10950 Federal Register / Vol. 75, No. 45 / Tuesday, March 9, 2010 / Rules and Regulations 

1This part was originally titled Part B. It was 

redesignated Part A in the United States Code for 

editorial reasons. 

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 Procedure for Metal 

Halide Lamp Ballasts (Active and 

Standby Modes) and Proposed 

Information Collection; Comment 

Request; Certification, Compliance, 

and Enforcement Requirements for 

Consumer Products and Certain 

Commercial and Industrial Equipment; 

Final Rule and Notice 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Final rule. 

SUMMARY: The U.S. Department of 

Energy (DOE) is establishing metal 

halide lamp ballast test procedures in 

today’s final rule by which 

manufacturers will demonstrate 

compliance with the metal halide lamp 

fixture energy conservation standards 

mandated by the Energy Policy and 

Conservation Act (EPCA), as amended. 

These test procedures are based 

primarily on and incorporate by 

reference provisions of American 

National Standards Institute (ANSI) 

Standard C82.6–2005, ‘‘Ballasts for 

High-Intensity Discharge Lamps— 

Methods of Measurement.’’ As further 

required by EPCA, DOE is establishing 

a test method for measuring standby 

mode power consumption and 

explaining why off mode power 

consumption does not apply to metal 

halide lamp ballasts. The test 

procedures’ standby mode provisions 

are based on the International 

Electrotechnical Commission (IEC) 

Standard 62301, ‘‘Household electrical 

appliances—Measurement of standby 

power.’’ This rule also adopts a number 

of definitions for key terms. 

DATES: These test procedures are 

effective on April 8, 2010. The 

incorporation by reference of a certain 

publication listed in this rule is 

approved by the Director of the Federal 

Register as of April 8, 2010. 

ADDRESSES: You may review copies of 

all materials related to this rulemaking 

at the U.S. Department of Energy, 

Resource Room of the Building 

Technologies Program, 950 L’Enfant 

Plaza, SW., Suite 600, Washington, DC, 

(202) 586–2945, between 9 a.m. and 4 

p.m., Monday through Friday, except 

Federal Holidays. Please call Ms. 

Brenda Edwards at the above telephone 

number for additional information 

regarding visiting the Resource Room. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Linda Graves, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–1851. E-mail: 

Linda.Graves@ee.doe.gov. 

For legal issues, contact Mr. Eric Stas, 

U.S. Department of Energy, Office of the 

General Counsel, GC–71, 1000 

Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–9507. E-mail: 

Eric.Stas@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: This rule 

includes language that refers to the 

following standard that has been 

previously approved for incorporation 

by reference: 

ANSI C82.6–2005, Proposed Revision 

of ANSI C82.6–1985 (ANSI C82.6), 

American National Standard for lamp 

ballasts—Ballasts for High-Intensity 

Discharge Lamps—Methods of 

Measurement, approved February 14, 

2005. 

Copies of this standard are available 

from: American National Standards 

Institute (ANSI), 25 W. 43rd Street, 4th 

Floor, New York, NY 10036, 212–642– 

4900, or go to http://www.ansi.org. 

Table of Contents 

I. Authority and Background 

II. Summary of the Final Rule 

III. Discussion 

A. Definitions 

B. Test Method for Measuring Energy 

Efficiency of Metal Halide Lamp 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 

C. Test Method for Measuring Standby 

Power of Metal Halide Lamp Ballasts 

1. Overview of Test Method 

2. Test Method and Measurements 

3. Combining Measurements and Burden 

D. Scope of Applicability of Standby Power 

Test Procedure 

E. Effective Date of Standby Mode Test 

Method 

F. Units To Be Tested 

G. Submission of Data 

H. Enforcement Provisions 

I. Provisions for Compliance, Certification, 

and Enforcement 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act of 1995 

D. Review Under the National 

Environmental Policy Act 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under the Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

M. Congressional Notification 

V. Approval of the Office of the Secretary 

I. Authority and Background 

Title III of the Energy Policy and 

Conservation Act (42 United States 

Code (U.S.C.) 6291 et seq.; EPCA) sets 

forth provisions to improve energy 

efficiency. Part A 1 (42 U.S.C. 6291– 

6309) establishes the Energy 

Conservation Program for Consumer 

Products Other Than Automobiles 

(Program), which covers consumer 

products and certain commercial 

equipment, including metal halide lamp 

fixtures. (42 U.S.C. 6292(a)(19)) Metal 

halide lamp fixtures contain metal 

halide lamp ballasts. Because the metal 

halide lamp fixture energy conservation 

standards in EPCA establish a minimum 

efficiency for the ballasts incorporated 

into those fixtures, this test procedure 

addresses measurement of metal halide 

lamp ballast efficiency. (42 U.S.C. 

6295(hh)(1)(A)). 

The program generally includes 

testing, labeling, and Federal energy 

conservation standards. The testing 

requirements consist of test procedures 

prescribed under EPCA, that 

manufacturers of covered equipment 

must use: (a) As the basis for certifying 

to DOE that their products comply with 

energy conservation standards 

promulgated under EPCA; and (b) for 

representing the energy efficiency of 

their products. Similarly, DOE must use 

these test procedures when determining 

whether the equipment complies with 

energy conservation standards adopted 

pursuant to EPCA. 

EPCA established generally applicable 

criteria and procedures for DOE’s 

adoption and amendment of such test 

procedures (42 U.S.C. 6293), and 

provided 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], 

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

a lag ballast with a third coil for improved lamp 

power regulation. 

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 

(Public Law (Pub. L.) 110–140; EISA 

2007) amended EPCA and required DOE 

to establish test procedures for metal 

halide lamp 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, titled 

‘Ballasts for High-Intensity Discharge 

Lamps—Method of Measurement.’ ’’ (42 

U.S.C. 6293(b)(18)). 

Section 324(e) of EISA 2007 also 

prescribed mandatory minimum 

efficiency levels for pulse-start metal 

halide lamp ballasts, magnetic probestart lamp ballasts, and nonpulse-start 

electronic lamp ballasts that operate 

[metal halide] 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 degrees Celsius 

(°C), as specified in UL 1029–2001 by 

Underwriters Laboratories, Inc. (42 

U.S.C. 6295(hh)(1)(B)) These statutory 

standards apply to metal halide lamp 

fixtures manufactured on or after 

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

6295(hh)(1)(C)). 

DOE again notes that because of the 

codification of the metal halide lamp 

fixture provisions in 42 U.S.C. 6295, a 

rulemaking for metal halide lamp 

fixture energy conservation standards 

and any associated test procedures are 

subject to the requirements of the 

consumer products provisions of Part A 

of Title III. However, because metal 

halide lamp fixtures (and their 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 lamp 

fixtures (and 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 

lamp ballasts; as such, DOE is placing 

them in the appropriate CFR part based 

upon the nature or type of those 

products. Based upon their placement 

into 10 CFR 431, metal halide lamp 

ballasts will be referred to as 

‘‘equipment’’ throughout this notice. 

EISA 2007 further amended EPCA. In 

relevant part here, section 310 of EISA 

2007 includes a requirement that DOE 

amend its test procedures, if technically 

infeasible, to include standby mode and 

off mode energy consumption in the 

overall energy efficiency, energy 

consumption, or other energy descriptor 

for each covered product for which 

DOE’s current test procedures do not 

fully account for standby mode and off 

mode energy consumption. If such 

combined measure is technically 

infeasible, DOE must prescribe a 

separate standby mode and off mode 

energy use test procedure, if technically 

feasible. (42 U.S.C. 6295(gg)(2)(A)) Any 

such amendment must consider the 

most current versions of IEC Standards 

62301, ‘‘Household electrical 

appliances—Measurement of standby 

power,’’ and 62087, ‘‘Methods of 

measurement for the power 

consumption of audio, video and related 

equipment.’’ Id. Further, section 310 of 

EISA 2007 provides that any final rule 

establishing or revising energy 

conservation standards adopted on or 

after July 1, 2010, must incorporate 

standby mode and off mode energy use. 

(42 U.S.C. 6295(gg)(3)(A)) DOE notes 

here that EPCA, as amended, requires 

DOE to determine whether the energy 

conservation standards for metal halide 

lamp fixtures should be amended, and 

if so, DOE must publish a final rule with 

amended standards by January 1, 2012. 

(42 U.S.C. 6295(hh)(2)). 

Accordingly, pursuant to section 310 

of EISA 2007 and given the potential for 

amended energy conservation standards 

for metal halide lamp fixtures that 

address standby mode and off mode, 

DOE has concluded that its metal halide 

lamp ballast test procedure must 

account for standby mode and off mode 

energy consumption. (42 U.S.C. 

6295(gg)(2)) A DOE test procedure is 

needed that accounts for standby mode 

and off mode energy use, in order to 

permit manufacturers to measure and 

certify compliance with energy 

conservation standards for metal halide 

lamp fixtures that address those modes. 

Today’s final rule will also provide DOE 

a means for determining compliance 

with any standard adopted for metal 

halide lamp fixtures that includes such 

energy consumption. 

II. Summary of the Final Rule 

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 

(ANSI C82.6–2005), ‘‘Ballasts for High 

Intensity Discharge Lamps—Methods of 

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

DOE found ANSI C82.6–2005 suitable 

for testing metal halide lamp ballasts 

because it contained all of the required 

major elements to adequately measure 

the efficiency of metal halide lamp 

ballasts, as discussed in section III.B. 

Accordingly, DOE has drawn on 

relevant portions of ANSI C82.6–2005 in 

developing its metal halide lamp ballast 

test procedure. Specifically, today’s 

final rule references the ballast power 

loss measurement method (section 6.10) 

of ANSI C82.6–2005 as the means of 

determining the efficiency of metal 

halide lamp ballasts, and references 

other applicable sections of ANSI 

C82.6–2005 for test conditions and 

setup. The test procedure currently 

applies to metal halide lamp ballasts 

that operate lamps rated greater than or 

equal to 150 W but less than or equal 

to 500 W (although it is capable of 

measuring ballasts operating lamps of 

both higher and lower wattage ranges), 

and the final rule establishes test 

methodologies for measuring standby 

mode power consumption, based on 

relevant portions of IEC 62301 and 

ANSI C82.6–2005. Finally, the final rule 

establishes the sampling and efficiency 

calculations to be used. 

DOE reviewed the definitions of 

‘‘standby mode’’ and ‘‘off mode’’ 

contained in EPCA section 325(gg)(1) in 

the context of metal halide lamp 

ballasts. (42 USC 6295(gg)(1)) DOE 

found that, while it is possible for metal 

halide lamp ballasts to operate in 

standby mode, the off mode condition 

does not apply because it addresses a 

mode of energy use in which metal 

halide lamp ballasts do not operate. For 

this reason, today’s final rule prescribes 

a test method for measuring power 

consumption in standby mode (section 

III.C), but it does not prescribe an off 

mode test method. The prescribed 

standby mode test will enable DOE to 

consider and address standby mode 

energy consumption in the next metal 

halide lamp fixture energy conservation 

standards rulemaking. 

The ‘‘standby mode’’ definition 

established by EISA 2007 does not 

apply to all ballasts. 74 Federal Register 

(FR) 33171, 33174 (July 10, 2009). There 

are two types of ballasts (i.e., magnetic 

and electronic), but only electronic 

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10952 Federal Register / Vol. 75, No. 45 / Tuesday, March 9, 2010 / Rules and Regulations 

ballasts or magnetic ballasts operating 

with an auxiliary control device can 

operate in standby mode. DOE 

determined that standby mode applies 

only to certain ballasts under certain 

operating conditions. See sections III.A. 

and III.C for a detailed discussion of the 

definitions for ‘‘standby mode’’ and ‘‘off 

mode,’’ as well as test methods for 

standby mode. 

As provided by EPCA, 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)) 

The inclusion of a standby mode test 

method in this final rule will not affect 

a manufacturer’s ability to demonstrate 

compliance with the energy 

conservation standards for metal halide 

lamp fixtures that took effect January 1, 

2009. (42 U.S.C. 6295(hh)(1)(C)(i)) The 

standby mode test need not be 

performed to determine compliance 

with the current energy conservation 

standards for metal halide lamp fixtures 

because the standards do not account 

for standby mode energy consumption. 

Today’s final rule, which includes 

provisions for measuring standby mode, 

will become effective, in terms of 

adoption into the Code of Federal 

Regulations (CFR), 30 days after the date 

of publication in the Federal Register. 

Manufacturers will be required to use 

this test procedure’s standby mode 

provisions to demonstrate compliance 

with any future energy conservation 

standards for metal halide lamp fixtures 

as of the effective date of a final rule 

establishing amended energy 

conservation standards for metal halide 

lamp fixtures that address standby mode 

energy consumption. The introductory 

sentence in section 431.324(c) reads as 

follows: ‘‘The measurement of standby 

mode need not be performed to 

determine compliance with energy 

conservation standards for metal halide 

lamp fixtures at this time. The above 

statement will be removed as part of the 

rulemaking to amend the energy 

conservation standards for metal halide 

lamp fixtures to account for standby 

mode energy consumption, and the 

following shall apply on the compliance 

date for such requirements.’’ The quoted 

language will be removed in the 

rulemaking to amend the EISA 2007 

energy conservation standards for metal 

halide lamp fixtures to address standby 

mode power consumption. A statement 

has also been added at 10 CFR 

431.324(c) to clarify that on or after a 

date 180 days after the date of 

publication on this final rule, any 

representations pertaining to standby 

mode energy consumption must be 

based upon testing under the relevant 

provisions of this test procedure. 

Although this is a statutory requirement 

under 42 U.S.C. 6293(c)(2), DOE has 

concluded that it would be useful to 

explicitly state this requirement in 

DOE’s regulations. 

III. Discussion 

Before addressing specific technical 

comments on the metal halide lamp 

ballast test procedure notice of proposed 

rulemaking (NOPR), DOE would first 

summarize its general approach to this 

rulemaking and address one related 

comment. In the July 10, 2009 NOPR, 

DOE proposed that only the active mode 

and standby mode applied to metal 

halide lamp ballasts, and tentatively 

concluded that off mode is not 

applicable. 74 FR 33171, 33172–73 (July 

10, 2009). For the NOPR, DOE also 

reviewed ANSI C82.6–2005 to 

determine whether any additional 

elements would be needed to provide a 

complete test procedure, and tentatively 

concluded that all elements required for 

conducting efficiency measurements of 

metal halide lamp ballasts are present in 

ANSI C82.6–2005, including lamp 

orientation, power supply 

characteristics, operational test 

temperatures, instrumentation 

requirements, setup connections, and 

lamp stabilization. In the NOPR, DOE 

also discussed the ANSI standards 

development process. Id. at 33173. DOE 

affirms these tentative conclusions in 

today’s final rule. Accordingly, after 

carefully considering and addressing 

comments on the NOPR, DOE is 

adopting the applicable requirements 

and methods of ANSI C82.6–2005 into 

the DOE test procedure for metal halide 

lamp ballasts. In addition, DOE adopts 

a statistically meaningful method for 

determining sample size as part of the 

metal halide lamp ballast test 

procedure, consistent with the sampling 

plans used in other DOE test 

procedures. 

The National Electrical Manufacturers 

Association (NEMA) informed DOE that 

ANSI C82.6–2005 is in the process of 

being revised, and suggested that DOE 

or its contractors participate in the 

standards development process. 

(NEMA, Public Meeting Transcript, No. 

11 at p. 8) DOE appreciates this 

comment and understands the context 

for NEMA’s suggestion. Although DOE 

is supportive of the ANSI standardsetting process and DOE (or its 

contractor) may consider participation 

in that standards process, DOE is unable 

to use a different version of C82.6–2005 

at this time for two reasons: (1) DOE is 

directed by the statute to base its test 

procedure on the 2005 edition of ANSI 

C82.6 for determining the efficiency of 

metal halide lamp ballasts used in metal 

halide lamp fixtures (42 U.S.C. 

6293(b)(18)); and (2) DOE needs to 

adopt a test procedure for metal halide 

lamp ballasts to address the current, 

statutorily-prescribed standards for 

ballasts contained in metal halide lamp 

fixtures. DOE further notes that ANSI 

C82.6–2005 is still active and is the 

most current version of this test 

procedure. DOE is concerned that 

postponing this test procedure 

rulemaking to wait for the updated 

version of ANSI C82.6 to be issued 

could cause a significant delay in 

adoption of a test procedure for metal 

halide lamp ballasts. If industry does 

issue an revised version of ANSI C82.6, 

DOE may update today’s adopted test 

procedure when it considers 

amendments as required by section 

323(b)(1)(A) of EPCA. (42 U.S.C. 

6293(b)(1)(A)) 

A. 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 lamp ballast test procedure. EISA 

2007 amends EPCA, in part, by adding 

definitions of key terms that are 

applicable to the metal halide lamp 

ballast test procedure, including 

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

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

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

fixture,’’ ‘‘probe-start metal halide lamp 

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

lamp ballast.’’ (42 U.S.C. 6291) These 

definitions were set forth in the July 10, 

2009 NOPR. 74 FR 33171, 33173–74. 

DOE discusses the terms ‘‘ballast,’’ 

‘‘ballast efficiency,’’ and ‘‘electronic 

ballast’’ below, for which it codifies new 

or revised definitions in today’s final 

rule. The other terms, including ‘‘metal 

halide lamp ballast,’’ ‘‘metal halide 

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

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

and ‘‘pulse-start metal halide lamp 

ballast’’ were previously inserted into 

the CFR by the Technical Amendment 

Final Rule and remain unchanged. 74 

FR 12058, 12075–76 (March 23, 2009)). 

‘‘Ballast’’ 

EISA 2007 provides a new definition 

for the term ‘‘ballast’’ which is relevant 

to metal halide lamp fixtures. This term 

is defined as follows: ‘‘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)) This definition was already 

adopted into DOE’s regulations for both 

consumer products (10 CFR 430.2) and 

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3Non-dimmable ballasts would operate the lamp 

or lamps in active mode at 100 percent of the rated 

system light output. 4 Dimmable ballasts may vary the system light 

output from 100 percent to some lower level of light 

output, either in steps or continuously. 

commercial equipment (10 CFR 

431.282) in the Technical Amendment 

Final Rule. 74 FR 12058, 12064 (March 

23, 2009). However, DOE is adopting 

this definition into 10 CFR 431.322 

without modifications in today’s final 

rule. 

‘‘Ballast Efficiency’’ 

EISA 2007 also provides a definition 

for the term ‘‘ballast efficiency’’ which is 

relevant to metal halide lamp fixtures. 

(42 U.S.C. 6291(59)) This term was 

adopted by DOE in the Technical 

Amendment Final Rule (74 FR 12058, 

12075 (March 23, 2009)) as follows: ‘‘in 

the case of a high-intensity discharge 

fixture, the efficiency of a lamp and 

ballast combination, expressed as a 

percentage.’’ Ballast efficiency is 

calculated in accordance with the 

formula presented with the definition 

for the term ‘‘ballast efficiency’’ in the 

Technical Amendment Final Rule (74 

FR 12075, March 23, 2009). 

In its comments on the NOPR, NEMA 

recommended that the frequency 

referenced in the definition of ‘‘ballast 

efficiency’’ be increased from 2 kHz to 

2.4 kHz, which includes the 40th order 

of the total harmonic for frequencies 

greater than 60 Hz. (NEMA, No. 21 at p. 

4) DOE considered this comment, and 

reviewed other related similar test 

methods for related lighting products. 

DOE found that ANSI C82.77–2002, 

‘‘American National Standard for 

Harmonic Emission Limits-Related 

Quality Requirements for Lighting 

Equipment,’’ requires harmonic 

measurements up to the 40th harmonic. 

DOE also recognizes that to increase the 

frequency and include the 40th 

harmonic will improve the accuracy and 

repeatability of the test method adopted 

for metal halide lamp ballasts, thereby 

resulting in an improvement in the test 

procedure overall. For all of these 

reasons, DOE accepts NEMA’s 

recommendation to extend ballast 

efficiency measurement to 2.4 kHz, and 

has amended the definition adopted in 

today’s final rule accordingly. 

‘‘Electronic Ballast’’ 

EISA 2007 provides a definition for 

the term ‘‘electronic ballast’’ which is 

relevant to metal halide lamp fixtures. 

This term is defined as follows: ‘‘a 

device that uses semiconductors as the 

primary means to control lamp starting 

and operation.’’ (42 U.S.C. 6291(60)) 

This definition was already adopted 

into DOE’s regulations for consumer 

products (10 CFR 430.2) in the 

Technical Amendment Final Rule. 74 

FR 12058, 12065 (March 23, 2009). 

However, DOE is adopting this 

definition into 10 CFR 431.322 without 

modification in today’s final rule. As 

stated in its NOPR, DOE notes that it 

interprets this definition to include 

equipment commonly referred to as 

‘‘nonpulse-start electronic ballasts.’’ 74 

FR 33171, 33173 (July 10, 2009). DOE 

notes that this interpretation is by no 

means limited to such ballasts, and that 

other types of electronic ballasts such as 

‘‘pulse-start electronic ballasts’’ would 

fall under this statutory definition. 

‘‘Basic Model’’ 

In addition to the terms discussed 

above, in today’s final rule, DOE is 

amending 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 lamp ballasts. DOE is also 

inserting definitions for terms 

associated with the measurement of 

standby mode power consumption for 

metal halide lamp ballasts. These terms 

are ‘‘active mode,’’ ‘‘standby mode,’’ ‘‘off 

mode,’’ ‘‘alternating current (AC) control 

signal,’’ ‘‘direct current (DC) control 

signal,’’ ‘‘power line carrier (PLC) 

control signal,’’ and ‘‘wireless control 

signal.’’ It should be noted that the 

statute provides definitions for three 

modes of energy consumption (i.e., 

active, standby, and off modes) that are 

applicable to a broad set of consumer 

products and commercial equipment, 

including metal halide lamp ballasts. 

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

definitions for the terms ‘‘active mode,’’ 

‘‘standby mode,’’ and ‘‘off mode’’ in 

today’s final rule. 

In the NOPR, DOE proposed a 

definition for a metal halide lamp 

ballast ‘‘basic model’’ at 10 CFR 431.322 

based on the existing ‘‘basic model’’ 

definition for a fluorescent lamp ballast 

at 10 CFR 430.2. 74 FR 33171, 33174 

(July 10, 2009). The proposed definition 

of the term ‘‘basic model’’ reads as 

follows: ‘‘with respect to metal halide 

[lamp] ballasts, as all units of a given 

type of metal halide [lamp] 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.’’ Id. at 33184. DOE did not 

receive any comments on this proposed 

definition, and, therefore, is adopting it 

in today’s final rule without substantive 

modification. 

‘‘Active Mode’’ 

In the NOPR, DOE proposed to adopt 

the statutory definition for ‘‘active 

mode’’ as it applies to metal halide lamp 

ballasts. EPCA defines ‘‘active mode’’ 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)) 

In the NOPR, DOE stated that 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 also stated that there 

are many different types of ballasts that 

could be considered ‘‘metal halide lamp 

ballasts,’’ but the main function common 

to all of them is that they are designed 

to operate metal halide lamps. DOE did 

not discriminate between nondimmable 3 and dimmable 4 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). 74 FR 33171, 33174 (July 10, 

2009). DOE received a comment from 

NEMA on this initial interpretation. 

NEMA requested that the term ‘‘active 

mode’’ be defined as operation of a 

metal halide lamp ballast at 100 percent 

of rated power. (NEMA, No. 21 at p. 4) 

DOE considered this comment, but is 

unable to adopt NEMA’s proposed 

revision to the definition of ‘‘active 

mode.’’ DOE’s view that active mode 

applies to a functioning ballast 

operating with any amount of rated 

system light output (i.e., greater than 

zero percent) has not changed (however, 

see the ‘‘fault load’’ discussion 

immediately below), and no new 

information has been introduced by the 

commenter that would cause DOE to 

adopt the commenter’s suggested 

interpretation of ‘‘active mode.’’ If a 

ballast is dimming (operating the light 

source greater than zero percent, but 

less than 100 percent) the lamp and the 

ballast are both still in active mode. 

Although DOE did not address this 

condition in the NOPR, DOE wishes to 

clarify that a ballast connected to a fault 

load (i.e., a lamp that is no longer 

working) is considered by DOE to be in 

active mode. In this mode, the ballast 

meets all three criteria for active mode 

function. The ballast is: (1) Connected to 

a main power source; (2) activated; and 

(3) providing its main function, which 

is to apply a voltage across the sockets 

in an attempt to start and operate a 

lamp. Therefore, active mode for metal 

halide lamp ballasts is considered to be 

the condition in which the ballast 

provides either: (1) A regulated current 

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to a properly-installed functional lamp; 

or (2) a voltage to the sockets to start 

and operate a lamp if a functional lamp 

were properly installed. DOE no longer 

believes that a ballast is in active mode 

only when the light output is any 

percentage greater than zero of the rated 

system light output because such a 

definition presupposes that a functional 

lamp is properly installed. Although, 

DOE is changing its interpretation of 

active mode, DOE’s interpretation of 

standby mode and off mode remain the 

same as in the January 2009 NOPR. 74 

FR 33171, 33174–75 (July 10, 2009). 

Furthermore, the interpretation of active 

mode in this final rule is consistent with 

other DOE interpretations for similar 

types of equipment and products (i.e., 

ballasts). DOE had this same 

interpretation in the fluorescent lamp 

ballast standby test procedure 74 FR 

54445, 54447 (Oct. 22, 2009). 

‘‘Standby Mode’’ 

‘‘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 lamp ballasts: (1) 

Connected to a main power source; and 

(2) offering the activation or 

deactivation of other functions by 

remote switch or internal sensor. 

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, and the ballast 

consumes no energy. The vast majority 

of metal halide lamp ballasts do not 

consume power when they are switched 

off. Based on 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. 

Regardless of dimming, these ballasts 

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 no longer provides 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 lamp ballast that incorporates a 

lighting control circuit connected to a 

photosensor. This ballast and sensor 

function as a miniature lighting controls 

system, where the sensor provides input 

to the ballast control circuit, which 

determines whether the lamp should be 

operational. 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 monitor the 

ambient conditions. When the circuit 

determines that the ambient conditions 

are sufficiently dark to start the lamp, it 

will instruct the ballast to initiate an arc 

in the lamp. 

In its comments on the NOPR, NEMA 

accepted DOE’s interpretation and 

application of standby mode to metal 

halide lamp ballasts that incorporate a 

circuit to enable the ballast to 

communicate with lighting control 

systems. (NEMA, No. 21 at p. 4) 

However, NEMA requested that the term 

‘‘standby mode’’ be further defined to 

clarify that a stand-alone magnetic metal 

halide lamp ballast that does not 

incorporate any auxiliary electronic 

control devices be exempt from any 

energy consumption measurements in 

standby mode. (NEMA, No. 21 at p. 4) 

DOE considered this comment, but has 

not made any change to the definition 

of ‘‘standby mode’’ for two principal 

reasons. First, as DOE stated in the 

NOPR and again reiterates in this final 

rule, it is interpreting standby mode as 

only being applicable to ballasts that 

connect to lighting control systems via 

circuits that allow for communication 

with the control system. This 

interpretation is valid, regardless of the 

type of ballast (e.g., magnetic, 

electronic). If the magnetic ballast does 

not have the circuit (in this case, an 

auxiliary electronic control device), 

then the ballast would not be 

considered capable of operating in 

standby mode. Second, DOE does not 

understand why one type of ballast 

should be singled out in the definition 

of the term ‘‘standby mode,’’ to the 

exclusion of others, in order to establish 

that ballast type as exempt. Inserting 

language like this into the definition 

could be interpreted as providing 

uneven treatment of the various types of 

ballasts with respect to the definition of 

‘‘standby mode.’’ Given that there are 

other types of metal halide lamp ballasts 

in addition to the magnetic type, this 

explicit mention might confuse 

interested parties as to the applicability 

of standby mode for metal halide lamp 

ballasts overall. 

‘‘Off Mode’’ 

As DOE discussed in the NOPR, ‘‘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)) In the 

NOPR, DOE considered this definition 

in the context of metal halide lamp 

ballasts and stated that it believes that 

off mode does not apply to any metal 

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

condition that commercially-available 

ballasts do not attain. 74 FR 33171, 

33174–75 (July 10, 2009). The definition 

of ‘‘off mode’’ requires that ballasts be 

connected to a main power source and 

not provide any standby mode or active 

mode function. (42 U.S.C. 

6295(gg)(1)(A)(ii)) It is not possible for 

ballasts to meet these criteria, because 

there is no condition in which the 

ballast is connected to the main power 

source and is not in a mode already 

accounted for in either active mode or 

standby mode (as defined previously). 

Thus, ballasts never meet the second 

requirement of the EPCA definition of 

‘‘off mode.’’ (42 U.S.C. 

6295(gg)(1)(A)(ii)(II)) NEMA commented 

that they accept the DOE approach for 

assessing metal halide lamp ballast 

operation in active mode and standby 

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mode. NEMA also agreed that ‘‘off 

mode’’ does not apply to metal halide 

lamp ballasts and should not be 

included as part of the proposed test 

procedure. (NEMA, No. 21 at p. 4) 

Therefore, for the reasons above, DOE’s 

interpretation of ‘‘off mode’’ remains the 

same as in the NOPR, namely, DOE has 

concluded that off mode is not 

applicable to metal halide lamp ballasts. 

74 FR 33171, 33175 (July 10, 2009). 

Should circumstances change, DOE may 

revisit this interpretation and propose a 

test method in a future rulemaking for 

measuring off mode in metal halide 

lamp ballasts. 

‘‘AC Control Signal’’ 

In the NOPR, DOE proposed a 

definition for the term ‘‘AC control 

signal.’’ 74 FR 33171, 33175 (July 10, 

2009). In its study of the market, DOE 

found that some lighting control 

systems operate by communicating with 

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

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) 62301 or ANSI 

C82.6–2005. Therefore, DOE proposed a 

definition for an ‘‘AC control signal’’ in 

its NOPR to enhance the clarity and 

understanding of its test procedure. 74 

FR 33171, 33175 (July 10, 2009). NEMA 

commented that they accepted the 

proposed definition by DOE for ‘‘AC 

control signal.’’ (NEMA, No. 21 at p.4) 

Given the absence of negative comment, 

DOE is adopting a definition for ‘‘AC 

control signal’’ 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.’’ 

‘‘DC Control Signal’’ 

In the NOPR, DOE proposed a 

definition for the term ‘‘DC control 

signal.’’ 74 FR 33171, 33175 (July 10, 

2009). In its study of the market, DOE 

found that some lighting control 

systems operate by communicating with 

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

lamp ballasts over a separate wiring 

system using DC voltage. DOE was 

unable to locate a definition for ‘‘DC 

control signal’’ in IEC 62301 or ANSI 

C82.6–2005. Therefore, DOE proposed a 

definition for a ‘‘DC control signal’’ in its 

NOPR to enhance the clarity and 

understanding of its test procedure. 74 

FR 33171, 33175 (July 10, 2009). NEMA 

commented that it accepted DOE’s 

proposed definition for ‘‘DC control 

signal.’’ (NEMA, No. 21 at p.4) DOE 

received no dissenting comments to its 

proposed definition, and, therefore, is 

adopting the following definition for 

‘‘DC control signal’’ as ‘‘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.’’ 

‘‘Power Line Carrier (PLC) Control 

Signal’’ 

In the NOPR, DOE proposed a 

definition for the term ‘‘power line 

carrier (PLC) control signal.’’ 74 FR 

33171, 33175 (July 10, 2009). In its 

study of the market, DOE found that 

some lighting control systems operate 

by communicating with (i.e., providing 

a control signal to) the lamp 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 62301 or ANSI C82.6–2005. 

Therefore, DOE proposed a definition 

for a ‘‘PLC control signal’’ in its NOPR 

to enhance the clarity and 

understanding of its test procedure. 74 

FR 33171, 33175 (July 10, 2009). NEMA 

commented that it accepted DOE’s 

proposed definition for ‘‘PLC control 

signal.’’ (NEMA, No. 21 at p. 4) DOE 

received no dissenting comments to its 

proposed definition, and, therefore, is 

adopting the following definition for 

‘‘PLC control signal’’ as ‘‘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.’’ 

‘‘Wireless Control Signal’’ 

In the NOPR, DOE proposed a 

definition for the term ‘‘wireless control 

signal.’’ 74 FR 33171, 33175 (July 10, 

2009). In its study of the market, DOE 

found that some lighting control 

systems operate by communicating with 

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

lamp 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 

62301 or ANSI C82.6–2005. Therefore, 

DOE proposed a definition for a 

‘‘wireless control signal’’ in the July 2009 

NOPR to enhance the clarity and 

understanding of its test procedure. 74 

FR 33171, 33175 (July 10, 2009). NEMA 

commented that it accepted DOE’s 

proposed definition for ‘‘wireless control 

signal.’’ (NEMA, No. 21 at p. 4) DOE 

received no dissenting comments to its 

proposed definition, and, therefore, is 

adopting the following definition for 

‘‘wireless control signal’’ as ‘‘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 final rule, 

DOE is not requiring measurement of 

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 affect ballast power 

consumption. 

B. Test Method for Measuring Energy 

Efficiency of Metal Halide Lamp 

Ballasts 

1. Test Setup and Conditions 

a. Lamp Orientation 

In the NOPR, DOE proposed to 

require that lamp orientation for testing 

be as specified in section 4.3 of ANSI 

C82.6–2005, which requires vertical, 

base-up orientation, unless the 

manufacturer specifies another 

orientation for that ballast and 

associated lamp combination. 74 FR 

33171, 33176 (July 10, 2009). DOE 

proposed the base-up orientation, unless 

the manufacturer specifies another 

orientation approach for two reasons: (1) 

Vertical, base-up lamp orientation is the 

most common in the industry; and (2) 

the natural stability of the vertical 

operating position would produce the 

most repeatable and accurate testing 

results. PG&E commented during the 

public meeting that in response to 

efforts to advocate for improved 

efficiency for horizontal-burned lamps 

in California, the industry argued that 

horizontally-oriented lamps are 

significantly different products than 

vertically-oriented products and, thus, 

need to be treated differently. PG&E 

raised concerns about measuring the 

ballast efficiency of ballasts operating 

horizontally-oriented lamps as 

compared to more common verticallyoriented lamps. (PG&E, Public Meeting 

Transcript, No. 11, at p. 11) NEMA also 

commented on lamp orientation during 

the public meeting, stating that a 

uniform test set-up is important. 

However, NEMA argued that; the ballast 

is the key to measuring ballast 

efficiency, not lamp orientation. 

(NEMA, Public Meeting Transcript, No. 

11 at p. 12) 

NEMA agreed with using section 4.3 

of ANSI C82.6–2005 that specifies 

vertical, base-up orientation unless 

specifically designed for another 

position. (NEMA, No. 21at p. 3) PG&E 

was supportive after learning that the 

default lamp orientation is vertical but 

if the lamp is designed to be operated 

in a non-vertical position, it shall be 

tested in this orientation. (NEMA, 

Public Meeting Transcript, No. 11 at p. 

12) With the support of comments from 

these two interested parties, DOE 

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maintains that operating the lamp in a 

vertical, base-up orientation is the most 

stable in terms of operation of the lamp, 

and that the lamp operation directly 

corresponds to the power input of the 

lamp (power output of the ballast). 

Therefore, operating the lamp in the 

most stable orientation is essential for 

repeatable and reliable measurement of 

metal halide lamp ballast efficiency. 

DOE adopts the requirement that ballast 

efficiency tests be conducted with metal 

halide lamps in a vertical, base-up 

orientation unless the manufacturer 

specifies another orientation for that 

ballast and associated lamp 

combination. 

b. Power Supply, Ambient Test 

Temperatures, and Instrumentation 

In the NOPR, DOE proposed that 

power supply characteristics, ambient 

test temperatures, and instrumentation 

requirements would all be as specified 

in section 4.0 of ANSI C82.6–2005. 74 

FR 33171, 33176 (July 10, 2009). 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 NOPR 

and interested party response to them 

are discussed below. 

Section 4.1 of ANSI 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. 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 C78.389– 

2004). Furthermore, these requirements 

would be readily achievable and would 

likely ensure repeatable and consistent 

measurements. During the December 

2008 public meeting, NEMA 

commented that the requirement for 

impedance to the power source 

proposed by the test procedure of no 

more than 3 percent was too high. 

(NEMA, Public Meeting Transcript, No. 

11 at p. 12) However, NEMA did not 

provide any rationale to explain its 

opinion, nor did it provide any 

supporting data. No additional 

information was received on this topic 

during the comment period. Therefore, 

DOE has not changed its position with 

respect to the impedance of the power 

source. Consequently, DOE is adopting 

the requirement as proposed in the 

NOPR. 

Section 4.2 in ANSI C82.6–2005 

requires maintenance of an ambient 

temperature of 25 °C ±5 °C to reduce 

potential ballast operating variances 

caused by large shifts in ambient 

temperature. 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 

of test results. In the NOPR, DOE also 

proposed to require that testing be 

performed in a draft-free environment. 

74 FR 33171, 33176 (July 10, 2009). 

DOE’s proposed requirement 

acknowledged common industry 

practices whereby airflow is minimized 

near photometric testing equipment 

(e.g., through vent and air return 

locations, baffling of vents, and/or 

control of blower speed) in order to 

minimize forced convection cooling that 

could affect measured photometric and 

electrical data. NEMA noted that some 

movement of air is needed to prevent 

thermal stratification near the testing 

equipment, but acknowledged that 

airflow should be minimized. (NEMA, 

Public Meeting Transcript, No. 11 at p. 

14) In response to DOE’s proposal, 

NEMA stated that because current 

industry standards specify no 

requirement for draft-free conditions, 

DOE needs to provide a suitable 

reference on the conditions of a draftfree environment. NEMA commented 

further that if no definition is available, 

then the thermal test methods of C82.6– 

2005 should be strictly applied, and this 

reference to a draft-free environment 

should be removed from the document. 

(NEMA, No. 21 at p. 1) DOE considered 

these comments and again reviewed the 

technical literature on this topic, finding 

that: 

1. Section 4.2, Ballast Conditions, of 

ANSI C82.6–2005 states, ‘‘For normal 

operational tests, the ambient 

temperature and the temperature of the 

ballast under test shall be 25 °C ±5 °C.’’ 

DOE acknowledges that ANSI C82.6– 

2005 sets the temperature requirement, 

but not the air movement requirement. 

However, ANSI C82.6–2005 lists 12 

references in section 2.0 Normative 

References that, by their inclusion, are 

considered indispensable for 

application of the ANSI standard. DOE 

reviewed all of the normative references 

contained in ANSI C82.6–2005 and 

identified the references that are 

applicable to metal halide ballasts and 

lamps, as listed below by ANSI citation 

and not chronologically by date of 

publication. 

a. ANSI C78.43–2004, ‘‘Single-Ended 

Metal-Halide Lamps,’’ is applicable to 

this test procedure since it relates to 

metal halide lamps. Section 5.6.2, 

Warm-up Time, states, ‘‘A bare lamp 

operating in still air at an ambient 

temperature 25 °C ±5 °C (77 °C ±9 °C) 

under the conditions described in ANSI 

C78.389 shall reach the minimum 

voltage within the time period specified 

on the relevant data sheet.’’ Other 

temperature and air conditions are 

considered in section 6.7, Lamp 

Operating Wattage, which states ‘‘The 

operating wattage of a bare lamp, 

measured in its designated operating 

position on a ballast throughout its 

range of rated supply voltages in a still 

air ambient temperature of 25 °C ±5 °C 

(77 °C ±9 °C), shall remain within the 

wattage limits of the relevant lamp data 

sheet. Lamps shall operate within these 

limits throughout the full range of lamp 

voltage tolerance.’’ (It is noted that in 

2007, ANSI C78.43 was updated; 

however, the temperature and airflow 

provisions at issue here did not change 

in ANSI C78.43–2007.) 

b. ANSI C78.389–2004, ‘‘HighIntensity Discharge—Methods of 

Measuring Characteristics,’’ section 3.3, 

Ambient Condition, states, ‘‘The ambient 

[condition] in which the lamp is 

operated shall be maintained at 25 °C ±5 

°C and shall be draft-free.’’ 

c. ANSI C82.4–2002, ‘‘Ballasts for 

High-Intensity Discharge and Low 

Pressure Sodium Lamps,’’ does not 

include any information regarding 

airflow. 

d. ANSI C82.9–1996, ‘‘Definitions for 

High-Intensity Discharge and Low 

Pressure Sodium Lamps, Ballasts, and 

Transformer,’’ does not mention and, 

therefore, does not define ‘‘still air’’ or 

‘‘draft free.’’ 

2. Section 4.2, Test Room, of IEC 

62301 states that, ‘‘The tests shall be 

carried out in a room that has an air 

speed close to the appliance under test 

of ≤ 0.5 m/s. The ambient temperature 

shall be maintained at (23±5) °C 

throughout the test. Note: The measured 

power for some products and modes 

may be affected by the ambient 

conditions (e.g., illuminance, 

temperature).’’ 

3. DOE examined different 

Illuminating Engineering Society of 

North America’s (IESNA) Lighting 

Measurement (LM) documents that 

focus on photometric and electrical 

measurements of either HID lamps or 

HID luminaires. DOE’s review of 

applicable IESNA documents is listed 

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below by LM citation and not 

chronologically by date of publication. 

a. IESNA LM–31–95, ‘‘Photometric 

Testing of Roadway Luminaires Using 

Incandescent Filament and High 

Intensity Discharge Lamps,’’ states in 

section 4.1.3, Special Photometer 

Calibration, ‘‘Calibration of HID lamps 

shall be performed in relatively draft 

free air at ambient temperature of 25 °C 

(77 °F) ±5 °C (9 °F).’’ 

b. IESNA LM–35–02, ‘‘IESNA 

Approved Method for Photometric 

Testing of Floodlights Using High 

Intensity Discharge or Incandescent 

Filament Lamps,’’ states in section 3.2, 

Ambient Temperatures, ‘‘The ambient 

temperature of the photometric 

laboratory shall be maintained at 25 °C 

±5 °C (77 °F ±9 °F).’’ There is no mention 

of airflow in LM–35–02. 

c. IESNA LM–46–04, ‘‘IESNA 

Approved Method for Photometric 

Testing of Indoor Luminaires Using 

High Intensity Discharge or 

Incandescent Filament Lamps,’’ states in 

section 4.2, Ambient Temperature, ‘‘For 

precise measurement of photometric 

and electric characteristics of luminaires 

with HID and incandescent lamps, the 

ambient temperature should be 

maintained at 25 °C ±5 °C (77 °F ±9 °F). 

This temperature shall be measured at a 

point not more than 1.5 meters (5 feet) 

from the lamp or luminaire and at the 

same height as the lamp or luminaire. 

The temperature-sensing device shall be 

shielded from direct radiation of the 

light source.’’ LM–46–04 also includes 

requirements about air movement. 

Section 4.3, Air Movement, states, ‘‘The 

luminaire (or test lamp during 

calibration) shall be tested in relatively 

still air. A maximum airflow of 0.08 

meters/second (15 ft./minute) is 

suggested.’’ 

d. IESNA LM–47–01, ‘‘IESNA 

Approved Method for Life Testing of 

High Intensity Discharge (HID) Lamps,’’ 

states in section 2.3 Temperature, 

‘‘Ambient temperature should be 

controlled within the limits set by the 

lamp manufacturer and ballast 

manufacturer. When the recommended 

testing temperature range is exceeded, 

life testing should be suspended.’’ LM– 

47–01 also includes information about 

airflow. Section 2.4, Airflow, states, 

‘‘Airflow does not normally impact the 

performance of HID lamps. However, 

special test conditions such as 

unjacketed lamps operating in open 

areas may require consideration of this 

effect.’’ 

e. IESNA LM–51–00, ‘‘IESNA 

Approved Method for the Electrical and 

Photometric Measurements of High 

Intensity Discharge Lamps,’’ states in 

section 2.3, Air Movement, ‘‘No special 

precautions against normal room air 

movements are necessary.’’ 

f. IESNA LM–73–04, ‘‘IESNA Guide 

for Photometric Testing of 

Entertainment Lighting Luminaires 

Using Incandescent Filament Lamps or 

High Intensity Discharge Lamps,’’ states 

in section 2.2, Ambient Temperatures, 

‘‘The ambient temperature of the 

photometric laboratory shall be 

maintained at 25 °C ±5 °C (77 °F ±9 °F).’’ 

There is no mention of airflow in LM– 

73–04. 

DOE did not receive any negative 

comments regarding its proposed 

ambient temperature requirement. 

Although the ambient temperature 

requirements differ in IEC 62301 

compared to ANSI C82.6 by 2 °C, DOE 

is adopting the proposed temperature 

requirements in the NOPR. DOE 

believes that its ambient temperature 

requirement is largely consistent with 

the IEC standard, and furthermore, 25 °C 

±5 °C is the standard temperature for 

lighting measurements for a variety of 

light sources including HID, fluorescent, 

and light-emitting diodes. 

In summary, DOE found that airflow 

requirements vary across the technical 

literature. IEC 62301 sets an airflow of 

≤ 0.5 m/s regardless of the technology. 

Neither ANSI C82.6–2005 nor the 

normative references listed in ANSI 

C82.6–2005 define either of the terms 

‘‘draft free’’ or ‘‘still air.’’ IESNA LM–51– 

00, published in 2000, specifically states 

that no precautions for air movement 

are necessary. ANSI C78.389, published 

in 2004, requires ‘‘draft-free,’’ yet it does 

not define the term. LM–46–04, 

published in 2004, uses the term 

‘‘relatively still air’’ and provides the 

quantitative metric of ‘‘0.08 meters/ 

second (15 ft./minute).’’ DOE continues 

to believe that it is important to specify 

a maximum airflow requirement as part 

of the test conditions, as an 

acknowledgement of industry practices 

intended to minimize forced convection 

cooling that could affect measured 

photometric and electrical data. NEMA 

agreed that airflow should be minimized 

when conducting testing under the test 

procedure. Although DOE found 

conflicting information regarding 

airflow in the context of testing HID 

lamps and luminaires, DOE has decided 

to adopt the airflow metric from IEC 

62301 (i.e., the airflow shall be ≤ 0.5 m/ 

s) in today’s final rule. DOE believes not 

only that this airflow value will achieve 

its intended purpose, but also that it is 

consistent with IEC 62301 (the standard 

which DOE was directed to consider 

when developing this test procedure) 

and is in the range of differing airflow 

values and definitions DOE observed in 

its review of ANSI standards and IESNA 

test methods relevant to this type of 

equipment. 

Section 4.2, Ballast Conditions, of 

ANSI C82.6–2005 requires maintenance 

of ambient temperature but does not 

discuss ballast equilibrium. In the 

NOPR, DOE did not propose to require 

operation of the ballast until it reached 

equilibrium. However, NEMA 

commented that in a proposed revision 

to sections 4.2 and 4.4 of ANSI C82.6, 

the ballast would be required to reach 

equilibrium. (NEMA, No. 21 at p. 1) In 

response, DOE has considered this issue 

and concluded that operating the ballast 

until it reaches equilibrium will 

produce more reliable results. 

Therefore, in the final rule, DOE is 

adopting the language consistent with 

the following language supplied by 

NEMA: ‘‘The ballast should be operated 

until it reaches equilibrium.’’ (NEMA, 

No. 21 at p. 2) 

In the NOPR, DOE proposed to adopt 

the instrumentation requirements 

prescribed in sections 4.5.1 and 4.5.3 of 

ANSI C82.6–2005 in order to ensure 

repeatability and consistency of test 

measurements. 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 (Hz), and that analog wattmeters 

must have accuracies of ± 0.75 percent 

up to 1000 Hz for power factors of 50 

percent to 100 percent and ± 0.50 

percent up to 125 Hz for ballasts with 

power factors between 0 and 20 percent. 

In the NOPR, to ensure a full range of 

coverage, DOE proposed 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 Hz). 74 FR 

33171, 33176 (July 10, 2009). 

NEMA agreed in general with the 

proposed instrumentation and 

requirements; however, the commenter 

argued that the DOE test procedure 

should only permit the use of digital 

instruments, because digital equipment 

offers improved repeatability and 

accuracy of measurement. (NEMA, No. 

21 at p. 2) PG&E commented during the 

public meeting that ANSI allows both 

digital and analog instrumentation, but 

finds that digital instruments are the 

standard industry instrumentation and 

that analog instruments with low 

impedance and high accuracy are not 

common. (PG&E, Public Meeting 

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

lighting measurement (LM) document to which the 

industry refers for seasoning requirements for lamp 

and ballast photometric and electrical testing. 

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

Transcript, No. 11, at pp. 19–20) No 

comments were received specifically 

addressing the instrument accuracies for 

any ballasts with power factors between 

20 and 50 percent. 

DOE agrees that digital equipment 

offers improved repeatability and 

accuracy of measurement over analog 

equipment. However, DOE is concerned 

about the burden on manufacturers of 

requiring the use of only digital meters. 

Furthermore, DOE believes that 

although the digital meters do provide 

inherent benefits, analog meters are still 

able to provide sufficient accuracy and 

precision when used under the DOE the 

test procedure. Therefore, this final rule 

does not require use of measurement 

equipment that is limited to digital 

meters exclusively. Instead, the test 

procedure adopted today allows the 

flexibility of allowing interested parties 

to test using either a digital or an analog 

meter, as long as the device meets the 

precision requirements of this test 

procedure. Furthermore, in light of the 

absence of adverse comment, DOE is 

adopting the proposed instrument 

accuracies for ballasts with power 

factors between 20 percent and 50 

percent in this final rule. 

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. As set forth in ANSI C82.6– 

2005, all these instrumentation 

requirements would facilitate repeatable 

and consistent testing and 

measurement. NEMA agreed with the 

proposed test connection requirements. 

(NEMA, No. 21 at p. 2) Since DOE did 

not receive any other comments on this 

issue and the only comment received 

agreed with the connection procedure 

proposed in the July 2009 NOPR, DOE 

is adopting the proposed connection 

requirements in this final rule. 

c. Lamp Stabilization 

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.5 In the NOPR, DOE proposed 

to adopt the section 4.4 of ANSI C82.6– 

2005, which requires a 100-hour 

seasoning period (74 FR 33171, 33177 

(July 10, 2009)), and requested 

comments on whether a preferred 

alternative lamp seasoning lamp 

stabilization approach exists within the 

industry. Id. NEMA commented on 

lamp and ballast equilibrium and 

stabilization, but did not provide any 

comments specifically addressing lamp 

seasoning. Because DOE did not receive 

any comments to the contrary and 

because a 100-hour seasoning period is 

the industry standard, DOE is adopting 

this requirement in today’s final rule. 

In the NOPR, DOE evaluated the 

requirements of the basic stabilization 

method prescribed in section 4.4.2 of 

ANSI C82.6–2005. Id. NEMA 

commented on basic stabilization and 

recommended that DOE adopt the 

revised ANSI C82.6 text regarding basic 

stabilization. (NEMA, No. 21 at p. 1) In 

order to respond to the comment, DOE 

compared the text of ANSI C82.6–2005 

section 4.4.2 with the text supplied by 

NEMA of the expected revised ANSI 

C82.6 section 4.4.2. The text supplied 

by NEMA states that fast-acting or makebefore-break switches are 

recommended. DOE finds this test 

procedure clarification helpful, and, 

therefore, as part of today’s final rule, 

DOE is adopting the revised language 

suggested by NEMA regarding 

recommendations of switches to prevent 

the lamps from extinguishing during 

switchover. 

Operational stability has been defined 

as the lamp operating in a power 

equilibrium determined by three 

consecutive measurements, 5 minutes 

apart, of the lamp power where the 

three readings are within 2.5 percent. 

(NEMA, No. 21 at p. 2) In the NOPR, 

DOE proposed 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 

C82.6–2005. 74 FR 33171, 33177 (July 

10, 2009). NEMA suggested language for 

an alternative stabilization method for 

electronic ballasts, which provided that 

the same lamp will be driven by the 

ballast under test until the ballast 

reaches operational stability. (NEMA, 

No. 21 at p. 2) DOE agrees with NEMA’s 

suggestion above for revision of section 

4.4.3.2 of ANSI C82.6 because this 

provides more specificity for 

determining stability. DOE is adopting 

NEMA’s suggested revision because this 

provides more specificity for 

determining stability. Rather than 

simply assuming that 15 minutes is 

sufficient to determine stability, the 

testing agent will take 3 measurements 

5 minutes apart (3 times 5 minutes = 15 

minutes), and as long as the three 

readings are within the 2.5-percent 

tolerance, then the testing agent can 

determine the ballast is operationally 

stable. Thus, DOE is adopting the 

requirement pertaining to operational 

stability in order to add more accuracy 

to the test procedure. 

In the NOPR, DOE proposed that 

electrical measurements should be taken 

within 2 minutes after the stabilization 

period. 74 FR 33171, 33177 (July 10, 

2009). NEMA commented that the 

current revised requirements of section 

4.4.3.3 of ANSI C82.6 provide that the 

electrical measurements should be taken 

within 5 minutes after the stabilization 

period. (NEMA, No. 21 at p. 2) DOE 

agrees with NEMA’s suggestion for 

revision of section 4.4.3.3 of ANSI 

C82.6. DOE believes that given the more 

technically rigorous definition of 

stability (as discussed in section III.B.1.c 

above), the measurements no longer 

need to be taken within 2 minutes after 

stabilization. Under the basic 

stabilization method, the measurements 

are taken within 5 minutes. DOE has 

concluded that further consistency 

would be provided by also requiring 

measurements to be taken within 5 

minutes for the alternate stabilization 

method. Measurements will be taken 

within the same amount of time under 

either stabilization method. Moreover, 

DOE does not expect accuracy to be 

affected by changing the time period for 

the required measurements from 2 

minutes to 5 minutes. This change in 

response to NEMA’s comment is 

expected to maintain test accuracy, 

while reducing test burden. Therefore, 

in today’s final rule, DOE is requiring 

measurements to be taken within 5 

minutes after stabilization. 

2. Test Measurements 

DOE requires that test measurements 

of metal halide lamp ballast operation 

be used in the calculation of ballast 

efficiency, as discussed in section 

III.B.3, ‘‘Ballast Efficiency Calculation,’’ 

of this document. This calculated ballast 

efficiency is an integral part of the metal 

halide lamp ballast test procedures 

established under 42 U.S.C. 6293. 

In the NOPR, DOE proposed test 

measurements for metal halide lamp 

ballasts to require that ballast operation 

testing be conducted according to the 

same requirements set forth in section 

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

C82.6–2005. 74 FR 33171, 33177 (July 

10, 2009). NEMA commented that 

measurements of ballast power losses 

should be based on the latest draft of 

ANSI C82.6 (now being revised by 

ANSI), but NEMA did not specify what 

aspects of the draft standard should be 

incorporated into DOE’s test method. 

(NEMA, No. 21 at p. 3) 

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DOE tried to find a current (as of 

winter 2009) draft of revised ANSI 

C82.6, but was unable to obtain a copy. 

Repeatedly, DOE was told by members 

of NEMA and the ANSI committee 

revising the document that the 2005 

version of ANSI C82.6 is the latest draft. 

DOE learned that a revised version 

would not be published until at least 

March 2010. DOE received a copy of 

Draft #8 (dated April 15, 2009) in May 

2009. DOE compared the text of section 

6.10, Ballast Power Loss, in ANSI 

C82.6–2005 to the text in section 6.13, 

Ballast Power Loss, in ANSI C82.6 DraftApril 15, 2009. DOE found a total of 14 

words different between the two 

versions of the text. More specifically, 

the 2005 version uses the term 

‘‘potential coil’’ in two places, as shown 

below in the 2009 draft text, with the 

bracketed language indicating the use in 

the 2005 version. The 2009 draft version 

also added the following text: ‘‘The 

meters must measure using ranges that 

minimize these differences.’’ With that 

introductory explanation, section 6.13, 

Ballast Power Loss, of ANSI C82.6 DraftApril 15, 2009 reads as follows: 

‘‘The power loss should be determined by 

the wattmeter (power analyzer) difference 

method, in which the output power is 

subtracted from the input power. If the 

instruments are connected as shown in 

Figure 2, either the voltmeter should be 

disconnected when the reading of input 

wattage is taken or a correction should be 

made to compensate for the power consumed 

by the voltmeter. It should also be noted that 

with the connections shown in Figure 2, the 

wattmeter reading will include the power 

consumed by the wattmeter itself [potential 

coil]. This power in the wattmeter [potential 

coil]; therefore, must be calculated and 

subtracted to obtain the actual input power. 

To minimize deviations in power loss 

calculations, it is recommended that where 

feasible the same wattmeter and the same 

potential and current ranges be used to 

measure both input and lamp watts. Note 

that in determining ballast losses, it must be 

kept in mind that when one accurate number 

is subtracted from a nearly equal accurate 

number, the percent error of difference may 

be very great. The deviation in watts loss 

figures may be as high as ± 10%–15% when 

wattmeters with a stated accuracy of ± 0.5% 

are employed. The meters must measure 

using ranges that minimize these 

differences.’’ 

Thus, the ballast power loss section 

specifies measurements of output power 

to the lamp and input power to the 

ballast using a wattmeter, and it 

specifies the proper instrument 

connections. The section also provides 

the necessary guidance and methods for 

eliminating or compensating for the 

power consumption of a voltmeter 

(when connected) and the wattmeter. In 

summary, the ballast power loss section 

of ANSI C82.6–2005 provides a 

measurement of power using a welldefined, common electrical industry 

standard test with dedicated equipment. 

In general, DOE has decided to adopt 

the test measurement provisions 

proposed in the July 2009 NOPR in 

today’s final rule. Based on the 

comparison between the published 

ANSI C82.6–2005 and the draft of the 

revision dated April 15, 2009, DOE 

found little substantive change between 

the ballast power loss sections. If new 

or more substantive changes occur in a 

later published revision of ANSI C82.6, 

DOE will consider revising the test 

procedure in the future. Other, specific 

comments on the proposed test 

measurement provisions are addressed 

immediately below. 

In the NOPR, DOE proposed using a 

wattmeter to measure ballast power. 74 

FR 33171, 33177 (July 10, 2009). In its 

comments, NEMA indicated a 

preference for the use of a multi-channel 

wattmeter in order to minimize 

measurement uncertainty. (NEMA, No. 

21 at p. 3) In response, DOE 

acknowledges that the use of a multichannel wattmeter is one way to 

minimize measurement uncertainty, and 

notes that today’s test procedure does 

allow for the use of multi-channel 

wattmeters. However, there are other 

ways of reducing uncertainty such as 

taking sequential measurements using 

the meter. Therefore, DOE does not find 

it necessary to require the use of a 

multi-channel wattmeter in the final 

rule. 

In the NOPR, DOE proposed that the 

wattmeter used when testing be a ‘‘true 

RMS wattmeter.’’ 74 FR 33171, 33177 

(July 10, 2009). NEMA objected to the 

use of the term ‘‘true RMS wattmeter,’’ 

arguing that there is no such thing as a 

‘‘true RMS wattmeter.’’ NEMA stated 

that ‘‘[v]oltage and current measuring 

devices can provide true RMS values, 

but the power consumed is the time 

average of the instantaneous voltage and 

current waveforms, by definition, for 

any waveform.’’ As a more technicallyaccurate alternative, NEMA suggested 

that DOE use the term ‘‘’wattmeter’ 

capable of indicating true RMS power in 

watts’’’ could be used. (NEMA, No. 21 at 

p. 3) DOE acknowledges that a ‘‘true 

RMS wattmeter’’ does not exist and 

cannot require the use of a meter that 

does not exist. Therefore, DOE has 

adopted use of the expression 

‘‘wattmeter capable of indicating true 

RMS power in watts’’ in the final rule. 

In the NOPR, DOE proposed adopting 

the test circuit connection requirements 

of sections 4.5 and 6.10 of ANSI C82.6– 

2005 in the test procedure. 74 FR 33171, 

33181 (July 10, 2009). NEMA expressed 

agreement with the proposed 

connection requirement in the July 2009 

NOPR. (NEMA, No. 21 at p. 2) Because 

DOE received no other comments 

regarding connection requirements, 

DOE is adopting the requirements for 

connections proposed in the July 2009 

NOPR in this final rule. 

3. Ballast Efficiency Calculation 

In the NOPR, DOE proposed that 

ballast efficiency be calculated as the 

measured output power to the lamp 

divided by the measured input power to 

the ballast (Pout/Pin). DOE also proposed 

that the Pout and Pin terms be determined 

according to the Ballast Power Loss 

method described in section III.C.2, 

‘‘Test Measurements,’’ of the NOPR, with 

both output and input power measured 

in accordance with section 6.10 of ANSI 

C82.6–2005. 74 FR 33171, 33177 (July 

10, 2009). DOE did not receive any 

comments on the ballast efficiency 

calculation. It is further noted that this 

measure of efficiency represents the 

metric used in the energy conservation 

standard prescribed by the statute. (42 

U.S.C. 6295(hh)(1)) This is a standard 

method of calculating efficiency. 

Therefore, for the above reasons; DOE is 

adopting Pout/Pin as the ballast efficiency 

calculation in today’s final rule. 

C. Test Method for Measuring Standby 

Power of Metal Halide Lamp Ballasts 

1. Overview of Test Method 

In relevant part, EPCA 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 test procedure to be consistent 

with IEC Standard 62301. In addition, to 

develop a test method that would be 

familiar to metal halide lamp ballast 

manufacturers, DOE also referenced 

language and methodologies presented 

in ANSI C82.6–2005, ‘‘Ballasts for HighIntensity Discharge Lamps—Methods of 

Measurement.’’ 

Generally, today’s final rule adopts 

test procedure provisions for measuring 

standby power that include 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 

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ways, depending on how the signal from 

the control system is delivered to the 

ballast. Further detail on DOE’s adopted 

methodology for measuring standby 

power of metal halide lamp ballasts is 

presented below. DOE did not receive 

any adverse comments on the test 

procedure’s standby provisions as a 

whole, but it did receive comments on 

this topic pertaining to specific sections 

of the test procedure. These detailed 

comments will be addressed in the 

following sections. 

2. Test Method and Measurements 

In the portion of the metal halide 

lamp ballast test procedure dealing with 

standby power measurement, the test 

procedure requires that a signal be sent 

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 input power (in watts) to the ballast 

is measured in accordance with ANSI 

C82.6–2005. Finally, the power from the 

ballast control signal path is measured 

using a method for an AC, DC, or PLC 

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 C82.6–2005, 

section 6. This measurement parallels 

the approach DOE is requiring for 

measuring the active mode power 

consumption for input power (watts) to 

the ballast in accordance with ANSI 

C82.6–2005. Thus, test measurements of 

ballast input power are conducted in 

accordance with the appropriate 

sections of the industry test standard. 

As adopted in today’s final rule at 10 

CFR 431.324(c), manufacturers must 

measure the ballast’s control signal 

power. DOE understands 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 is providing 

three methods for measuring that power, 

depending on which type of system is 

being used. As explained above, DOE 

did not propose in the NOPR to measure 

the power supplied to a ballast using a 

wireless control signal because DOE 

estimates that the power supplied to a 

ballast using a wireless signal would be 

very small (in milliwatts), difficult to 

measure, and unlikely to appreciably 

affect ballast power consumption. The 

three circuit diagrams in the final rule 

require measurement of 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 incorporating three circuit 

diagrams at 10 CFR 431.324(c) in 

today’s final rule to present clearly the 

intended methods of measurement for 

each type of control system 

communication protocol. 

The test procedure proposed in the 

July 2009 NOPR characterized metal 

halide lamp ballasts featuring standby 

mode as utilizing only one type of 

control signal connection. However, it is 

technically feasible for one metal halide 

lamp ballast to feature more than one 

type of control signal connection. 

Therefore, DOE has revised the language 

proposed in the NOPR for 10 CFR 

431.324(c)(3) of the test procedure and 

is instead adopting the following 

clarified provision as part of today’s 

final rule: ‘‘The power from the control 

signal path will be measured using all 

applicable methods described’’ in 

subsections (c)(3)(i)–(iii) of the test 

procedure (i.e., AC control signal, DC 

control signal, and PLC control signal) 

so that the procedure is capable of 

determining the maximum energy 

consumption of a metal halide lamp 

ballast in standby mode. 

DOE recognizes that measuring the 

power input into a ballast utilizing a 

PLC control signal will involve 

measurement of both the power being 

used by the ballast and the control 

signal power. During the public 

meeting, it was discussed that the PLC 

control signal would be a series of short 

bursts. These bursts would be expected 

to use less than a watt of power. 

(NEMA, Public Meeting Transcript, No. 

11 at p. 36) PG&E commented during 

the public meeting that it is not the PLC 

control signal that needs to be 

measured, but the standby power of the 

equipment receiving the signal. (PG&E, 

Public Meeting Transcript, No. 11 at p. 

36) However, DOE stated in response to 

PG&E that DOE wanted to make sure 

that there would not be a lost 

opportunity to account for it, to the 

extent a significant amount of energy is 

consumed by the control signal. (DOE, 

Public Meeting Transcript, No. 11 at p. 

37) 

Therefore, in order to measure each of 

these powers, the equipment used must 

be able to measure the appropriate 

frequencies (i.e., 60 hertz for the power 

used by the ballast and higher frequency 

for the control signal power). During the 

public meeting, DOE reasoned that in 

order to measure the control signal 

power and isolate the high-frequency 

signal from the 60 hertz-signal, one 

would have to use a high-pass filter. 

(DOE, Public Meeting Transcript, No. 11 

at p. 43) Therefore, the July 2009 NOPR 

required that ‘‘[t]he 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 a 

60 Hz.’’ 74 FR 33171, 33185 (July 10, 

2009). DOE received no comments 

regarding this filter during the comment 

period. However, as part of the 

fluorescent lamp ballast standby test 

procedure rulemaking, DOE did receive 

a comment from NEMA regarding PLC 

signals and proper equipment. In that 

comment, NEMA stated that equipment 

used to measure PLC power must be 

capable of measuring the appropriate 

frequencies, as the power distributed 

over the input ballast wiring would also 

include the PLC power. 74 FR 54445, 

54451 (Oct. 22, 2009). DOE’s statement 

during the metal halide lamp ballast 

public meeting (December 2008) was 

consistent with the comment NEMA 

provided on the fluorescent ballast 

standby test procedure, and DOE 

believes that the situations regarding 

PLC signals are analogous for both types 

of ballasts. Thus, in order to account for 

PLC signal energy use, DOE has adopted 

the wattmeter requirements as proposed 

in the NOPR for PLC measurements in 

this final rule. 

The People’s Republic of China (‘‘P.R. 

China’’) commented that DOE did not 

consider issues with electromagnetic 

compatibility associated with the PLC 

signal in the July 2009 NOPR. P.R. 

China is concerned that electromagnetic 

interference from the PLC signal could 

significantly affect the measurement of 

standby power. (P.R. China, No. 20 at p. 

3) DOE understands that if the PLC 

signal were a very high-frequency signal 

(e.g., with a frequency in the megahertz 

(MHz) range), then the electromagnetic 

interference from the signal could affect 

the standby power measurement 

significantly (i.e., cause variances in the 

input power measurement by more than 

a watt). A similar comment was 

submitted by P.R. China regarding the 

fluorescent lamp ballast standby test 

procedure. DOE determined that PLC 

signals to fluorescent ballasts are on the 

order of 20 kilohertz (kHz). 74 FR 

54445, 54451–52 (Oct. 22, 2009). DOE 

notes that the Federal Communications 

Commission only regulates PLC 

measurements from 150 kHz to 30 MHz 

so that conducted emissions in this 

frequency range do not interfere with 

nearby radio receivers. (47 CFR 15 

subpart B) At this time, DOE does not 

know of any metal halide lamp ballasts 

with PLC controls. Because shielding 

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6 ‘‘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). 

PLC measurements from 

electromagnetic interference for ballasts 

is unnecessary for the reasons explained 

above, DOE has not modified the test 

procedure to include shielding in 

today’s final rule. However, in the 

future, DOE will monitor the situation 

in the event a manufacturer develops a 

metal halide lamp ballast utilizing a 

PLC control signal. 

3. Combining Measurements and 

Burden 

In the NOPR, DOE proposed to 

require equipment manufacturers 

subject to this rulemaking to take the 

two required measurements (i.e., the 

main input power and the control signal 

power in standby mode), but did not tell 

manufacturers how to combine these 

values or use them in equations 

pertaining to energy efficiency. 74 FR 

33171, 33178 (July 10, 2009). DOE 

received no comments regarding these 

measurements. DOE will 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. 

(42 U.S.C. 6295)(hh)(2)). 

DOE further notes that today’s final 

rule 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. These 

objectives are expected to be met by the 

final rule, particularly given that it is 

based upon IEC 62301 and follows 

testing approaches used in ANSI C82.6– 

2005. Commenters raised a number of 

issues which could have bearing on the 

accuracy and repeatability of the results 

generated under the metal halide lamp 

ballast test procedure, but these issues 

have been fully addressed in today’s 

final rule. 

D. Scope of Applicability of Standby 

Power Test Procedure 

This rulemaking broadly addresses 

ballasts that operate metal halide lamp 

fixtures, but as explained below and in 

the July 2009 NOPR, the scope of 

applicability of the test procedure’s 

standby provisions is expected to be 

more limited. 74 FR 33171, 33178 (July 

10, 2009). After studying the market of 

commercially-available metal halide 

lamp ballasts and the statutory 

definition of ‘‘standby mode,’’ DOE is 

interpreting this mode as only applying 

to certain ballasts under certain 

operating conditions. 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 lamp ballasts with a lightingcontrol 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)) 

Many of these ballasts are designed with 

advanced circuitry that adds features, 

including intelligent operation.6 As 

discussed in section III.A above, 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. DOE is unaware of 

any types of ballasts, other than those 

with a lighting-control system interface 

that would perform standby functions. 

As explained above, not all metal 

halide lamp ballasts need to be tested 

for standby mode power, because many 

ballast designs do not meet the statutory 

definition for operation in standby 

mode. In fact, most metal halide lamp 

ballasts sold today are not capable of 

operating in standby mode, 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, the metal 

halide lamp ballasts subject to standby 

mode power measurements are those 

that incorporate some electronic circuit 

or auxiliary device enabling the ballast 

to communicate with and be part of a 

lighting control system (e.g., stand-alone 

photosensor and ballast or a centralized 

system). NEMA accepted the DOE 

approach to apply the standby mode test 

procedure to metal halide lamp ballasts 

that incorporate a circuit to enable the 

ballast to communicate with lighting 

control systems. (NEMA, No. 21. at. p. 

4) In light of the above, DOE is adopting 

this approach as part of today’s final 

rule. 

E. Effective Date of Standby Mode Test 

Method 

As discussed in section II of this final 

rule, EPCA requires DOE to consider 

standby mode and off mode for all 

energy conservation standard 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)) 

Because this rulemaking may amend the 

standards for metal halide lamp fixtures 

but would be issued after July 1, 2010, 

DOE must consider standby mode and 

off mode power consumption in that 

future energy conservation standards 

rulemaking. 

Including these test procedure 

provisions in the CFR will provide 

manufacturers additional time to 

become familiar with standby mode 

power consumption of certain metal 

halide lamp ballasts. As DOE conducts 

energy conservation standards 

rulemaking reviewing the energy 

conservation standards for metal halide 

lamp ballasts, it will take into 

consideration standby mode power 

consumption. During that rulemaking, 

interested parties will already be 

familiar with the test procedure for 

measuring and calculating standby 

mode power consumption and will be 

better able to understand any ballast 

design implications that may affect the 

efficiency of metal halide lamp ballasts. 

As discussed in section II and as 

provided in the 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 came 

into effect on January 1, 2009, because 

those statutory standards do not account 

for standby mode power consumption. 

In terms of codification in the CFR, the 

effective date of this test procedure on 

metal halide lamp ballasts is 30 days 

after the date of publication in the 

Federal Register. However, 

manufacturers will only be required to 

use the 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 fixtures that 

addresses standby mode power 

consumption (at which time, DOE 

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would remove the limitation in 10 CFR 

431.324(c)). However, DOE notes that on 

or after a date 180 days after the date of 

publication of this final rule, for any 

representations made about standby 

mode energy consumption for these 

products, the standby provisions of this 

test procedure must be used to measure 

standby power. (42 U.S.C. 6293(b)(18) 

and (c)(2)) 

F. Units To Be Tested 

Accurate testing of metal halide lamp 

ballasts requires a statistically 

meaningful sample of test units to 

certify that the true mean efficiency of 

a basic model meets or exceeds the 

applicable energy conservation 

standard. In an effort to meet this testing 

need and to reduce the testing burden 

on manufacturers, DOE considered four 

factors in developing sample size 

requirements for the approach proposed 

in its July 2009 NOPR: (1) Providing a 

highly statistically valid probability that 

a basic model 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. 74 FR 33171, 33179 (July 10, 

2009). 

In the July NOPR, DOE proposed a 

sampling method similar to the method 

established for fluorescent ballasts (see 

56 FR 18677, 18682 (April 24, 1991)). At 

least four ballasts randomly selected 

would be tested, and a 99-percent 

confidence limit would be applied. DOE 

received few comments regarding the 

units to be tested; therefore, DOE is 

adopting the proposed language with 

minor modifications. Comments on this 

topic and related modifications are 

discussed below. 

In the NOPR, DOE proposed using 

coefficients of 0.99 for the lower percent 

confidence limit and 1.01 for the upper 

confidence limit. 74 FR 33171, 33179 

(July 10, 2009). No comments were 

received regarding the coefficients. 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 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. 

Therefore, in today’s final rule DOE 

adopts the coefficients presented in the 

NOPR. 

DOE received two comments from 

interested parties on the measurement 

of units to be tested. First, NEMA stated 

that it accepts the proposed sampling 

procedure consistent with the approach 

DOE adopted for fluorescent lamp 

ballasts. This sampling procedure 

includes randomly selected ballast 

samples, not less than four, to calculate 

the represented value of energy 

efficiency and to apply the 99-percent 

confidence limits as proposed. 

Additionally, NEMA suggested 

replacing the term ‘‘calculated value of 

energy efficiency’’ with use of 

‘‘represented value of energy efficiency’’ 

throughout the test procedure. (NEMA, 

No. 21 at p. 6) DOE notes that in the 

NOPR, it had used the phrase 

‘‘calculated value of energy efficiency’’ 

in the preamble section of the NOPR, 

and the phrase ‘‘represented value of 

energy efficiency’’ in the regulatory text. 

DOE also notes that for fluorescent lamp 

ballasts, the phrase ‘‘represented value 

of energy efficiency’’ is used throughout; 

therefore, DOE is adopting this phrase 

and will use it consistently in today’s 

final rule, as suggested by the 

commenter. 

Second, P.R. China commented that 

the sampling procedure proposed for 

metal halide lamp ballasts is based on 

the current sampling procedure used by 

DOE for fluorescent lamp ballasts. 

Because there are some differences 

between a fluorescent lamp ballast and 

a metal halide lamp ballast, P.R. China 

requested that DOE provide further 

comment on the applicability of the 

sampling procedure for fluorescent 

lamp ballasts to metal halide lamp 

ballasts. (P.R. China, No. 20 at p. 3) In 

response, DOE acknowledges that the 

sampling procedure is consistent with 

the approach DOE has used for 

fluorescent lamp ballasts. The sample 

size that DOE is adopting in this final 

rule is a minimum of four. The number 

of tests must increase until the results 

meet this rule’s requirements, meaning 

that if the first four samples tested do 

not have a represented value of energy 

efficiency within the mean of the 

sample divided by the applicable 

coefficient, the manufacturer must 

continue testing samples until the 

represented value of energy efficiency is 

satisfied or the manufacturer cannot 

submit the data for compliance and 

certification. DOE believes that any 

differences between metal halide lamp 

ballasts and fluorescent lamp ballasts 

will be alleviated by the degree of the 

confidence limit (i.e., 99-percent). 

Accordingly, in light of the above 

considerations and comments, DOE is 

adopting the sampling procedure below 

for testing metal halide lamp ballast 

energy efficiency. The adopted 

procedure for metal halide lamp ballasts 

is consistent with the approach used for 

fluorescent lamp ballasts and requires 

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: 

1. The represented value of energy 

efficiency is no less than the higher of 

the mean of the sample or the upper 99- 

percent confidence limit of the true 

mean divided by 1.01. 

2. The represented value of energy 

efficiency is no greater than the lower of 

the mean of the sample or the lower 99- 

percent confidence limit of the true 

mean divided by 0.99. 

G. Submission of Data 

Metal halide lamp fixture 

manufacturers have been required to 

comply with the statutory standards in 

EISA 2007 regarding ballast efficiency 

since January 1, 2009. However, since a 

final test procedure has not been 

published until this final rule, 

manufacturers could not submit data 

demonstrating compliance. In the 

NOPR, DOE proposed 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 

a date one year after publication of the 

test procedure final rule, which would 

include for each basic model: (1) The 

equipment type; (2) manufacturer’s 

name; (3) private labeler’s name(s) (if 

applicable); and (4) manufacturer’s 

model number(s). 74 FR 33171, 33180 

(July 10, 2009). NEMA accepted the 

DOE proposal for data submission by 

certification report. (NEMA, No. 21 at p. 

6) Given the absence of any adverse 

comment, DOE is adopting the 

submission of data requirements 

proposed in the NOPR as part of this 

final rule. 

Specifically, in submitting the report, 

manufacturers certify that the testing 

was completed in accordance with the 

applicable test requirements prescribed 

pursuant to 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 

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Federal Register / Vol. 75, No. 45 / Tuesday, March 9, 2010 / Rules and Regulations 10963 

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. 

H. Enforcement Provisions 

A Federal energy conservation 

standard became effective for metal 

halide lamp ballasts on January 1, 2009; 

therefore, use of the appropriate 

application of the testing procedure for 

this equipment for purposes of 

compliance with and enforcement of the 

efficiency requirements is required 

upon the effective date of this final rule. 

In the NOPR, DOE proposed applying to 

metal halide lamp ballasts the same 

basic requirements for enforcement 

currently in place for other lighting 

equipment. 74 FR 33171, 33180 (July 10, 

2009). NEMA commented that it 

recognized and supported the need for 

inclusion of enforcement provisions for 

verification of energy efficiency claims. 

(NEMA, No. 21 at p. 6) As part of 

today’s final rule, DOE is adopting the 

proposed testing certification as 

presented in the NOPR. 

If DOE receives written information 

about the performance of metal halide 

lamp 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 lamp 

ballast test procedures. 

I. Provisions for Compliance, 

Certification, and Enforcement 

The purpose of establishing 

compliance, certification, and 

enforcement regulations is to provide 

reasonable assurance that manufacturers 

appropriately test and accurately 

represent the performance 

characteristics of covered equipment. 

Accordingly, today’s final rule specifies 

certification, compliance, and 

enforcement requirements for ballasts 

that are part of metal halide lamp 

fixtures. It is noted that DOE plans to 

address certification, compliance, and 

enforcement provisions for all consumer 

products and commercial and industrial 

equipment covered by EISA 2007 in a 

separate proceeding, a rulemaking 

which would not only provide a 

centralized location for those provisions 

but which would also promote 

consistency of such requirements. At 

that time, DOE will consider moving the 

certification, compliance, and 

enforcement provisions being adopted 

in today’s final rule to a different 

section in the CFR dedicated to 

compliance, certification, and 

enforcement. 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

Today’s 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 effects. 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 impact 

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 General Counsel’s Web site 

at http://www.gc.doe.gov. 

Today’s final rule adopts test 

procedures that are to be used to 

determine compliance with the energy 

conservation standard for certain metal 

halide lamp fixtures. DOE reviewed 

today’s final rule under the provisions 

of the Regulatory Flexibility Act and the 

policies and procedures published on 

February 19, 2003. For the reasons 

explained in the July 2009 NOPR, DOE 

certified that the proposed rule would 

not have a significant economic impact 

on a substantial number of small entities 

manufacturing the equipment that are 

the subject of this rulemaking. 74 FR 

33171, 33182 (July 10, 2009). 

The 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 equipment. 

Manufacturers are familiar with the 

application of ANSI Standard C82.6– 

2005 and should 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 final rule also establishes a 

methodology for the measurement of 

standby mode power consumption for 

certain metal halide lamp fixtures. DOE 

based its 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 method is based on the 

industry standards and does not exceed 

the equipment and accuracy 

recommendations in NEMA’s comments 

(see III.A, in the discussion of ‘‘ballast 

efficiency’’), 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 has not prepared a 

regulatory flexibility analysis for this 

rulemaking. DOE’s certification and 

supporting statement of factual basis 

was provided to the Chief Counsel for 

Advocacy of the Small Business 

Administration for review under 5 

U.S.C. 605(b). DOE did not receive any 

comments regarding the impact on 

small business manufacturers of metal 

halide lamp fixtures. Thus, DOE 

reaffirms and certifies that this rule will 

have no significant economic impact on 

a substantial number of small entities. 

C. Review Under the Paperwork 

Reduction Act of 1995 

Today’s final rule would require each 

manufacturer of metal halide lamp 

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10964 Federal Register / Vol. 75, No. 45 / Tuesday, March 9, 2010 / Rules and Regulations 

7Categorical 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.’’ 

fixtures (i.e., fixtures that incorporate 

metal halide lamp ballasts), or entity 

performing tests on behalf of the 

manufacturer, to maintain records about 

how they determined the energy 

efficiency measurement—and on the 

date of any amended standards 

incorporating standby power usage, 

standby power mode energy 

consumption measurement—of their 

equipment (see regulatory language at 

10 CFR Part 431 subpart S). The rule 

also requires each manufacturer to make 

a one-time submission to DOE, stating 

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 

to DOE 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 collection of 

information is necessary for 

implementing and monitoring 

compliance with the efficiency 

standards and testing requirements for 

metal halide lamp fixtures, as mandated 

by EPCA. Manufacturers would become 

subject to these reporting and 

certification requirements once both a 

final rule for the metal halide lamp 

ballast test procedure and a standard for 

the metal halide lamp fixture energy 

conservation standard are effective. The 

metal halide lamp fixture energy 

conservation standard referenced earlier 

is already effective (EISA 2007). Upon 

the effective date of this final rule, 

manufacturers would become subject to 

these reporting and certification 

requirements. 

DOE estimates the total annual 

reporting and recordkeeping burden 

imposed on manufacturers of metal 

halide lamp 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 recordkeeping burden from 

compliance with the proposed rule 

would be 160 hours per company. Thus, 

148 firms × 160 hours per firm = 23,680 

hours per year. In developing this 

burden estimate, DOE considered that 

each manufacturer is required to comply 

with the energy conservation standards 

for metal halide lamp 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 final rule would 

require them to keep, and believes the 

collection of information required by 

this final rule is the least burdensome 

method of meeting the statutory 

requirements and achieving the program 

objectives of the compliance 

certification program for these products 

and equipment. 

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. DOE will submit this 

information collection request to OMB 

for review and approval. Notice of OMB 

approval and the control number will be 

published in the Federal Register. 

D. Review Under the National 

Environmental Policy Act 

DOE is establishing a final rule for 

metal halide lamp ballast test procedure 

that it expects will not only be used to 

test under current standards, but which 

would also be used to develop and 

implement future energy conservation 

standards for metal halide lamp ballasts. 

DOE has determined that this final 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 final 

rule would adopt existing industry 

ballast test procedures, so it would not 

affect the amount, quality, or 

distribution of energy usage, and, 

therefore would not result in any 

significant effect on the human 

environment. Thus, this rulemaking is 

covered by Categorical Exclusion A6 

under 10 CFR part 1021, subpart D.7

Accordingly, neither an environmental 

assessment nor an environmental 

impact statement is required. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (August 10, 1999), imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have Federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the states and to assess carefully 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 final 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 final 

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 

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Federal Register / Vol. 75, No. 45 / Tuesday, March 9, 2010 / Rules and Regulations 10965 

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 final 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 final rule to amend DOE test 

procedures would not have any negative 

consequence 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 final 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 OMB guidelines. 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 final rule 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 

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 

final rule is not a significant regulatory 

action under Executive Order 12866. 

Moreover, it would not have a 

significant adverse effect on the supply, 

distribution, or use of energy 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 effect of the commercial 

or industry standards on competition. 

Today’s final rule incorporates testing 

methods contained in the following 

commercial standards: ANSI C82.6– 

2005, ‘‘American National Standard for 

Lamp Ballasts—Ballasts for HighIntensity Discharge Lamps—Methods of 

Measurement, 2005.’’ DOE has 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). 

DOE has consulted with the Attorney 

General and the Chairman of the FTC 

concerning the affect on competition of 

requiring manufacturers to use the test 

methods contained in these standards, 

and neither recommended against 

incorporation of these standards. 

M. Congressional Notification 

As required by 5 U.S.C. 801, DOE will 

report to Congress on the promulgation 

of today’s rule before its effective date. 

The report will state that it has been 

determined that the rule is not a ‘‘major 

rule’’ as defined by 5 U.S.C. 801(2). 

V. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this final rule. 

List of Subjects in 10 CFR Part 431 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Incorporation by reference, Reporting 

and recordkeeping requirements. 

Issued in Washington, DC, on February 19, 

2010. 

Cathy Zoi, 

Assistant Secretary, Energy Efficiency and 

Renewable Energy. 

■ For the reasons stated in the preamble, 

DOE amends 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. 

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■ 2. Section 431.321 is revised to read 

as follows: 

Subpart S—Metal Halide Lamp Ballasts 

and Fixtures 

§ 431.321 Purpose and scope. 

This subpart contains energy 

conservation requirements for metal 

halide lamp ballasts and fixtures, 

pursuant to Part A of Title III of the 

Energy Policy and Conservation Act, as 

amended, 42 U.S.C. 6291–6309. 

■ 3. Section 431.322 is amended by: 

■ a. Removing from paragraph 5 of the 

definition of ‘‘Ballast Efficiency’’ ‘‘2 kHz’’ 

and adding ‘‘2.4 kHz’’ in its place, and 

■ b. Adding, in alphabetical order, 

definitions for ‘‘AC control signal,’’ 

‘‘Active mode,’’ ‘‘Ballast,’’ ‘‘Basic model,’’ 

‘‘DC control signal,’’ ‘‘Electronic ballast,’’ 

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

‘‘Standby mode,’’ and ‘‘Wireless control 

signal’’ to read as follows: 

§ 431.322 Definitions concerning metal 

halide lamp ballasts and fixtures. 

AC control signal means an 

alternating current (AC) signal that is 

supplied to the ballast using additional 

wiring for the purpose of controlling the 

ballast and putting the ballast in 

standby mode. 

Active mode means the condition in 

which an energy-using product: 

(1) Is connected to a main power 

source; 

(2) Has been activated; and 

(3) Provides one or more main 

functions. 

Ballast means a device used with an 

electric discharge lamp to obtain 

necessary circuit conditions (voltage, 

current, and waveform) for starting and 

operating. 

* * * * * 

Basic model means, with respect to 

metal halide lamp ballasts, all units of 

a given type of metal halide lamp 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. 

Electronic ballast means a device that 

uses semiconductors as the primary 

means to control lamp starting and 

operation. 

* * * * * 

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. 

§ 431.323 [Amended] 

■ 4. Section 431.323 is amended by 

adding to the end of paragraph (b)(2) 

‘‘and § 431.324’’. 

■ 5. Section 431.324 is amended by 

revising the section heading, revising 

paragraph (b), and adding paragraph (c) 

to read as follows: 

§ 431.324 Uniform test method for the 

measurement of energy efficiency and 

standby mode energy consumption of metal 

halide lamp ballasts. 

* * * * * 

(b) Testing and Calculations Active 

Mode. (1)(i) 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 ANSI C82.6 

(incorporated by reference; see 

§ 431.323). Ambient temperatures for 

the testing period shall be maintained at 

25 °C ± 5 °C. Airflow in the room for 

the testing period shall be ≤0.5 meters/ 

second. The ballast shall be operated 

until equilibrium. Lamps used in the 

test shall conform to the general 

requirements in section 4.4.1 of ANSI 

C82.6 and be seasoned for a minimum 

of 100 hour prior to use in ballast tests. 

Basic lamp stabilization shall conform 

to the general requirements in section 

4.4.2 of ANSI C82.6, 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. After the 

stabilization process has begun, the 

lamp shall not be moved or repositioned 

until after the testing is complete. In 

order to avoid heating up the test ballast 

during lamp stabilization, which could 

cause resistance changes and result in 

unrepeatable data, it is necessary to 

warm up the lamp on a standby ballast. 

This standby ballast should be a 

commercial ballast of a type similar to 

the test ballast in order to be able to 

switch a stabilized lamp to the test 

ballast without extinguishing the lamp. 

Fast-acting or make-before-break 

switches are recommended to prevent 

the lamps from extinguishing during 

switchover. 

(ii) Alternative Stabilization Method. 

In cases where switching without 

extinguishing the lamp is impossible or 

for low-frequency electronic ballasts, 

the following alternative stabilization 

method shall be used. The lamp 

characteristics are determined using a 

reference ballast and recorded for future 

comparison. The same lamp is to be 

driven by the ballast under test until the 

ballast reaches operational stability. 

Operational stability is defined by three 

consecutive measurements, 5 minutes 

apart, of the lamp power where the 

three readings are within 2.5 percent. 

The electrical measurements are to be 

taken within 5 minutes after conclusion 

of the stabilization period. 

(2) Test Measurement. The ballast 

input power and lamp output power 

during operating conditions shall be 

measured in accordance with the 

methods specified in section 6.0, 

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

C82.6 (incorporated by reference; see 

§ 431.323). 

(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) Testing and Calculations-Standby 

Mode. The measurement of standby 

mode need not be performed to 

determine compliance with energy 

conservation standards for metal halide 

lamp fixtures at this time. The above 

statement will be removed as part of the 

rulemaking to amend the energy 

conservation standards for metal halide 

lamp fixtures to account for standby 

mode energy consumption, and the 

following shall apply on the compliance 

date for such requirements. However, all 

representations related to standby mode 

energy consumption of these products 

made after September 7, 2010, must be 

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Federal Register / Vol. 75, No. 45 / Tuesday, March 9, 2010 / Rules and Regulations 10967 

based upon results generated under this 

test procedure. 

(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 C82.6 

(incorporated by reference; see 

§ 431.323) Ambient temperatures for the 

testing period shall be maintained at 25 

°C ± 5 °C. 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 C82.6 

(incorporated by reference; see 

§ 431.323). 

(3) Measurement of Control Signal 

Power. The power from the control 

signal path is measured using all 

applicable methods described below: 

(i) DC Control Signal. Measure the DC 

control signal voltage, using a voltmeter 

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

connected to the ballast in accordance 

with the circuit shown in Figure 1. The 

DC control signal power is calculated by 

multiplying the DC control signal 

voltage by the DC control signal current. 

(ii) AC Control Signal. Measure the 

AC control signal power (watts), using 

a wattmeter capable of indicating true 

RMS power in watts (W), connected to 

the ballast in accordance with the 

circuit shown in Figure 2. 

(iii) Power Line Carrier (PLC) Control 

Signal. Measure the PLC control signal 

power (watts), using a wattmeter 

capable of indicating true RMS power in 

watts (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 Hz. 


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10968 Federal Register / Vol. 75, No. 45 / Tuesday, March 9, 2010 / Rules and Regulations 

■ 6. Section 431.325 is added to subpart 

S to read as follows: 

§ 431.325 Units to be tested. 

For each basic model of metal halide 

lamp 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. 

■ 7. Sections 431.327, 431.328, 431.329 

and Appendices A, B, and C are added 

to Subpart S to read as follows: 

§ 431.327 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 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. 

(2) Each manufacturer or private 

labeler of a basic model of metal halide 

lamp ballast shall file a compliance 

statement and its first certification 

report with DOE on or before March 9, 

2011. 

(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. Each 

manufacturer or private labeler shall 

notify the Department when designating 

a third-party representative and shall 

notify the Department of any changes of 

third-party representatives which is to 

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 

submit its compliance statement once. 

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 all 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 

conducted in accordance with the 

applicable test requirements prescribed 

in this subpart; 

(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 each of its metal 

halide lamp 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. A 

single certification report may be used 

to report required information for 

multiple basic models. 

(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. 

(c) Discontinued models. A 

manufacturer shall report to the 

Department a basic model whose 

production has ceased and is no longer 

being distributed. 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 


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Federal Register / Vol. 75, No. 45 / Tuesday, March 9, 2010 / Rules and Regulations 10969 

of an authorizing manufacturer or 

private labeler. 

(e) Submission instructions. All 

reports and notices required by this 

section 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 by email to the Department at: 

certification.report@ee.doe.gov. If 

submitting by e-mail, the compliance 

statement must be provided in PDF 

format (which shows the original 

signature). 

§ 431.328 Sampling. 

For purposes of a certification of 

compliance, the determination that a 

basic model complies with the 

applicable energy conservation standard 

shall be based upon the testing and 

sampling procedures, and other 

applicable rating procedures, set forth in 

this part. For purposes of a certification 

of compliance, the determination that a 

basic model complies with the 

applicable design standard shall be 

based on the incorporation of specific 

design requirements specified in this 

part. 

§ 431.329 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 re-verification 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 its 

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 S, Appendix 

C (Sampling Plan for Enforcement 

Testing). 

(4) Test unit selection. For metal 

halide lamp ballasts, the following 

applies: 

(i) 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. 

(ii) The batch may be subdivided by 

the Department using criteria specified 

in the test notice. 

(iii) 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. 

(iv) The Department will randomly 

select individual test units comprising 

the test sample from the batch sample. 

(v) 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. 

(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 

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 may authorize 

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

(6) Testing at manufacturer’s option. 

(i) If the Department determines a basic 

model to be in noncompliance with the 

applicable energy performance standard 

at the conclusion of its initial 

enforcement sampling plan testing, the 

manufacturer may request that the 

Department conduct additional testing 

of the basic model. Additional testing 

under this paragraph must be in 

accordance with the applicable test 

procedure, and for metal halide lamp 

ballasts, the applicable provisions in 

Appendix C to Subpart S to Part 431. 

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10970 Federal Register / Vol. 75, No. 45 / Tuesday, March 9, 2010 / Rules and Regulations 

(ii) All units tested under this 

paragraph shall be selected and tested in 

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

and (a)(2) through (5) of this section. 

(iii) The manufacturer shall bear the 

cost of all testing conducted under this 

paragraph. 

(iv) The Department will advise the 

manufacturer of the method for 

selecting the additional units for testing 

under the sampling plan, the date and 

time at which testing is scheduled 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 S of Part 431— 

Compliance Statement for Metal Halide 

Lamp Ballasts 

Equipment: Metal Halide Lamp Ballasts 

Manufacturer’s or Private Labeler’s Name and 

Address: 

lllllllllllllllllllll

lllllllllllllllllllll

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

this Compliance Statement under 10 CFR 

Part 431 (Energy Efficiency Program for 

Certain Commercial and Industrial 

Equipment) and Part A 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 metal halide 

lamp ballasts subject to energy conservation 

standards specified in 10 CFR Part 431 that 

this company manufactures 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 all Certification Reports submitted by or 

on behalf of this company. All information in 

such Certification Report(s) and in this 

Compliance Statement is true, accurate, and 

complete. The company pledges that all this 

information in any future Compliance 

Statement(s) and Certification Report(s) will 

meet these standards, and that the company 

will comply with the energy conservation 

requirements in 10 CFR Part 431 with regard 

to any new basic model it distributes in the 

future. The company is aware of the penalties 

associated with violations of the Act and the 

regulations thereunder, and is also aware of 

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

which prohibits knowingly making false 

statements to the Federal Government. 

Name of Company Official: llllllll

Signature of Company Official: llllll

Title: llllllllllllllllll

Firm or Organization: llllllllll

Date: llllllllllllllllll

Name of Person to Contact for Further 

Information: 

Address: llllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

Email: lllllllllllllllll

Third-Party Representation (if applicable) 

For certification reports prepared and 

submitted by a third-party organization 

under the provisions of 10 CFR Part 431, the 

company official who authorized said thirdparty representation is: 

Name: lllllllllllllllll

Title: llllllllllllllllll

Address: llllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

Email: lllllllllllllllll

The third-party organization authorized to 

act as representative: 

Third-Party Organization: llllllll

Address: llllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

Email: lllllllllllllllll

Submit by Certified Mail to: U.S. Department 

of Energy, Building Technologies Program, 

Mailstop EE–2J, 1000 Independence Avenue, 

SW, Washington, DC 20585–0121. Submit by 

e-mail in PDF format (which shows original 

signature) to the U.S. Department of Energy, 

Buildings Technologies Program at: 

certification.report.@ee.doe.gov. 

Appendix B to Subpart S to Part 431— 

Certification Report for Metal Halide 

Lamp Ballasts 

All information reported in this Certification 

Report(s) is true, accurate, and complete. The 

company is aware of the penalties associated 

with violations of the Act, the regulations 

thereunder, and is also aware of the 

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

which prohibits knowingly making false 

statements to the Federal Government. 

Name of Company Official or Third-Party 

Representative: 

lllllllllllllllllllll

Signature of Company Official or Third-Party 

Representative: 

lllllllllllllllllllll

Title: llllllllllllllllll

Date: llllllllllllllllll

Equipment Type: llllllllllll

Manufacturer: llllllllllllll

Name of Person to Contact for Further 

Information: 

lllllllllllllllllllll

Address: llllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

E-mail: lllllllllllllllll

For Existing, New, or Modified Models: 

[Provide specific equipment information 

including, for each basic model, the product 

class, the manufacturer’s model number(s), 

and the other information required in 

431.327(a)(6)(i).] 

For Discontinued Models: [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. Submit by 

E-mail to: U.S. Department of Energy, 

Buildings Technologies Program, 

certification.report@ee.doe.gov. 

Appendix C to Subpart S of Part 431— 

Enforcement for Performance 

Standards; Compliance Determination 

Procedure for Metal Halide Lamp 

Ballasts 

DOE will determine compliance as follows: 

(a) After it has determined the sample size, 

DOE will measure the energy performance for 

each unit in accordance with the following 

table: 

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Federal Register / Vol. 75, No. 45 / Tuesday, March 9, 2010 / Rules and Regulations 10971 

Sample size Number of tests for 

each unit 

4 1 

3 1 

2 2 

1 4 

(b) Compute the mean of the measured 

energy performance (x1) for all tests as 

follows: 

x n xi

i

n

1

1 1

1 1 1

= ⎧

⎨

⎪

⎩⎪

⎫

⎬

⎪

⎭⎪ [ ] =

∑

Where xi is the measured energy efficiency 

or consumption from test i, and n1 is the total 

number of tests. 

(c) Compute the standard deviation (S1) of 

the measured energy performance from the n1

tests as follows: 

S

x x

n

i

i

n

1

1

2

1

1

1

1 = 2

( ) −

− [ ] =

∑

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

measured energy performance from the n1

tests as follows: 

S S

n x1

1

1

= [ ] 3

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

compute the lower control limit (LCL1) 

according to: 

LCL EPS ts a 1 x1 = − [ ] 4

or 

LCL1 = 97 5. EPS 4b [ ]

(whichever is greater) 

(2) For an energy use standard, compute 

the upper control limit (UCL1) according to: 

UCL EPS ts a 1 x1 = + [ ] 5

or 

(whichever is less) 

UCL1= 1 025 . EPS 5b [ ]

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 

not in compliance. 

[FR Doc. 2010–3841 Filed 3–8–10; 8:45 am] 

BILLING CODE 6450–01–P 


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