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APPENDIX 3A. METAL HALIDE LAMP FIXTURES IN THE UNITED STATES

CODE AND CODE OF FEDERAL REGULATIONS

TABLE OF CONTENTS

3A.1 INTRODUCTION ........................................................................................................ 3A-1

3A.2 EPCA DIRECTIVES REGARDING METAL HALIDE LAMP BALLASTS ........... 3A-1

3A.3 DEFINITIONS.............................................................................................................. 3A-2

3A.4 TEST PROCEDURES.................................................................................................. 3A-7
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APPENDIX 3A. METAL HALIDE LAMP FIXTURES IN THE UNITED STATES

CODE AND CODE OF FEDERAL REGULATIONS

3A.1 INTRODUCTION

This appendix lists the relevant requirements and definitions that apply to metal halide

lamp fixtures listed in the in the energy policy and conservation act (EPCA) and in the code of 

federal regulations (CFR). 

3A.2 EPCA DIRECTIVES REGARDING METAL HALIDE LAMP BALLASTS

This section lists the relevant statutory requirements under 42 U.S.C. 6295(hh) (i.e., 

section 325(hh) of EPCA, as amended by the Energy Independence and Security Act of 2007) 

that apply to metal halide lamp fixtures. On December 19, 2007, the President signed into law 

the Energy Independence and Security Act of 2007 (EISA 2007) (P.L. 110-140). This legislation 

amended certain aspects of EPCA, including, in particular, the addition of mandatory efficiency 

standards for metal halide lamp fixtures (see section 324 of EISA 2007). Among other things, 

the new standard for metal halide lamp fixtures establishes requirements for the efficiency of the 

ballasts installed in metal halide lamp fixtures.

42 U.S.C. 6295(hh). Metal Halide Lamp Fixtures

(1) Standards. —

(A) In general.—

Subject to subparagraphs (B) and (C), metal halide lamp fixtures designed to be operated 

with lamps rated greater than or equal to 150 watts but less than or equal to 500 watts 

shall contain—

(i) a pulse-start metal halide ballast with a minimum ballast efficiency of 88 percent;

(ii) a magnetic probe-start ballast with a minimum ballast efficiency of 94 percent; or

(iii) a nonpulse-start electronic ballast with—

(I) a minimum ballast efficiency of 92 percent for wattages greater than 250 

watts; and

(II) a minimum ballast efficiency of 90 percent for wattages less than or equal to 

250 watts.

(B) Exclusions.—

The standards established under subparagraph (A) shall not apply to—

(i) fixtures with regulated lag ballasts; 

(ii) fixtures that use electronic ballasts that operate at 480 volts; or

(iii) fixtures that—

(I) are rated only for 150 watt lamps;
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(II) are rated for use in wet locations, as specified by the National Electrical Code 

2002, section 410.4(A); and

(III) contain a ballast that is rated to operate at ambient air temperatures above 

50°C, as specified by UL 1029–2001.

(C) Application.—

The standards established under subparagraph (A) shall apply to metal halide lamp 

fixtures manufactured on or after the later of—

(i) January 1, 2009; or

(ii) the date that is 270 days after the date of enactment of this subsection.

(2) Final rule by January 1, 2012. —

(A) In general. —

Not later than January 1, 2012, the Secretary shall publish a final rule to determine 

whether the standards established under paragraph (1) should be amended.

(B) Administration. —

The final rule shall—

(i) contain any amended standard; and

(ii) apply to products manufactured on or after January 1, 2015.

(3) Final rule by January 1, 2019. —

(A) In general.

Not later than January 1, 2019, the Secretary shall publish a final rule to determine 

whether the standards then in effect should be amended.

(B) Administration.—

The final rule shall—

(i) contain any amended standards; and

(ii) apply to products manufactured after January 1, 2022.

(4) Design and performance requirements. —

Notwithstanding any other provision of law, any standard established pursuant to this 

subsection may contain both design and performance requirements.

3A.3 DEFINITIONS

This section provides the relevant definitions under the statute (42 U.S.C. 6291) and DOE 

regulations (10 CFR 431.322) that are applicable to this rulemaking. DOE takes the definitions 

from the statute and codifies them into the CFR; therefore, some terms in this section may be 

listed twice. 

“High Intensity Discharge Lamp”

42 U.S.C. 6291(46)

(46) High Intensity Discharge Lamp. 

(A) In general. 

The term ‘high intensity discharge lamp’ means an electric-discharge lamp in which--

(i) the light-producing arc is stabilized by the arc tube wall temperature; and
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(ii) the arc tube wall loading is in excess of 3 Watts/cm2.

(B) Inclusions. 

The term ‘high intensity discharge lamp’ includes mercury vapor, metal halide, and 

high-pressure sodium lamps described in subparagraph (A).

“Ballast”

42 U.S.C. 6291(58)

(58) Ballast. —The term ‘ballast’ means a device used with an electric discharge lamp to 

obtain necessary circuit conditions (voltage, current, and waveform) for starting and 

operating.

“Ballast Efficiency”

42 U.S.C. 6291(59)

(59) Ballast efficiency.—

(A) In general.—

The term ‘ballast efficiency’ means, in the case of a high intensity discharge fixture, the 

efficiency of a lamp and ballast combination, expressed as a percentage, and calculated 

in accordance with the following formula: Efficiency = Pout/Pin.

(B) Efficiency formula.—

For the purpose of subparagraph (A)—

(i) Pout shall equal the measured operating lamp wattage;

(ii) Pin shall equal the measured operating input wattage;

(iii) the lamp, and the capacitor when the capacitor is provided, shall constitute a 

nominal system in accordance with the ANSI Standard C78.43–2004;

(iv) for ballasts with a frequency of 60 Hz, Pin and Pout shall be measured after 

lamps have been stabilized according to section 4.4 of ANSI Standard C82.6–

2005 using a wattmeter with accuracy specified in section 4.5 of ANSI Standard 

C82.6–2005; and 

(v) for ballasts with a frequency greater than 60 Hz, Pin and Pout shall have a basic 

accuracy of ± 0.5 percent at the higher of—

(I) 3 times the output operating frequency of the ballast; or

(II) 2 kHz for ballast with a frequency greater than 60 Hz.

(C) Modification. —

The Secretary may, by rule, modify the definition of ‘ballast efficiency’ if the Secretary 

determines that the modification is necessary or appropriate to carry out the purposes of 

this Act.

“Electronic Ballast”

42 U.S.C. 6291(60)
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(60) Electronic ballast.—The term ‘electronic ballast’ means a device that uses 

semiconductors as the primary means to control lamp starting and operation.

“General Lighting Application”

42 U.S.C. 6291(61)

(61) General lighting application. —The term ‘general lighting application’ means lighting 

that provides an interior or exterior area with overall illumination.

“Metal Halide Ballast”

42 U.S.C. 6291(62)

(62) Metal halide ballast. —The term ‘metal halide ballast’ means a ballast used to start 

and operate metal halide lamps.

“Metal Halide Lamp”

42 U.S.C. 6291(63)

(63) Metal halide lamp.—The term ‘metal halide lamp’ means a high intensity discharge 

lamp in which the major portion of the light is produced by radiation of metal halides and 

their products of dissociation, possibly in combination with metallic vapors.

“Metal Halide Lamp Fixture”

42 U.S.C. 6291(64)

(64) Metal halide lamp fixture.—The term ‘metal halide lamp fixture’ means a light fixture 

for general lighting application designed to be operated with a metal halide lamp and a 

ballast for a metal halide lamp.

“Probe-start Metal Halide Ballast”

42 U.S.C. 6291(60)

(65) Probe-start metal halide ballast. —The term ‘probe-start metal halide ballast’ means a 

ballast that—

(A) starts a probe-start metal halide lamp that contains a third starting electrode (probe) 

in the arc tube; and

(B) does not generally contain an igniter but instead starts lamps with high ballast open 

circuit voltage.
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“Pulse-start Metal Halide Ballast”

42 U.S.C. 6291(60)

(66) Pulse-start metal halide ballast.—

(A) In general.—

The term ‘pulse-start metal halide ballast’ means an electronic or electromagnetic 

ballast that starts a pulse-start metal halide lamp with high voltage pulses.

(B) Starting process.— For the purpose of subparagraph (A)—

(i) lamps shall be started by first providing a high voltage pulse for ionization of 

the gas to produce a glow discharge; and

(ii) to complete the starting process, power shall be provided by the ballast to 

sustain the discharge through the glow-to-arc transition.

DEFINITIONS IN DOE REGULATIONS

10 CFR 431.322 – Definitions

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.

Ballast efficiency means, in the case of a high intensity discharge fixture, the efficiency of a lamp 

and ballast combination, expressed as a percentage, and calculated in accordance with the 

following formula: Efficiency = Pout/Pin where:

(1) Pout equals the measured operating lamp wattage;

(2) Pin equals the measured operating input wattage;

(3) The lamp, and the capacitor when the capacitor is provided, shall constitute a nominal 

system in accordance with the ANSI C78.43, (incorporated by reference; see §431.323);

(4) For ballasts with a frequency of 60 Hz, Pin and Pout shall be measured after lamps 

have been stabilized according to section 4.4 of ANSI C82.6 (incorporated by reference; 

see §431.323) using a wattmeter with accuracy specified in section 4.5 of ANSI C82.6; 

and
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(5) For ballasts with a frequency greater than 60 Hz, Pin and Pout shall have a basic 

accuracy of ±0.5 percent at the higher of either 3 times the output operating frequency of 

the ballast or 2.4 kHz.

Basic model means all units of a given type of covered product (or class thereof) manufactured 

by one manufacturer, having the same primary energy source, and which have essentially 

identical electrical, physical, and functional (or hydraulic) characteristics that affect energy

consumption, energy efficiency, water consumption, or water efficiency, and are rated to operate 

a given lamp type and wattage.

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.

Metal halide ballast means a ballast used to start and operate metal halide lamps.

Metal halide lamp means a high intensity discharge lamp in which the major portion of the light 

is produced by radiation of metal halides and their products of dissociation, possibly in 

combination with metallic vapors.

Metal halide lamp fixture means a light fixture for general lighting application designed to be 

operated with a metal halide lamp and a ballast for a metal halide lamp.

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.

Probe-start metal halide ballast means a ballast that starts a probe-start metal halide lamp that 

contains a third starting electrode (probe) in the arc tube, and does not generally contain an 

igniter but instead starts lamps with high ballast open circuit voltage.

Pulse-start metal halide ballast means an electronic or electromagnetic ballast that starts a pulsestart metal halide lamp with high voltage pulses, where lamps shall be started by the ballast first 

providing a high voltage pulse for ionization of the gas to produce a glow discharge and then 

power to sustain the discharge through the glow-to-arc transition.

Standby mode means the condition in which an energy-using product:
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(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.

3A.4 TEST PROCEDURES

10 CFR 431.324 outlines the DOE test procedure for measuring the energy consumption of metal 

halide lamp ballasts.