[Federal Register Volume 74, Number 131 (Friday, July 10, 2009)]
[Proposed Rules]
[Pages 33171-33189]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-15881]
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Proposed Rules
Federal Register
________________________________________________________________________
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.
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Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 /
Proposed Rules
[[Page 33171]]
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.
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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: [email protected].
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:
[email protected]. 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: [email protected].
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. E-
mail:[email protected].
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
[[Page 33172]]
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))
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\1\ This 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.
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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 pulse-start 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 [deg]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))
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\2\ A ``regulated lag ballast'' is the industry term for a lag
ballast with a third coil for improved lamp power regulation.
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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.
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\3\ ANSI standards discussed in this document are available for
purchase at: http://webstore.ansi.org/.
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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
[[Page 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 high-intensity discharge lamp in
which the major portion of the light is produced by radiation of metal
halides and their products of dissociation, possibly in
[[Page 33174]]
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 probe-start 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.
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\4\ Non-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.
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``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
energy-using 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
[[Page 33175]]
of metal halide ballasts and believes that off mode does not apply to
any metal halide ballast, dimmable or non-dimmable, 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
[[Page 33176]]
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 [deg]C 5 [deg]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
[[Page 33177]]
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.
---------------------------------------------------------------------------
\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/.
---------------------------------------------------------------------------
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 well-defined, 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
[[Page 33178]]
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.
---------------------------------------------------------------------------
\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).
---------------------------------------------------------------------------
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
[[Page 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
[[Page 33180]]
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 e-mail 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
[[Page 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
[[Page 33182]]
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 x 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
[[Page 33183]]
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.
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\8\ Categorical 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.''
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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
[[Page 33184]]
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:
Sec. 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:
Sec. 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[deg]C 5[deg]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 (Multiple-
Supply Type Ballasts)'' of the ANSI Standard C82.6-2005, ``Ballasts for
High
[[Page 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 [deg]C 5 [deg]C
in a draft-free 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.
[GRAPHIC] [TIFF OMITTED] TP10JY09.007
(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.
[GRAPHIC] [TIFF OMITTED] TP10JY09.008
(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.
[[Page 33186]]
[GRAPHIC] [TIFF OMITTED] TP10JY09.009
4. Section 431.325 is added to subpart S to read as follows:
Sec. 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
Sec. 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.
Sec. 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:
[email protected].
(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
third-party 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,
[[Page 33187]]
Mailstop EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-
0121, or e-mailed to the Department at:
[email protected].
(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.
Sec. 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.
Sec. 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
[[Page 33188]]
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 case-by-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:---------------------------------------------------------------
Manufacturer's or Private Labeler's Name and Address:
-----------------------------------------------------------------------
-----------------------------------------------------------------------
[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:----------------------------------------------
Signature of Company Official:-----------------------------------------
Title:-----------------------------------------------------------------
Firm or Organization:--------------------------------------------------
Date:------------------------------------------------------------------
Name of Person to Contact for Further Information:
-----------------------------------------------------------------------
Address:---------------------------------------------------------------
-----------------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
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 third-party representation is:
Name:------------------------------------------------------------------
Title:-----------------------------------------------------------------
Address:---------------------------------------------------------------
-----------------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
The third-party organization authorized to act as representative:
-----------------------------------------------------------------------
Third-Party Organization:----------------------------------------------
Address:---------------------------------------------------------------
-----------------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
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:
-----------------------------------------------------------------------
Signature of Company Official or Third-Party Representative:
-----------------------------------------------------------------------
Title:-----------------------------------------------------------------
Date:------------------------------------------------------------------
Equipment Type:--------------------------------------------------------
Manufacturer:----------------------------------------------------------
Private Labeler (if applicable):---------------------------------------
Name of Person to Contact for Further Information:
-----------------------------------------------------------------------
Address:---------------------------------------------------------------
-----------------------------------------------------------------------
[[Page 33189]]
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
For Existing, New, or Modified Models: \1\
---------------------------------------------------------------------------
\1\ Provide 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).
---------------------------------------------------------------------------
For Discontinued Models: \2\
---------------------------------------------------------------------------
\2\ Provide manufacturer's model number(s).
---------------------------------------------------------------------------
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:
[GRAPHIC] [TIFF OMITTED] TP10JY09.000
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:
[GRAPHIC] [TIFF OMITTED] TP10JY09.001
(d) Compute the standard error (Sx1) of the measured
energy performance from the n1 tests as follows:
[GRAPHIC] [TIFF OMITTED] TP10JY09.002
(e)(1) For an energy efficiency standard, compute the lower
control limit (LCL1) according to:
[GRAPHIC] [TIFF OMITTED] TP10JY09.003
or
[GRAPHIC] [TIFF OMITTED] TP10JY09.004
(whichever is greater)
(2) For an energy use standard, compute the upper control limit
(UCL1) according to:
[GRAPHIC] [TIFF OMITTED] TP10JY09.005
or
[GRAPHIC] [TIFF OMITTED] TP10JY09.006
(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