volume 

production, such as lighting ballasts, 

because this would require extensive 

tests of each product, which would not 

be cost-effective. The second alternative 

would likely require more testing than 

needed to reach statistical confidence 

for this equipment because any 

predetermined number would 

necessarily be conservatively high. In 

the third alternative, the size of the total 

sample is not determined in advance. 

Instead, the criteria are set to ensure that 

the final set of samples tested will 

represent a statistically significant mean 

efficiency value at a prescribed 

confidence level. Under this approach, 

the manufacturer selects a sample at 

random from a production line (not 

fewer than four units) and, after each 

unit or group of units is tested, either 

accepts the sample, rejects the sample, 

or continues testing additional samples 

until a sample size is reached that meets 

the confidence interval requirements. 

This method often permits reaching a 

statistically valid decision on the basis 

of fewer tests than fixed number 

sampling. 

After careful consideration of the 

available alternatives, DOE is proposing 

to adopt the sampling procedure 

described in detail below for metal 

halide ballast energy efficiency. The 

proposed procedure is consistent with 

the approach DOE has adopted for 

fluorescent lamp ballasts. The proposed 

procedure would require randomly 

selecting and testing a sample of 

production units (not fewer than four) of 

a representative basic model. A simple 

average of the values would be 

calculated, which would be the actual 

mean value of the sample. For each 

representative model, a sample of 

sufficient size, no less than four, would 

be selected at random and tested to 

ensure that the calculated value of 

energy efficiency is no less than: (1) The 

lower of the mean of the sample; or (2) 

the lower 99 percent confidence limit of 

the mean of the entire population of that 

basic model, divided by a coefficient 

applicable to the represented value. The 

coefficients are intended to reasonably 

reflect variations in material and in the 

manufacturing and testing processes. 

This statistical process applies an 

industry standard 99 percent confidence 

level that is commonly used for 

evaluation of large populations and is 

the confidence level applied to other 

DOE test procedures for products and 

equipment subject to energy 

conservation standards, such as 

compact fluorescent lamps and external 

power supplies. 

DOE invites comment and data on the 

accuracy and burden of this sampling 

plan, as well as recommendations on 

any improvements or alternatives to this 

approach. DOE is particularly interested 

in comment on whether the proposed 

statistical sampling plan, which is based 

on the current sampling plan used by 

DOE for fluorescent lamp ballasts, is 

appropriate for testing metal halide 

lamp ballasts. DOE asks stakeholders to 

pay close attention to the proposed 

confidence interval requirements and 

coefficients proposed for the equipment 

and to provide comment on their 

applicability to metal halide ballasts. 

H. Submission of Data 

Submission of data certifying the 

testing in accordance with the required 

Federal testing procedure will be 

required for metal halide ballasts, once 

a Federal energy conservation standard 

becomes effective for this equipment. 

For metal halide ballasts, DOE proposes 

to apply the same basic certification and 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
33180 Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 

data submission requirements currently 

in place for other similar products and 

equipment. 

To comply with data submission 

requirements, DOE proposes that the 

manufacturer, or other entity performing 

the test on behalf of the manufacturer, 

would be required to provide 

certification in a report submitted before 

[1 year after publication of the Final 

Rule], which would include for each 

basic model the following information: 

(1) The equipment type; (2) 

manufacturer’s name; (3) private 

labeler’s name(s) (if applicable); and (4) 

manufacturer’s model number(s). The 

report would be required to certify that 

the testing was completed in accordance 

with the applicable test requirements 

prescribed in 42 U.S.C. 6293(b) of 

EPCA, as amended. Any change to a 

basic model that changes energy 

consumption constitutes a new basic 

model. If such a change reduces 

consumption, the new model would be 

considered in compliance with the 

standard without any additional testing. 

However, if such a change increases 

consumption while meeting the 

standard, then all certification 

information applicable to testing of the 

new basic model would be required to 

be submitted. See also section V.C. of 

this notice regarding compliance with 

the Paperwork Reduction Act of 1995. 

DOE invites comment on the 

completeness, applicability, and burden 

of this proposed data submission plan 

as well as recommendations on any 

improvements or alternatives to this 

approach. 

I. Enforcement Provisions 

Once a Federal energy conservation 

standard becomes effective for metal 

halide ballasts, the enforcement of the 

appropriate application of the testing 

procedure for this equipment would be 

subject to enforcement of the efficiency 

requirements and verification of the 

documented testing. DOE proposes to 

apply to metal halide ballasts the same 

basic requirements for enforcement 

currently in place for other lighting 

equipment. DOE will review the testing 

certification. 

If DOE receives written information 

about the performance of metal halide 

ballasts indicating that one or more 

basic models may not be in compliance 

with the energy conservation standard, 

DOE may conduct independent testing 

of those basic models. The results of this 

testing would serve as the basis for any 

enforcement actions related to the 

application of these metal halide ballast 

test procedures. 

DOE invites comment on the 

proposed enforcement provisions as 

well as recommendations on any 

improvements or alternatives to this 

approach. 

IV. Public Participation 

The entire record of this proposed 

rulemaking, including the transcript 

from the public meeting, is available for 

inspection at the U.S. Department of 

Energy, Resource Room of the Building 

Technologies Program, 6th Floor, 950 

L’Enfant Plaza, SW., Washington, DC 

20024, (202) 586–2945, between 9 a.m. 

and 4 p.m., Monday through Friday, 

except Federal holidays. The official 

transcript is also posted on the DOE 

Web site at: http://www.eere.energy.gov/ 

buildings/appliance_standards. Anyone 

may purchase a copy of the transcript 

from the transcribing reporter. 

A. Submission of Comments 

DOE will accept comment, data, and 

information about the proposed rule no 

later than the date provided at the 

beginning of this notice. Any comment 

submitted must identify the NOPR on 

Test Procedures for Metal Halide Lamp 

Ballasts, provide the docket number 

EERE–2008–BT–TP–0017 and/or RIN 

1904–AB87. Electronic comments, data, 

and information submitted to DOE’s email address for this rulemaking should 

be provided in WordPerfect, Microsoft 

Word, PDF, or text (ASCII) file format. 

Stakeholders should avoid the use of 

special characters or any form of 

encryption, and wherever possible, 

comments should carry the electronic 

signature of the author. Comments, data, 

and information submitted to DOE via 

mail or hand delivery/courier should 

include one signed paper original. No 

telefacsimiles will be accepted. 

Comment should address specific 

issues within the proposed metal halide 

ballast test procedures and identify the 

language or technical point of concern. 

Technical analysis, data, or precedence 

information should be provided to 

support the position offered in the 

comment. Specific changes to the 

technical requirements or language 

should be presented, where appropriate. 

Pursuant to 10 CFR 1004.11, anyone 

submitting information that he or she 

believes to be confidential and exempt 

by law from public disclosure should 

submit two copies: one copy of the 

document including all the information 

believed to be confidential, and one 

copy of the document without the 

information believed to be confidential. 

DOE will make its own determination as 

to the confidential status of the 

information and treat it accordingly. 

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) 

whether the submitting person would 

suffer competitive injury 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. 

B. Issues on Which DOE Seeks Comment 

As noted above, EISA 2007 requires 

that metal halide ballast efficiency 

testing be based on ANSI Standard 

C82.6–2005. This statutory directive 

allows DOE some latitude in adopting 

the most appropriate requirements for 

the proposed metal halide ballast test 

procedure. In such cases, DOE invites 

comment and data on the applicability 

of the metal halide ballast test 

procedure. Also, because the proposed 

metal halide ballast test procedures will 

become codified under 10 CFR Part 431, 

and will be covered under sampling, 

certification, and other established 

regulatory protocols, DOE seeks 

comment on these matters. Although 

comments are welcome on all aspects of 

this rulemaking, DOE is particularly 

interested in comment on the following 

issues: 

1. Test Temperatures 

DOE invites comment and data on the 

applicability of the proposed ambient 

test temperature requirements, based on 

section 4.2 in ANSI Standard C82.6– 

2005. In particular, DOE is interested in 

comment on whether a different set of 

ambient test conditions might be more 

appropriate for metal halide ballast 

testing. See section III.C.1 for a 

discussion of the proposed ambient 

temperature conditions. 

2. Test Instrumentation and 

Requirements 

DOE invites comment and data on the 

applicability of the proposed 

instrumentation requirements for power 

supplies, wattmeters, voltmeters, and 

ammeters required for testing, based on 

the requirements in section 4.0 of ANSI 

Standard C82.6–2005. See section III.C.1 

for a discussion of the instrumentation 

requirements. 

DOE especially invites comment on 

the issue of the applicability of the 

proposed measurement accuracy ±0.50 

percent up to 125 Hertz for ballasts with 

power factors between 20 and 50 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 33181 

percent, because ANSI Standard C82.6– 

2005 does not provide an accuracy 

value for the proposed instrumentation 

for these power factors. See section 

III.C.1 for a discussion of the proposed 

instrumentation requirements. 

3. Test Connections 

DOE invites comment on the 

applicability of the proposed test circuit 

connection requirements, based on 

sections 4.5 and 6.10 of ANSI Standard 

C82.6–2005. See section III.C.1 for a 

discussion of the proposed test circuit 

connections. 

4. Lamp Orientation 

DOE invites comment on the 

appropriateness of the lamp orientation 

requirements as specified in section 4.3 

of ANSI Standard C82.6–2005 that 

require vertical base up unless the 

manufacturer specifies another 

orientation for that ballast and 

associated lamp combination. DOE also 

seeks comment on whether a preferred 

lamp orientation approach exists within 

the industry for lamp ballast testing. See 

section III.C.1 for a discussion of the 

proposed lamp orientation 

requirements. 

5. Lamp Seasoning and System 

Stabilization 

DOE invites comment and data on the 

applicability of the proposed lamp 

seasoning and system stabilization 

requirements that follow the ANSI 

Standard C82.6–2005 requirement for a 

100-hour seasoning period and the 

stabilization method in either section 

4.4.2 or 4.4.3 of ANSI Standard C82.6– 

2005, with additional methods from 

ANSI Standard C78.389–2004. DOE is 

particularly interested in whether a 

preferred lamp seasoning or lamp 

stabilization approach exists within the 

industry. See section III.C.1 for a 

discussion of the proposed lamp 

seasoning and system stabilization 

conditions. 

6. Test Measurements 

DOE invites comment and data on the 

applicability of the proposed 

measurement of ballast power losses in 

accordance with section 6.10 of ANSI 

Standard C82.6–2005, which requires 

the use of a true RMS wattmeter with 

basic accuracy of 0.50 percent. DOE is 

particularly interested in whether a 

preferred ballast power-loss 

measurement approach exists within the 

industry for metal halide lamps. See 

section III.C.2 for a discussion of the 

proposed testing measurements. 

7. Applicability of Off Mode 

DOE invites comment on its approach 

for assessing metal halide ballast 

operation in active mode, standby 

mode, and off mode, as those terms are 

defined in EPCA. In particular, DOE 

invites comment on its tentative 

conclusion that off mode does not apply 

to metal halide lamp ballasts at this 

time, and, therefore, should not be 

included as part of this proposed test 

procedure. See section III.B for a 

discussion of off mode. 

8. Applicability of Standby 

Measurements 

DOE invites comment on its proposed 

approach to apply the standby mode 

provisions of this test procedure to all 

metal halide lamp ballasts that 

incorporate some form of electronic 

circuit that enables the ballast to 

communicate with and be part of a 

lighting control system. Although all 

metal halide ballasts would be subject to 

the test procedure generally, only these 

types would be subject to the test 

procedure’s standby mode power 

consumption provisions. See section 

III.E for a discussion of the proposed 

scope of the test procedure’s standby 

power provisions. 

9. Definitions 

DOE invites comment on the 

definitions for the following eight new 

terms that DOE is proposing to add to 

10 CFR part 431: AC control signal, 

active mode, basic model, DC control 

signal, off mode, PLC control signal, 

standby mode, and wireless control 

signal. See section III.B for a discussion 

of the proposed definitions. 

10. Circuit Diagrams 

DOE invites comments on its 

proposed test method and 

measurements for metal halide ballasts, 

which provide the step-by-step 

procedure and circuit diagrams 

necessary for measuring the power (in 

watts) consumed by the main power 

input to the ballast, and the control 

signal wire (if any). See sections III.C 

and D for a discussion of the proposed 

circuit diagrams. 

11. Units To Be Tested 

DOE invites comment and data on the 

accuracy and applicability of the 

proposed sampling for metal halide 

ballasts. DOE seeks comment on 

whether an alternative sampling method 

exists that might be more appropriate 

for metal halide ballasts. See section 

III.G for a discussion of the proposed 

sampling size method. 

12. Submission of Data 

DOE invites comment on the potential 

impact of applying the submission of 

data requirements described in other 

DOE test procedures for products and 

equipment subject to energy 

conservation standards as it applies to 

metal halide ballasts. DOE seeks 

comment on whether an alternative set 

of submission requirements exists that 

might be more appropriate for metal 

halide ballasts. See section III.H for a 

discussion of the proposed submission 

of data requirements. 

13. Enforcement Provisions 

DOE invites comment on the potential 

impact of applying the enforcement 

provisions described in other DOE test 

procedures for products and equipment 

subject to energy conservation standards 

as they apply to metal halide ballasts. 

See section III.I for discussion of the 

proposed enforcement provisions. 

V. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

Today’s proposed regulatory action is 

not a ‘‘significant regulatory action’’ 

under section 3(f) of Executive Order 

12866, ‘‘Regulatory Planning and 

Review.’’ 58 FR 51735 (Oct. 4, 1993). 

Accordingly, this proposed regulatory 

action was not subject to review under 

the Executive Order by the Office of 

Information and Regulatory Affairs 

(OIRA) in the Office of Management and 

Budget (OMB). 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq., as amended by the 

Small Business Regulatory Enforcement 

Fairness Act of 1996), requires 

preparation of an initial regulatory 

flexibility analysis for any rule that by 

law must be proposed for public 

comment, unless the agency certifies 

that the proposed rule, if promulgated, 

will not have a significant economic 

impact on a substantial number of small 

entities. A regulatory flexibility analysis 

examines the impact of the rule on 

small entities and considers alternative 

ways of reducing negative impacts. 

Also, as required by Executive Order 

13272, ‘‘Proper Consideration of Small 

Entities in Agency Rulemaking,’’ 67 FR 

53461 (August 16, 2002), DOE 

published procedures and policies on 

February 19, 2003, to ensure that the 

potential impacts of its rules on small 

entities are properly considered during 

the DOE rulemaking process. 68 FR 

7990. DOE made its procedures and 

policies available on the Office of the 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
33182 Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 

General Counsel’s Web site at http:// 

www.gc.doe.gov. 

Today’s NOPR proposes test 

procedures that would be used to 

determine compliance with an energy 

conservation standard for certain metal 

halide lamp fixtures. DOE reviewed 

today’s NOPR under the provisions of 

the Regulatory Flexibility Act and the 

policies and procedures published on 

February 19, 2003. DOE concludes and 

certifies that this rulemaking would not 

have a significant economic impact on 

a substantial number of small entities 

producing metal halide lamp fixtures 

covered in this rulemaking, for the 

reasons that follow. 

The proposed test procedure 

incorporates by reference provisions 

from ANSI Standard C82.6–2005 for the 

measurement of ballast efficiency. ANSI 

Standard C82.6–2005 is the current and 

active industry testing standard for 

metal halide lamp ballasts. In 

referencing this industry test method, 

DOE anticipates that there would be no 

incremental increase in testing cost or 

burden for covered products. 

Manufacturers are familiar with the 

application of ANSI Standard C82.6– 

2005 and would have the equipment 

necessary to conduct the performance 

measurements. Furthermore, DOE 

understands that manufacturers of 

covered equipment are using this 

industry test method when they make 

any representation of their product’s 

efficiency in the public domain. 

Today’s NOPR also proposes a 

methodology for the measurement of 

standby mode power consumption for 

certain metal halide lamp fixtures. DOE 

based its proposed method on 

techniques and approaches in ANSI 

Standard C82.6–2005 and IEC Standard 

62301. DOE uses the same test 

equipment, accuracy requirements, and 

test conditions from ANSI Standard 

C82.6–2005. Although DOE is unaware 

of any metal halide lamp ballasts 

commercially available today that are 

capable of operating in standby mode, 

ballasts incorporating features that may 

encounter standby mode may enter the 

market as they have for fluorescent lamp 

ballasts. Due to the fact that DOE’s 

proposed method is based on the 

industry standards and does not exceed 

any equipment or accuracy 

requirements contained therein, DOE 

does not believe the standby mode test 

procedure will add significant costs. Of 

the two measurements required in the 

standby mode test procedure, the Pin

measurement is common to both the 

active mode and the standby mode test 

procedure. Measurement of the control 

signal is a minimal additional test, but 

one that technicians can conduct with 

measurement equipment readily 

available. 

Accordingly, DOE does not find that 

the test procedures proposed today 

would result in any significant increase 

in testing or regulatory compliance 

costs. For this reason, DOE concludes 

and certifies that this rulemaking would 

not impose a significant impact on a 

substantial number of small businesses 

manufacturing metal halide lamp 

fixtures. Accordingly, DOE has not 

prepared a regulatory flexibility analysis 

for this rulemaking. DOE’s certification 

and supporting statement of factual 

basis will be provided to the Chief 

Counsel for Advocacy of the Small 

Business Administration for review 

under 5 U.S.C. 605(b). 

C. Review Under the Paperwork 

Reduction Act of 1995 

The proposed rule would require each 

manufacturer of metal halide fixtures 

(i.e., fixtures that incorporate metal 

halide ballasts), or entity performing 

tests on behalf of the manufacturer, to 

maintain records about how they 

determined the energy efficiency and 

standby power mode energy 

consumption measurement of their 

products (see proposed regulatory 

language at 10 CFR Part 431, Subpart T). 

The proposed rule also would require 

each manufacturer to make a one-time 

submission, stating in essence that it is 

complying with the applicable energy 

conservation standards and test 

procedures, in addition to certification 

reports that set forth the energy 

performance of each basic model that it 

manufactures. The certification reports 

are submitted one time for each basic 

model, either when the requirements go 

into effect or when the manufacturer 

begins distribution of a new basic 

model. The proposed collections of 

information are necessary for 

implementing and monitoring 

compliance with the efficiency 

standards and testing requirements for 

metal halide fixtures, as mandated by 

EPCA. Manufacturers would become 

subject to these reporting and 

certification requirements once both a 

final rule for the metal halide ballast test 

procedure and a final rule for the metal 

halide ballast energy conservation 

standard are effective. 

While interested persons are invited 

to comment on the proposed 

certification and recordkeeping 

requirements for metal halide fixtures to 

be codified at 10 CFR Part 431 that are 

presented in today’s NOPR, DOE also 

will separately publish in the Federal 

Register a notice pursuant to 44 U.S.C. 

3506(c)(2) that invites public comment 

on this proposed collection of 

information. After considering any 

comments, DOE will submit the 

proposed collection of information to 

OMB for clearance pursuant to the 

Paperwork Reduction Act of 1995 (44 

U.S.C. 3501 et seq.). DOE will 

subsequently publish another Federal 

Register notice informing the public 

when the collection of information 

request has been submitted to OMB for 

review and clearance. An agency may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless it displays a 

currently valid OMB control number. 

The effective date of the reporting and 

certification requirements, as set forth in 

this proposed rule, will be announced 

either in the test procedure final rule or 

in a separate Federal Register 

document. 

DOE estimates the total annual 

reporting and recordkeeping burden 

imposed on manufacturers of metal 

halide fixtures by today’s proposed rule 

would be 23,680 hours per year. DOE 

estimates that the number of covered 

manufacturing firms would be 

approximately 148, and the total annual 

record-keeping burden from compliance 

with the proposed rule would be 160 

hours per company. Thus, 148 firms × 

160 hours per firm = 23,680 hours per 

year. 

In developing this burden estimate, 

DOE considered that each manufacturer 

is required to comply with the energy 

conservation standards for metal halide 

fixtures set by the statute for ballasts 

manufactured on or after the effective 

date of the relevant statutory provisions 

(i.e., January 1, 2009). DOE understands 

that manufacturers already maintain the 

types of records the proposed rule 

would require them to keep. The 

Department believes the collection of 

information required by this proposed 

rule is the least burdensome method of 

meeting the statutory requirements and 

achieving the program objectives of the 

DOE compliance certification program 

for these products and equipment. 

D. Review Under the National 

Environmental Policy Act 

In this notice, DOE is proposing a 

metal halide ballast test procedure that 

it expects would be used to develop and 

implement future energy conservation 

standards for metal halide lamp ballasts. 

DOE has determined that this proposed 

rule falls into a class of actions that are 

categorically excluded from review 

under the National Environmental 

Policy Act of 1969 (Pub. L. 91–190, 

codified at 42 U.S.C. 4321 et seq.) and 

DOE’s implementing regulations at 10 

CFR part 1021. Specifically, this 

proposed rule would adopt existing 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 33183 

8Categorical Exclusion A6 provides, 

‘‘Rulemakings that are strictly procedural, such as 

rulemaking (under 48 CFR part 9) establishing 

procedures for technical and pricing proposals and 

establishing contract clauses and contracting 

practices for the purchase of goods and services, 

and rulemaking (under 10 CFR part 600) 

establishing application and review procedures for, 

and administration, audit, and closeout of, grants 

and cooperative agreements.’’ 

industry ballast test procedures, so it 

would not affect the amount, quality, or 

distribution of energy usage, and 

therefore, would not result in any 

environmental impacts. Thus, this 

rulemaking is covered by the Categorical 

Exclusion A6 under 10 CFR part 1021, 

subpart D.8 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 (August 10, 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 developing 

regulatory policies that have Federalism 

implications. On March 14, 2000, DOE 

published a statement of policy 

describing the intergovernmental 

consultation process that it will follow 

in developing such regulations. 65 FR 

13735. DOE examined this proposed 

rule and 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. Accordingly, 

Executive Order 13132 requires no 

further action. 

F. Review Under Executive Order 12988 

With respect to 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 duty to: 

(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 specifies the following: (1) 

The preemptive effect, if any; (2) any 

effect on existing Federal law or 

regulation; (3) a clear legal standard for 

affected conduct while promoting 

simplification and burden reduction; (4) 

the retroactive effect, if any; (5) 

definitions of key terms; and (6) 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 

whether it is unreasonable to meet one 

or more of them. DOE completed the 

required review and determined that, to 

the extent permitted by law, this 

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) (Pub. L. 

104–4, codified at 2 U.S.C. 1501 et seq.) 

requires each Federal agency to assess 

the effects of Federal regulatory actions 

on State, local, and Tribal governments 

and the private sector. For regulatory 

actions likely to result in a rule that may 

cause expenditures by State, local, and 

Tribal governments, in the aggregate, or 

by the private sector of $100 million or 

more in any 1 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) and (b)) UMRA 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.’’ UMRA also requires an 

agency plan for giving notice and 

opportunity for timely input to small 

governments that may be potentially 

affected before establishing any 

requirement that might significantly or 

uniquely affect them. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820. (This policy is 

also available at http://www.gc.doe.gov.) 

Today’s proposed rule contains neither 

an intergovernmental mandate nor a 

mandate that may result in the 

expenditure of $100 million or more in 

any year, so these requirements do not 

apply. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. 

Today’s NOPR to amend DOE test 

procedures 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 

Pursuant to Executive Order 12630, 

‘‘Governmental Actions and Interference 

with Constitutionally Protected Property 

Rights,’’ 53 FR 8859 (March 15, 1988), 

DOE determined that this proposed rule 

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 (Pub. L. 106–554, codified at 

44 U.S.C. 3516 note) provides for 

agencies to review most disseminations 

of information to the public under 

information quality 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 NOPR under the OMB and DOE 

guidelines and 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 a final 

rule 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 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
33184 Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use if the 

proposal is implemented, and of 

reasonable alternatives to the action and 

their expected benefits on energy 

supply, distribution, and use. Today’s 

proposed rulemaking is not a significant 

regulatory action under E.O. 12866. 

Moreover, it would not have a 

significant adverse effect on the supply, 

distribution, or use of energy and has 

not been designated a significant energy 

action by the Administrator of OIRA. 

Therefore, DOE determined that this 

rule is not a significant energy action. 

Accordingly, DOE has not prepared a 

Statement of Energy Effects for this 

rulemaking. 

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, et seq.), DOE must 

comply with section 32 of the Federal 

Energy Administration Act of 1974 

(Pub. L. 93–275), as amended by the 

Federal Energy Administration 

Authorization Act of 1977 (Pub. L. 95– 

70). (15 U.S.C. 788) Section 32 provides 

that, where a proposed rule authorizes 

or requires use of commercial standards, 

the NOPR 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 Federal Trade Commission 

(FTC) about the impact of the 

commercial or industry standards on 

competition. 

DOE evaluated these revised 

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 

impact of these test procedures on 

competition. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this proposed rule. 

List of Subjects in 10 CFR Part 431 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Reporting and recordkeeping 

requirements. 

Issued in Washington, DC, on June 29, 

2009. 

Steven G. Chalk, 

Principal Deputy Assistant Secretary, Energy 

Efficiency and Renewable Energy. 

For the reasons stated in the 

preamble, DOE proposes to amend part 

431 of chapter II of title 10, of the Code 

of Federal Regulations, to read as set 

forth below. 

PART 431—ENERGY EFFICIENCY 

PROGRAM FOR CERTAIN 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

1. The authority citation for part 431 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317. 

2. Section 431.322 is amended by 

adding, in alphabetical order, 

definitions for ‘‘AC control signal,’’ 

‘‘Active mode,’’ ‘‘Basic model,’’ ‘‘DC 

control signal,’’ ‘‘Off mode,’’ ‘‘PLC 

control signal,’’ ‘‘Standby mode,’’ and 

‘‘Wireless control signal’’ to read as 

follows: 

§ 431.322 Definitions concerning metal 

halide lamp ballasts and fixtures. 

AC control signal means an 

alternating current (AC) signal that is 

supplied to the ballast using additional 

wiring for the purpose of controlling the 

ballast and putting the ballast in 

standby mode. 

Active mode means the condition in 

which an energy-using product: 

(1) Is connected to a main power 

source; 

(2) Has been activated; and 

(3) Provides one or more main 

functions. 

* * * * * 

Basic model means, with respect to 

metal halide ballasts, all units of a given 

type of metal halide ballast (or class 

thereof) that: 

(1) Are rated to operate a given lamp 

type and wattage; 

(2) Have essentially identical 

electrical characteristics; and 

(3) Have no differing electrical, 

physical, or functional characteristics 

that affect energy consumption. 

DC control signal means a direct 

current (DC) signal that is supplied to 

the ballast using additional wiring for 

the purpose of controlling the ballast 

and putting the ballast in standby mode. 

* * * * * 

Off mode means the condition in 

which an energy-using product: 

(1) Is connected to a main power 

source; and 

(2) Is not providing any standby or 

active mode function. 

PLC control signal means a power line 

carrier (PLC) signal that is supplied to 

the ballast using the input ballast wiring 

for the purpose of controlling the ballast 

and putting the ballast in standby mode. 

* * * * * 

Standby mode means the condition in 

which an energy-using product: 

(1) Is connected to a main power 

source; and 

(2) Offers one or more of the following 

user-oriented or protective functions: 

(i) To facilitate the activation or 

deactivation of other functions 

(including active mode) by remote 

switch (including remote control), 

internal sensor, or timer; 

(ii) Continuous functions, including 

information or status displays 

(including clocks) or sensor-based 

functions. 

Wireless control signal means a 

wireless signal that is radiated to and 

received by the ballast for the purpose 

of controlling the ballast and putting the 

ballast in standby mode. 

3. Section 431.324 is amended by 

revising the section heading and by 

revising paragraph (b) and adding 

paragraph (c) to read as follows: 

§ 431.324 Uniform test method for the 

measurement of energy efficiency and 

standby mode energy consumption of metal 

halide ballasts. 

* * * * * 

(b) Active Mode Energy Efficiency 

Testing and Calculations. (1) Test 

Conditions. The power supply, ballast 

test conditions, lamp position, lamp 

stabilization and test instrumentation 

shall all conform to the requirements 

specified in section 4.0, ‘‘General 

Conditions for Electrical Performance 

Tests,’’ of the ANSI Standard C82.6– 

2005, ‘‘Ballasts for High Intensity 

Discharge Lamps—Method of 

Measurement.’’ Ambient temperatures 

for the testing period shall be 

maintained at 25°C ± 5°C in a draft-free 

environment. Basic lamp stabilization 

shall conform to the general 

requirements in section 4.4.2, and 

stabilization shall be reached when the 

lamp’s electrical characteristics vary by 

no more than 3 percent in three 

consecutive 10- to 15-minute intervals 

measured after the minimum burning 

time of 30 minutes. In cases where 

switching without extinguishing the 

lamp is impossible, the alternative 

stabilization method described in 

section 4.4.3 shall be used. 

(2) Test Measurement. The ballast 

input power and lamp output power 

during operating conditions shall be 

measured in accordance with the 

methods specified in section 6.0, 

‘‘Ballast Measurements (MultipleSupply Type Ballasts)’’ of the ANSI 

Standard C82.6–2005, ‘‘Ballasts for High 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 33185 

Intensity Discharge Lamps—Method of 

Measurement.’’ 

(3) Efficiency Calculation. The 

measured lamp output power shall be 

divided by the ballast input power to 

determine the percent efficiency of the 

ballast under test. 

(c) Standby Mode Energy 

Consumption Testing and Calculations. 

The measurement of standby mode need 

not be performed to determine 

compliance with energy conservation 

standards for metal halide lamp fixtures 

established prior to [DATE OF 

PUBLICATION OF FINAL RULE IN 

THE FEDERAL REGISTER]. 

(1) Test Conditions. The power 

supply, ballast test conditions, and test 

instrumentation shall all conform to the 

requirements specified in section 4.0, 

‘‘General Conditions for Electrical 

Performance Tests,’’ of the ANSI 

Standard C82.6–2005, ‘‘Ballasts for High 

Intensity Discharge Lamps—Method of 

Measurement.’’ Ambient temperatures 

for the testing period shall be 

maintained at 25 °C ± 5 °C in a draftfree environment. Send a signal to the 

ballast instructing it to have zero light 

output using the appropriate ballast 

communication protocol or system for 

the ballast being tested. 

(2) Measurement of Main Input Power. 

Measure the input power (watts) to the 

ballast in accordance with the methods 

specified in section 6.0, ‘‘Ballast 

Measurements (Multiple-Supply Type 

Ballasts)’’ of the ANSI Standard C82.6– 

2005, ‘‘Ballasts for High Intensity 

Discharge Lamps—Method of 

Measurement.’’ 

(3) Measurement of Control Signal 

Power. Measure the power from the 

control signal path using one of the 

methods (as appropriate to the given 

unit) described below: 

(i) DC Control Signal. Measure the DC 

control signal voltage, using a voltmeter 

(V), and current, using an ammeter (A) 

connected to the ballast in accordance 

with the circuit shown in Figure 1. The 

DC control signal power is calculated by 

multiplying the DC control signal 

voltage by the DC control signal current. 

(ii) AC Control Signal. Measure the 

AC control signal power (watts), using 

a wattmeter (W), connected to the 

ballast in accordance with the circuit 

shown in Figure 2. 

(iii) Power Line Carrier (PLC) Control 

Signal. Measure the PLC control signal 

power (watts), using a wattmeter (W) 

connected to the ballast in accordance 

with the circuit shown in Figure 3. The 

wattmeter must have a frequency 

response that is at least 10 times higher 

than the PLC being measured to 

measure the PLC signal correctly. The 

wattmeter must also be high-pass 

filtered to filter out power at 60 Hertz. 


erowe on DSK5CLS3C1PROD with PROPOSALS-1EP10JY09.007</GPH> EP10JY09.008</GPH>
33186 Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 

4. Section 431.325 is added to subpart 

S to read as follows: 

§ 431.325 Units to be tested. 

For each basic model of metal halide 

ballast selected for testing, a sample of 

sufficient size, no less than four, shall 

be selected at random and tested to 

ensure that: 

(a) Any represented value of 

estimated energy efficiency calculated 

as the measured output power to the 

lamp divided by the measured input 

power to the ballast (Pout/Pin), of a basic 

model is no less than the higher of: 

(1) The mean of the sample; or 

(2) The upper 99 percent confidence 

limit of the true mean divided by 1.01. 

(b) Any represented value of the 

energy efficiency of a basic model is no 

greater than the lower of: 

(1) The mean of the sample; or 

(2) The lower 99 percent confidence 

limit of the true mean divided by 0.99. 

4. A new Subpart T is added to Part 

431 to read as follows: 

Subpart T—Certification and 

Enforcement 

Sec. 

431.370 Purpose and scope. 

431.371 Submission of data. 

431.372 Sampling. 

431.373 Enforcement. 

Appendix A to Subpart T of Part 431— 

Compliance Statement for Certain 

Commercial Equipment 

Appendix B to Subpart T of Part 431— 

Certification Report for Certain 

Commercial Equipment 

Appendix C to Subpart T of Part 431— 

Enforcement for Performance Standards; 

Compliance Determination Procedure for 

Certain Commercial Equipment 

Subpart T—Certification and 

Enforcement 

§ 431.370 Purpose and scope. 

This subpart sets forth the procedures 

to be followed for manufacturer 

compliance certifications of metal 

halide lamp fixtures and for DOE 

enforcement actions to determine 

whether a basic model of metal halide 

ballasts complies with the applicable 

energy conservation standard set forth 

in this part. Energy conservation 

standards include minimum levels of 

efficiency. This subpart does not apply 

to electric motors. 

§ 431.371 Submission of data. 

(a) Certification. (1) Except as 

provided in paragraph (a)(2) of this 

section, each manufacturer or private 

labeler, before distributing in commerce 

any basic model of covered equipment, 

covered by this subpart and subject to 

an energy conservation standard set 

forth in this part, shall certify by means 

of a compliance statement and a 

certification report that each basic 

model meets the applicable energy 

conservation standard. The compliance 

statement, signed by the company 

official submitting the statement, and 

the certification report(s) shall be sent 

by certified mail to: U.S. Department of 

Energy, Building Technologies Program, 

Mailstop EE–2J, 1000 Independence 

Avenue, SW., Washington, DC 20585– 

0121, or e-mailed to the Department at: 

certification.report@ee.doe.gov. 

(2) Each manufacturer or private 

labeler of a basic model of metal halide 

ballast shall file a compliance statement 

and its first certification report with 

DOE on or before [DATE ONE YEAR 

AFTER DATE OF PUBLICATION OF 

THE FINAL RULE IN THE FEDERAL 

REGISTER]. 

(3) Amendment of information. If 

information in a compliance statement 

or certification report previously 

submitted to the Department under this 

section is found to be incorrect, each 

manufacturer or private labeler (or an 

authorized representative) must submit 

the corrected information to the 

Department at the address and in the 

manner described in this section. 

(4) Third-party representatives. 

Notices designating a change of thirdparty representative must be sent to the 

Department at the address and in the 

manner described in this section. 

(5) Compliance statement. Each 

manufacturer or private labeler need 

only submit its compliance statement 

once for each basic model. Such 

statement shall include all required 

information specified in the format set 

forth in Appendix A of this subpart and 

shall certify, with respect to each basic 

model currently produced by the 

manufacturer and new basic models it 

introduces in the future, that: 

(i) Each basic model complies and 

will comply with the applicable energy 

conservation standard; 

(ii) All representations as to efficiency 

in the manufacturer’s certification 

report(s) are and will be based on 

testing; 

(iii) All information reported in the 

certification report(s) is and will be true, 

accurate, and complete; and 

(iv) The manufacturer or private 

labeler is aware of the penalties 

associated with violations of the Act, 

the regulations thereunder, and 18 

U.S.C. 1001, which prohibits knowingly 

making false statements to the Federal 

Government. 

(6) Certification report. Each 

manufacturer must submit to DOE a 

certification report for all its metal 

halide ballast basic models. The 

certification report (for which a 

suggested format is set forth in 

Appendix B of this subpart) shall 

include for each basic model the 

product type, product class, 

manufacturer’s name, private labeler’s 

name(s) (if applicable), the 

manufacturer’s model number(s), and 

the ballast efficiency in percent. 

(7) Copies of reports to the Federal 

Trade Commission that include the 

information specified in paragraph (a)(6) 

of this section could serve in lieu of the 

certification report. 

(b) Model modifications. Any change 

to a basic model that affects energy 

consumption constitutes the addition of 

a new basic model. If such a change 

reduces energy consumption, the new 

model shall be considered in 

compliance with the standard without 

any additional testing. If, however, such 

a change increases energy consumption 

while meeting the standard, then the 

manufacturer must submit all 

information required by paragraph (a)(6) 

of this section for the new basic model. 

Any such submission shall be sent by 

certified mail to: U.S. Department of 

Energy, Building Technologies Program, 


erowe on DSK5CLS3C1PROD with PROPOSALS-1EP10JY09.009</GPH>
Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 33187 

Mailstop EE–2J, 1000 Independence 

Avenue, SW., Washington, DC 20585– 

0121, or e-mailed to the Department at: 

certification.report@ee.doe.gov. 

(c) Discontinued models. For a basic 

model whose production has ceased and 

is no longer being distributed, the 

manufacturer shall report this, by 

certified mail, to: U.S. Department of 

Energy, Building Technologies Program, 

Mailstop EE–2J, 1000 Independence 

Avenue, SW., Washington, DC 20585– 

0121. For each basic model, the report 

shall include: equipment type, 

equipment class, the manufacturer’s 

name, the private labeler’s name(s), if 

applicable, and the manufacturer’s 

model number. If the reporting of 

discontinued models coincides with the 

submittal of a certification report, such 

information can be included in the 

certification report. 

(d) Third-party representation. A 

manufacturer or private labeler may 

elect to use a third party (such as a trade 

association or other authorized 

representative) to submit the 

certification report to DOE. Such 

certification reports shall include all the 

information specified in paragraph (a)(6) 

of this section. Third parties submitting 

certification reports shall include the 

names of the manufacturers or private 

labelers who authorized the submittal of 

the certification reports to DOE on their 

behalf. The third-party representative 

also may submit model modification 

information, as specified in paragraph 

(b) of this section, and discontinued 

model information, as specified in 

paragraph (c) of this section, on behalf 

of an authorizing manufacturer or 

private labeler. 

§ 431.372 Sampling. 

For purposes of a certification of 

compliance, the determination that a 

basic model complies with the 

applicable energy conservation standard 

shall be based upon the testing and 

sampling procedures, and other 

applicable rating procedures, set forth in 

this part. For purposes of a certification 

of compliance, the determination that a 

basic model complies with the 

applicable design standard shall be 

based on the incorporation of specific 

design requirements specified in this 

part. 

§ 431.373 Enforcement. 

Process for Metal Halide Lamp 

Ballasts. This section sets forth 

procedures DOE will follow in pursuing 

alleged noncompliance with an 

applicable energy conservation 

standard. 

(a) Performance standards. (1) Test 

notice. Upon receiving information in 

writing concerning the energy 

performance of a particular covered 

equipment sold by a particular 

manufacturer or private labeler, which 

indicates that the covered equipment 

may not be in compliance with the 

applicable energy standard, the 

Secretary may conduct a review of the 

test records. The Secretary may then 

conduct enforcement testing of that 

equipment under the DOE test 

procedure, a process that is initiated by 

means of a test notice addressed to the 

manufacturer or private labeler in 

accordance with the requirements 

outlined below. 

(i) The test notice procedure will only 

be followed after the Secretary or his/ 

her designated representative has 

examined the underlying test data 

provided by the manufacturer, and after 

the manufacturer has been offered the 

opportunity to meet with the 

Department to verify compliance with 

the applicable energy conservation 

standard and/or water conservation 

standard. A representative designated 

by the Secretary must be permitted to 

observe any reverification procedures 

undertaken according to this subpart, 

and to inspect the results of such 

reverification. 

(ii) The test notice will be signed by 

the Secretary or his/her designee and 

will be mailed or delivered by the 

Department to the plant manager or 

other responsible official designated by 

the manufacturer. 

(iii) The test notice will specify the 

basic model to be selected for testing, 

the number of units to be tested, the 

method for selecting these units, the 

date and time at which testing is to 

begin, the date when testing is 

scheduled to be completed, and the 

facility at which testing will be 

conducted. The test notice may also 

provide for situations in which the 

selected basic model is unavailable for 

testing, and it may include alternative 

basic models. 

(iv) The Secretary may require in the 

test notice that the manufacturer of 

covered equipment shall ship at his 

expense a reasonable number of units of 

each basic model specified in the test 

notice to a testing laboratory designated 

by the Secretary. The number of units of 

a basic model specified in a test notice 

shall not exceed 20. 

(v) Within five working days of the 

time the units are selected, the 

manufacturer must ship the specified 

test units of a basic model to the 

designated testing laboratory. 

(2) Testing Laboratory. Whenever the 

Department conducts enforcement 

testing at a designated laboratory in 

accordance with a test notice under this 

section, the resulting test data shall 

constitute official test data for that basic 

model. The Department will use such 

test data to make a determination of 

compliance or noncompliance. 

(3) Sampling. The Secretary will base 

the determination of whether a 

manufacturer’s basic model complies 

with the applicable energy conservation 

standard on testing conducted in 

accordance with the applicable test 

procedures specified in this part, and 

with the following statistical sampling 

procedures for metal halide lamp 

ballasts, with the methods described in 

10 CFR Part 431, Subpart T, Appendix 

B (Sampling Plan for Enforcement 

Testing). 

(4) Test unit selection. (i) For metal 

halide lamp ballasts, the following 

applies: 

(A) The Department shall select a 

batch, a batch sample, and test units 

from the batch sample in accordance 

with the following provisions of this 

paragraph and the conditions specified 

in the test notice. 

(B) The batch may be subdivided by 

the Department using criteria specified 

in the test notice. 

(C) The Department will then 

randomly select a batch sample of up to 

20 units from one or more subdivided 

groups within the batch. The 

manufacturer shall keep on hand all 

units in the batch sample until the basic 

model is determined to be in 

compliance or non-compliance. 

(D) The Department will randomly 

select individual test units comprising 

the test sample from the batch sample. 

(E) All random selections shall be 

achieved by sequentially numbering all 

the units in a batch sample and then 

using a table of random numbers to 

select the units to be tested. 

(ii) [Reserved] 

(5) Test unit preparation. (i) Before 

and during the testing, a test unit 

selected in accordance with paragraph 

(a)(4) of this section shall not be 

prepared, modified, or adjusted in any 

manner unless such preparation, 

modification, or adjustment is allowed 

by the applicable DOE test procedure. 

DOE will test each unit in accordance 

with the applicable test procedures. 

(ii) No one may perform any quality 

control, testing, or assembly procedures 

on a test unit, or any parts and 

subassemblies thereof, that is not 

performed during the production and 

assembly of all other units included in 

the basic model. 

(iii) A test unit shall be considered 

defective if it is inoperative. A test unit 

is also defective if it is found to be in 

noncompliance due to a manufacturing 

defect or due to failure of the unit to 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
33188 Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 

operate according to the manufacturer’s 

design and operating instructions, and 

the manufacturer demonstrates by 

statistically valid means that, with 

respect to such defect or failure, the unit 

is not representative of the population 

of production units from which it is 

obtained. Defective units, including 

those damaged due to shipping or 

handling, must be reported immediately 

to DOE. The Department will authorize 

testing of an additional unit on a caseby-case basis. 

(6) Testing at manufacturer’s option. 

(i) If the Department determines a basic 

model to be in noncompliance with the 

applicable energy performance standard 

at the conclusion of its initial 

enforcement sampling plan testing, the 

manufacturer may request that the 

Department conduct additional testing 

of the basic model. Additional testing 

under this paragraph must be in 

accordance with the applicable test 

procedure, and for metal halide lamp 

ballasts, the applicable provisions in 

Appendix B to Subpart T of Part 431. 

(ii) All units tested under this 

paragraph shall be selected and tested in 

accordance with paragraphs (a)(1)(v), 

(a)(2), (a)(4), and (a)(5) of this section. 

(iii) The manufacturer shall bear the 

cost of all testing under this paragraph. 

(iv) The Department will advise the 

manufacturer of the method for 

selecting the additional units for testing, 

the date and time at which testing is to 

begin, the date by which testing is 

scheduled to be completed, and the 

facility at which the testing will occur. 

(v) The manufacturer shall cease 

distribution of the basic model tested 

under the provisions of this paragraph 

from the time the manufacturer elects to 

exercise the option provided in this 

paragraph until the basic model is 

determined to be in compliance. The 

Department may seek civil penalties for 

all units distributed during such period. 

(vi) If the additional testing results in 

a determination of compliance, the 

Department will issue a notice of 

allowance to resume distribution. 

(b) Cessation of distribution of a basic 

model of commercial equipment other 

than electric motors. (1) In the event the 

Department determines, in accordance 

with enforcement provisions set forth in 

this subpart, that a model of covered 

equipment is noncompliant, or if a 

manufacturer or private labeler 

determines one of its models to be in 

noncompliance, the manufacturer or 

private labeler shall: 

(i) Immediately cease distribution in 

commerce of all units of the basic model 

in question; 

(ii) Give immediate written 

notification of the determination of 

noncompliance to all persons to whom 

the manufacturer has distributed units 

of the basic model manufactured since 

the date of the last determination of 

compliance; and 

(iii) If requested by the Secretary, 

provide DOE, within 30 days of the 

request, records, reports and other 

documentation pertaining to the 

acquisition, ordering, storage, shipment, 

or sale of a basic model determined to 

be in noncompliance. 

(2) The manufacturer may modify the 

noncompliant basic model in such 

manner as to make it comply with the 

applicable performance standard. The 

manufacturer or private labeler must 

treat such a modified basic model as a 

new basic model and certify it in 

accordance with the provisions of this 

subpart. In addition to satisfying all 

requirements of this subpart, the 

manufacturer must also maintain 

records that demonstrate that 

modifications have been made to all 

units of the new basic model before its 

distribution in commerce. 

(3) If a manufacturer or private labeler 

has a basic model that is not properly 

certified in accordance with the 

requirements of this subpart, the 

Secretary may seek, among other 

remedies, injunctive action to prohibit 

distribution in commerce of the basic 

model. 

Appendix A to Subpart T of Part 431— 

Compliance Statement for Certain 

Commercial Equipment 

Product: llllllllllllllll

Manufacturer’s or Private Labeler’s Name 

and Address: 

lllllllllllllllllllll

lllllllllllllllllllll

[Company name] (‘‘the company’’) submits 

this Compliance Statement under 10 CFR 

Part 431 (Energy Efficiency Program for 

Certain Commercial and Industrial 

Equipment) and Part A–1 of the Energy 

Policy and Conservation Act (Pub. L. 94– 

163), and amendments thereto. I am signing 

this on behalf of and as a responsible official 

of the company. All basic models of 

commercial or industrial equipment subject 

to energy conservation standards specified in 

10 CFR Part 431 that this company 

manufacturers comply with the applicable 

energy conservation standard(s). We have 

complied with the applicable testing 

requirements (prescribed in 10 CFR Part 431) 

in making this determination, and in 

determining the energy efficiency set forth in 

any accompanying Certification Report. All 

information in such Certification Report(s) 

and in this Compliance Statement is true, 

accurate, and complete. The company 

pledges that all this information in any future 

Compliance Statement(s) and Certification 

Report(s) will meet these standards, and that 

the company will comply with the energy 

conservation requirements in 10 CFR Part 

431 with regard to any new basic model it 

distributes in the future. The company is 

aware of the penalties associated with 

violations of the Act and the regulations 

thereunder, and is also aware of the 

provisions contained in 18 U.S.C. 1001, 

which prohibits knowingly making false 

statements to the Federal Government. 

Name of Company Official: llllllll

Signature of Company Official: llllll

Title: llllllllllllllllll

Firm or Organization: llllllllll

Date: llllllllllllllllll

Name of Person to Contact for Further 

Information: 

lllllllllllllllllllll

Address: llllllllllllllll

lllllllllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

Third-Party Representation (if applicable) 

For a certification reports prepared and 

submitted by a third-party organization 

under the provisions of 10 CFR Part 431, the 

company official who authorized said thirdparty representation is: 

Name: lllllllllllllllll

Title: llllllllllllllllll

Address: llllllllllllllll

lllllllllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

The third-party organization authorized to 

act as representative: 

lllllllllllllllllllll

Third-Party Organization: llllllll

Address: llllllllllllllll

lllllllllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

Submit by Certified Mail to: U.S. 

Department of Energy, Building Technologies 

Program, Mailstop EE–2J, 1000 Independence 

Avenue, SW., Washington, DC 20585–0121. 

Appendix B to Subpart T to Part 431— 

Certification Report for Certain 

Commercial Equipment 

All information reported in this 

Certification Report(s) is true, accurate, and 

complete. The company is aware of the 

penalties associated with violations of the 

Act, the regulations thereunder, and is also 

aware of the provisions contained in 18 

U.S.C. 1001, which prohibits knowingly 

making false statements to the Federal 

Government. 

Name of Company Official or Third-Party 

Representative: 

lllllllllllllllllllll

Signature of Company Official or ThirdParty Representative: 

lllllllllllllllllllll

Title: llllllllllllllllll

Date: llllllllllllllllll

Equipment Type: llllllllllll

Manufacturer: llllllllllllll

Private Labeler (if applicable): llllll

Name of Person to Contact for Further 

Information: 

lllllllllllllllllllll

Address: llllllllllllllll

lllllllllllllllllllll


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / Proposed Rules 33189 

1Provide specific equipment information 

including, for each basic model, the product class, 

the manufacturer’s model number(s), and the other 

information required in 431.371(a)(6)(i). 

2Provide manufacturer’s model number(s). 

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

For Existing, New, or Modified Models: 1

For Discontinued Models: 2

Submit by Certified Mail to: U.S. 

Department of Energy, Building Technologies 

Program, Mailstop EE–2J, 1000 Independence 

Avenue, SW., Washington, DC 20585–0121. 

Appendix C to Subpart T of Part 431— 

Enforcement for Performance Standards; 

Compliance Determination Procedure for 

Certain Commercial Equipment 

The Department will determine 

compliance as follows: 

(a) After it has determined the sample size, 

the Department will measure the energy 

performance for each unit in accordance with 

the following table: 

Sample size Number of tests for 

each unit 

4 1 

3 1 

2 2 

1 4 

(b) Compute the mean of the measured 

energy performance (x1) for all tests as 

follows: 

x n xi

i

n

1

1 1

1 1 = 1 ⎧

⎨

⎩

⎫

⎬ = ⎭ ∑ [ ]

Where xi is the measured energy efficiency 

or consumption from test i, and n1 is the total 

number of tests. 

(c) Compute the standard deviation (S1) of 

the measured energy performance from the n1

tests as follows: 

S

x x

n

i

i

n

1

1

2

1

1

1 1 = 2

( ) −

−

=

∑

[ ]

(d) Compute the standard error (Sx1) of the 

measured energy performance from the n1

tests as follows: 

S S

n x1

1

1

= [ ] 3

(e)(1) For an energy efficiency standard, 

compute the lower control limit (LCL1) 

according to: 

LCL EPS ts a 1 x1 = − [ ] 4

or 

LCL1 = 97 5. EPS [4b]

(whichever is greater) 

(2) For an energy use standard, compute 

the upper control limit (UCL1) according to: 

UCL EPS ts a 1 x1 = + [ ] 5

or 

UCL1 = 1 025 . EPS [5b]

(whichever is less) 

Where EPS is the energy performance 

standard, and t is a statistic based on a 99 

percent, one-sided confidence limit and a 

sample size of n1. 

(f)(1) Compare the sample mean to the 

control limit. The basic model is in 

compliance and testing is at an end if, for an 

energy efficiency standard, the sample mean 

is equal to or greater than the lower control 

limit or, for an energy consumption standard, 

the sample mean is equal to or less than the 

upper control limit. If, for an energy 

efficiency standard, the sample mean is less 

than the lower control limit or, for an energy 

consumption standard, the sample mean is 

greater than the upper control limit, 

compliance has not been demonstrated. 

Unless the manufacturer requests 

manufacturer-option testing and provides the 

additional units for such testing, the basic 

model is in noncompliance and the testing is 

at an end. 

(2) If the manufacturer does request 

additional testing, and provides the 

necessary additional units, DOE will test 

each unit the same number of times it tested 

previous units. DOE will then compute a 

combined sample mean, standard deviation, 

and standard error as described above. (The 

‘‘combined sample’’ refers to the units DOE 

initially tested plus the additional units DOE 

has tested at the manufacturer’s request.) 

DOE will determine compliance or 

noncompliance from the mean and the new 

lower or upper control limit of the combined 

sample. If, for an energy efficiency standard, 

the combined sample mean is equal to or 

greater than the new lower control limit or, 

for an energy consumption standard, the 

sample mean is equal to or less than the 

upper control limit, the basic model is in 

compliance, and testing is at an end. If the 

combined sample mean does not satisfy one 

of these two conditions, the basic model is 

in noncompliance. 

[FR Doc. E9–15881 Filed 7–9–09; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF LABOR 

Occupational Safety and Health 

Administration 

29 CFR Part 1956 

[Docket No. OSHA–2009–0010] 

RIN 1218–AC44 

Illinois State Plan for Public 

Employees Only; Notice of 

Submission; Proposal To Grant Initial 

State Plan Approval; Request for 

Public Comment and Opportunity To 

Request Public Hearing 

AGENCY: Occupational Safety and Health 

Administration, Department of Labor 

(OSHA). 

ACTION: Proposed rule; request for 

written comments; notice of opportunity 

to request informal public hearing. 

SUMMARY: This document gives notice of 

the submission by the Illinois 

Department of Labor of a developmental 

State Plan for occupational safety and 

health, applicable only to public sector 

employment (employees of the State 

and its political subdivisions), for 

determination of initial approval under 

section 18 of the Occupational Safety 

and Health Act of 1970 (the ‘‘Act’’). 

OSHA is seeking written public 

comment on whether or not initial State 

Plan approval should be granted and 

offers an opportunity to interested 

persons to request an informal public 

hearing on the question of initial State 

Plan approval. 

Approval of the Illinois Public 

Employee Only State Plan will be 

contingent upon a determination that 

the Plan meets, or will meet within 

three years, OSHA’s Plan approval 

criteria and the availability of funding 

as contained in the Department of 

Labor’s Fiscal Year 2009 budget. 

DATES: Written comments and requests 

for a hearing must be submitted 

(postmarked, sent or received) by 

August 10, 2009. 

ADDRESSES: You may submit comments 

and requests for a hearing, identified by 

Docket No. OSHA–2009–0010, by any of 

the following methods: 

Electronically: Comments and 

attachments and requests for a hearing 

may be submitted electronically at 

http://www.regulations.gov, which is 

the Federal eRulemaking Portal. Follow 

the instructions for submitting 

comments. 

Facsimile: If your comments, 

including attachments, and requests for 

a hearing do not exceed 10 pages, you 

may fax them to the OSHA Docket 


EP10JY09.000</MATH> EP10JY09.001</MATH> EP10JY09.002</MATH> EP10JY09.003</MATH> EP10JY09.004</MATH> EP10JY09.005</MATH> EP10JY09.006</MATH>erowe on DSK5CLS3C1PROD with PROPOSALS-1