This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

37069 

Vol. 86, No. 132 

Wednesday, July 14, 2021 

DEPARTMENT OF ENERGY 

10 CFR Part 431 

[EERE–2017–BT–TP–0053] 

RIN 1904–AE17 

Energy Conservation Program: Test 

Procedure for Metal Halide Lamp 

Fixtures 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Notice of proposed rulemaking 

and request for comment. 

SUMMARY: The U.S. Department of 

Energy (‘‘DOE’’) proposes to amend its 

test procedures for metal halide lamp 

fixtures (‘‘MHLFs’’) to incorporate by 

reference the latest versions of relevant 

industry standards; clarify the selection 

of reference lamps used for testing; 

reorganize the content of the test 

procedure for better readability and 

clarity; and revise the standby mode test 

procedure for MHLFs. DOE is seeking 

comment from interested parties on the 

proposal. 

DATES: DOE will accept comments, data, 

and information regarding this notice of 

proposed rulemaking (‘‘NOPR’’) no later 

than September 13, 2021. DOE will hold 

a webinar on Thursday, August 5, 2021, 

from 10:00 a.m. to 2:00 p.m. See section 

V, ‘‘Public Participation,’’ for details. 

ADDRESSES: Interested persons are 

encouraged to submit comments using 

the Federal eRulemaking Portal at 

https://www.regulations.gov. Follow the 

instructions for submitting comments. 

Alternatively, interested persons may 

submit comments, identified by docket 

number EERE–2017–BT–TP–0053, by 

any of the following methods: 

1. Federal eRulemaking Portal: 

https://www.regulations.gov. Follow the 

instructions for submitting comments. 

2. Email: to MHLF2017TP0053@

ee.doe.gov. Include docket number 

EERE–2017–BT–TP–0053 in the subject 

line of the message. 

No telefacsimiles (‘‘faxes’’) will be 

accepted. For detailed instructions on 

submitting comments and additional 

information on this process, see section 

V of this document. 

Although DOE has routinely accepted 

public comment submissions through a 

variety of mechanisms, including postal 

mail and hand delivery/courier, the 

Department has found it necessary to 

make temporary modifications to the 

comment submission process in light of 

the ongoing Covid–19 pandemic. DOE is 

currently suspending receipt of public 

comments via postal mail and hand 

delivery/courier. If a commenter finds 

that this change poses an undue 

hardship, please contact Appliance 

Standards Program staff at (202) 586– 

1445 to discuss the need for alternative 

arrangements. Once the Covid–19 

pandemic health emergency is resolved, 

DOE anticipates resuming all of its 

regular options for public comment 

submission, including postal mail and 

hand delivery/courier. 

Docket: The docket, which includes 

Federal Register notices, comments, 

and other supporting documents/ 

materials, is available for review at 

https://www.regulations.gov. All 

documents in the docket are listed in 

the https://www.regulations.gov index. 

However, some documents listed in the 

index, such as those containing 

information that is exempt from public 

disclosure, may not be publicly 

available. 

The docket web page can be found at 

https://www.regulations.gov/ 

docket?D=EERE-2017-BT-TP-0053. The 

docket web page will contain simple 

instructions on how to access all 

documents, including public comments, 

in the docket. See section V for 

information on how to submit 

comments through https://

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: Dr. 

Stephanie Johnson, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Office, EE–5B, 1000 

Independence Avenue SW, Washington, 

DC 20585–0121. Telephone: (202) 287– 

1943. Email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

Mr. Prescott Heighton, U.S. 

Department of Energy, Office of the 

General Counsel, GC–33, 1000 

Independence Avenue SW, Washington, 

DC 20585–0121. Telephone: (518) 209– 

1336. Email: Prescott.Heighton@

Hq.Doe.Gov. 

For further information on how to 

submit a comment or review other 

public comments and the docket, 

contact the Appliance and Equipment 

Standards Program staff at (202) 287– 

1445 or by email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

SUPPLEMENTARY INFORMATION: DOE 

proposes to incorporate by reference the 

following industry standards into 10 

CFR part 431: 

American National Standards Institute 

(‘‘ANSI’’) C78.43 (ANSI C78.43–2017), 

‘‘American National Standard for 

Electric Lamps—Single-Ended Metal 

Halide Lamps,’’ approved December 

21, 2017. 

ANSI C78.44 (ANSI C78.44–2016), 

‘‘American National Standard for 

Electric Lamps—Double-Ended Metal 

Halide Lamps,’’ approved July 1, 

2016. 

ANSI C82.6–2015 (R2020) (ANSI C82.6– 

2015 (R2020)), ‘‘American National 

Standard for Lamp Ballasts—Ballasts 

for High-Intensity Discharge Lamps— 

Methods of Measurement,’’ approved 

March 30, 2020. 

ANSI C82.9 (ANSI C82.9–2016), 

‘‘American National Standard for 

Electric Lamps— High Intensity 

Discharge and Low-Pressure Sodium 

Lamps—Definitions,’’ approved July 

12, 2016. 

International Electrotechnical 

Commission (‘‘IEC’’) 62301 (IEC 

62301), ‘‘Household electrical 

appliances—Measurement of standby 

power’’ (Edition 2.0, 2011–01). 

Copies of ANSI C78.43–2017, ANSI 

C78.44–2016, ANSI C82.6–2015 

(R2020), and ANSI C82.9–2016 are 

available at www.ansi.org or 

www.nema.org. Copies of IEC 

62301:2011 are available on IEC’s 

website at https://webstore.iec.ch/home. 

For a discussion of these standards, 

see section IV.M. 

Table of Contents 

I. Authority and Background 

A. Authority 

B. Background 

II. Synopsis of the Notice of Proposed 

Rulemaking 

III. Discussion 

A. Overall 

B. Scope 

C. References to Industry Standards 

1. ANSI C82.6 


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1All references to EPCA in this document refer 

to the statute as amended through the Energy Act 

of 2020, Public Law 116–260 (Dec. 27, 2020). 

2For editorial reasons, upon codification in the 

U.S. Code, Part B was re-designated Part A. 

3Because of its placement in Part A of Title III 

of EPCA, the rulemaking for MHLFs is bound by the 

requirements of 42 U.S.C. 6292. However, because 

MHLFs are generally considered commercial 

equipment, as a matter of administrative 

convenience and to minimize confusion among 

interested parties, DOE adopted MHLF provisions 

into subpart S of 10 CFR part 431. 74 FR 12058, 

12062 (Mar. 23, 2009). Therefore, DOE will refer to 

MHLFs as ‘‘equipment’’ throughout the NOPR 

because of their placement in 10 CFR part 431. 

When the NOPR refers to specific provisions in Part 

A of EPCA, the term ‘‘product’’ is used. The 

location of provisions within the CFR does not 

affect either their substance or applicable 

procedure. 

4 IEC 62301, Household electrical appliances— 

Measurement of standby power (Edition 2.0, 2011– 

01). Published January 27, 2011. 

5 IEC 62087, Methods of measurement for the 

power consumption of audio, video, and related 

equipment (Edition 3.0). Published April 13, 2011. 

2. ANSI C78.43 

3. ANSI C78.44 and ANSI C82.9 

4. IEC 62301 

D. Proposed Amendments to Active Mode 

Test Method 

1. Test Conditions and Setup 

a. General Test Conditions 

b. Dimming Ballast 

c. Reference Lamps 

2. Test Method 

a. Stabilization Criteria 

b. Test Measurements 

c. Calculations 

d. High-Frequency Electronic Ballasts 

E. Proposed Amendments to Standby Mode 

Test Method 

1. Test Conditions and Setup 

2. Test Method and Measurement 

F. Definitions 

G. Compliance Dates and Waivers 

H. Test Procedure Costs, Harmonization, 

and Other Topics 

1. Test Procedure Costs, Burdens and 

Impact 

2. Harmonization With Industry Standards 

3. Other Test Procedure Topics 

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 of 1969 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under 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. Description of Materials Incorporated 

by Reference 

V. Public Participation 

A. Participation in the Webinar 

B. Submission of Comments 

C. Issues on Which DOE Seeks Comment 

VI. Approval of the Office of the Secretary 

I. Authority and Background 

MHLFs are included in the list of 

‘‘covered products’’ for which DOE is 

authorized to establish and amend 

energy conservation standards and test 

procedures. (42 U.S.C. 6295(a)(19)) 

DOE’s energy conservation standards 

and test procedures for MHLFs are 

currently prescribed at subpart S of the 

Code of Federal Regulations (‘‘CFR’’), 

part 431, §§ 431.326 and 431.324. The 

following sections discuss DOE’s 

authority to establish test procedures for 

MHLFs and relevant background 

information regarding DOE’s 

consideration of test procedures for this 

equipment. 

A. Authority 

The Energy Policy and Conservation 

Act, as amended (‘‘EPCA’’),1 authorizes 

DOE to regulate the energy efficiency of 

a number of consumer products and 

certain industrial equipment. (42 U.S.C. 

6311–6317) Title III, Part B 2 of EPCA 

established the Energy Conservation 

Program for Consumer Products Other 

Than Automobiles, which sets forth a 

variety of provisions designed to 

improve energy efficiency. These 

products include metal halide lamp 

fixtures, the subject of this document.3

(42 U.S.C. 6292(a)(19)) MHLFs contain 

metal halide lamp ballasts. Because the 

MHLF energy conservation standards in 

EPCA established a minimum efficiency 

for the ballasts incorporated into those 

fixtures, this test procedure requires 

measurement of metal halide lamp 

ballast efficiency. (42 U.S.C. 

6295(hh)(1)(A)) 

The energy conservation program 

under EPCA consists essentially of four 

parts: (1) Testing, (2) labeling, (3) 

Federal energy conservation standards, 

and (4) certification and enforcement 

procedures. Relevant provisions of the 

EPCA specifically include definitions 

(42 U.S.C. 6291), energy conservation 

standards (42 U.S.C. 6295), test 

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

provisions (42 U.S.C. 6294), and the 

authority to require information and 

reports from manufacturers (42 U.S.C. 

6296). 

The Federal testing requirements 

consist of test procedures that 

manufacturers of covered products must 

use as the basis for: (1) Certifying to 

DOE that their products comply with 

the applicable energy conservation 

standards adopted pursuant to EPCA (42 

U.S.C. 6295(s)), and (2) making 

representations about the efficiency of 

those products (42 U.S.C. 6293(c)). 

Similarly, DOE must use these test 

procedures for testing to determine 

whether the products comply with any 

relevant standards promulgated under 

EPCA. (42 U.S.C. 6295(s)) 

Federal energy efficiency 

requirements for covered products 

established under EPCA generally 

supersede State laws and regulations 

concerning energy conservation testing, 

labeling, and standards. (42 U.S.C. 6297) 

DOE may, however, grant waivers of 

Federal preemption for particular State 

laws or regulations, in accordance with 

the procedures and other provisions of 

EPCA. (42 U.S.C. 6297(d)) 

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

the criteria and procedures DOE must 

follow when prescribing or amending 

test procedures for covered products. 

EPCA requires that any 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 and 

shall not be unduly burdensome to 

conduct. (42 U.S.C. 6293(b)(3)) 

In addition, EPCA requires that DOE 

amend its test procedures for all covered 

products to integrate measures of 

standby mode and off mode energy 

consumption. (42 U.S.C. 6295(gg)(2)(A)) 

Standby mode and off mode energy 

consumption must be incorporated into 

the overall energy efficiency, energy 

consumption, or other energy descriptor 

for each covered product unless the 

current test procedures already account 

for and incorporate standby and off 

mode energy consumption or such 

integration is technically infeasible. If 

an integrated test procedure is 

technically infeasible, DOE must 

prescribe a separate standby mode and 

off mode energy use test procedure for 

the covered product, if technically 

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

Any such amendment must consider the 

most current versions of the 

International Electrotechnical 

Commission (‘‘IEC’’) Standard 62301 4

and IEC Standard 62087,5 as applicable. 

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

EPCA also requires that, at least once 

every 7 years, DOE evaluate test 

procedures for each type of covered 

products, including MHLFs, to 

determine whether amended test 

procedures would more accurately or 

fully comply with the requirements for 

the test procedures to not be unduly 

burdensome to conduct and be 

reasonably designed to produce test 


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6 DOE has historically provided a 75-day 

comment period for test procedure NOPRs, 

consistent with the comment period requirement 

for technical regulations in the North American 

Free Trade Agreement, U.S.-Canada-Mexico 

(‘‘NAFTA’’), Dec. 17, 1992, 32 I.L.M. 289 (1993); the 

North American Free Trade Agreement 

Implementation Act, Public Law 103–182, 107 Stat. 

2057 (1993) (codified as amended at 10 U.S.C.A. 

2576) (1993) (‘‘NAFTA Implementation Act’’); and 

Executive Order 12889, ‘‘Implementation of the 

North American Free Trade Agreement,’’ 58 FR 

69681 (Dec. 30, 1993). However, Congress repealed 

the NAFTA Implementation Act and has replaced 

NAFTA with the Agreement between the United 

States of America, the United Mexican States, and 

the United Canadian States (‘‘USMCA’’), Nov. 30, 

2018, 134 Stat. 11, thereby rendering E.O. 12889 

inoperable. Consequently, since the USMCA is 

consistent with EPCA’s public comment period 

requirements and normally requires only a 

minimum comment period of 60 days for technical 

regulations, DOE now provides a 60-day public 

comment period for test procedure NOPRs. 

7EPCA defines ‘off mode’ 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)) 

8American National Standards Institute. 

American National Standard for lamp ballasts— 

Ballasts for High-Intensity Discharge Lamps— 

Methods of Measurement. Approved February 14, 

2005. 

9American National Standards Institute. 

American National Standard for electric lamps— 

Single-Ended Metal Halide Lamps. Approved April 

8, 2013. 

results that reflect energy efficiency, 

energy use, and estimated operating 

costs during a representative average 

use cycle. (42 U.S.C. 6293(b)(1)(A) and 

(b)(3)) 

If the Secretary determines, on her 

own behalf or in response to a petition 

by any interested person, that a test 

procedure should be prescribed or 

amended, the Secretary shall promptly 

publish in the Federal Register 

proposed test procedures and afford 

interested persons an opportunity to 

present oral and written data, views, 

and arguments with respect to such 

procedures. The comment period on a 

proposed rule to amend a test procedure 

shall be at least 60 days and may not 

exceed 270 days.6 In prescribing or 

amending a test procedure, the 

Secretary shall take into account such 

information as the Secretary determines 

relevant to such procedure, including 

technological developments relating to 

energy use or energy efficiency of the 

type (or class) of covered products 

involved. (42 U.S.C. 6293(b)(2)) If DOE 

determines that test procedure revisions 

are not appropriate, DOE must publish 

its determination not to amend the test 

procedures. DOE is publishing this 

notice of proposed rulemaking 

(‘‘NOPR’’) in satisfaction of the 7-year 

review requirement specified in EPCA 

for both the active mode and standby 

mode test procedures for MHLFs. (42 

U.S.C. 6293(b)(1)(A)) At this time, DOE 

has tentatively determined that a MHLF 

does not have an ‘‘off mode,’’ as defined 

by EPCA (see section I.B for further 

details).7

B. Background 

DOE’s existing test procedures for 

MHLFs for active mode and standby 

mode operation appear at Title 10 of the 

Code of Federal Regulations (‘‘CFR’’) 

part 431, subpart S, § 431.324 (‘‘Uniform 

test method for the measurement of 

energy efficiency and standby mode 

energy consumption of metal halide 

lamp ballasts’’). 

The Energy Independence and 

Security Act of 2007 (Pub. L. 110–140; 

EISA 2007) amended EPCA, requiring 

DOE to establish test procedures for 

metal halide lamp ballasts based on the 

industry standard American National 

Standards Institute (‘‘ANSI’’) C82.6– 

2005. (42 U.S.C. 6293(b)(18)) On March 

9, 2010, DOE published a final rule 

establishing active mode and standby 

mode test procedures for MHLFs based 

on measuring ballast efficiency in 

accordance with ANSI C82.6–2005 8

(‘‘2010 MHLF TP final rule’’). 75 FR 

10950. In the 2010 MHLF TP final rule, 

DOE determined that per EPCA’s 

definition of ‘‘off mode,’’ MHLFs do not 

operate in off mode because there is no 

condition in which the components of 

an MHLF are connected to the main 

power source and are not already in a 

mode accounted for in either active or 

standby mode. 75 FR 10954–10955. 

EISA 2007 also prescribed mandatory 

minimum efficiency levels for certain 

MHLFs manufactured on or after 

January 1, 2009. (42 U.S.C. 6295(hh)(1)) 

DOE published a final rule amending 

energy conservation standards for 

MHLFs on February 10, 2014 (‘‘2014 

MHLF ECS final rule’’). 79 FR 7746. 

These amended standards apply to all 

equipment manufactured in, or 

imported into, the United States on or 

after February 10, 2017. In the 2014 

MHLF ECS final rule, DOE also 

amended the then-existing test 

procedure to specify the input voltage at 

which a ballast is to be tested and to 

require measuring and calculating 

ballast efficiency to three significant 

figures. 79 FR 7758. 

For this rulemaking, DOE has 

reviewed the current active mode and 

standby mode test procedures for 

MHLFs to determine whether any 

amendments are necessary. 

On May 30, 2018, DOE published in 

the Federal Register a request for 

information seeking comments on the 

current test procedure for MHLFs (‘‘May 

2018 RFI’’). 83 FR 24680. In the May 

2018 RFI, DOE requested comments, 

information and data regarding several 

issues, including (1) the availability of 

reference lamps; (2) updates to the 

incorporated ANSI standards and the 

potential incorporation by reference of 

recent Illuminating Engineering Society 

(‘‘IES’’), IEC, and ANSI standards; (3) 

the potential impact of referencing the 

updated standard ANSI C78.43–2013 9

in the definition of ‘‘ballast efficiency’’ 

and the need for clarifying the term 

‘‘nominal system’’ in the definition of 

‘‘ballast efficiency’’; (4) the prevalence 

of metal halide lamp ballasts capable of 

operating more than one lamp wattage, 

and how this equipment should be 

tested; (5) the appropriate light output 

for testing metal halide dimming 

ballasts; (6) the availability and power 

consumption of metal halide ballasts 

capable of operating in standby mode; 

and (7) whether high frequency 

electronic metal halide ballasts can be 

tested with the same equipment as high 

frequency electronic fluorescent lamp 

ballasts. Id. DOE received comments in 

response to the May 2018 RFI from the 

National Electrical Manufacturers 

Association (‘‘NEMA’’). This document 

addresses information and comments 

received in response to the May 2018 

RFI, and proposes amendments to the 

test procedures for MHLFs. 

II. Synopsis of the Notice of Proposed 

Rulemaking 

In this NOPR, DOE proposes to revise 

its test procedures for MHLFs to: (1) 

Update references to industry standards; 

(2) clarify the selection of reference 

lamps to be tested with metal halide 

lamp ballasts; (3) reorganize the content 

of the test procedure for better 

readability and clarity; and (4) reference 

IEC 62301:2011 and clarify instructions 

for measuring standby mode energy 

consumption of metal halide lamp 

ballasts. DOE has tentatively determined 

that the proposed amendments 

described in section III of this NOPR 

would not alter the measured efficiency 

of MHLFs, or require retesting or 

recertification solely as a result of DOE’s 

adoption of the proposed amendments 

to the test procedures, if made final. 

Additionally, DOE has tentatively 

determined that the proposed 

amendments, if made final, would not 

increase the cost of testing. DOE’s 

proposed actions are summarized in 

Table II.I and addressed in detail in 

section III of this proposed rulemaking. 


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10A notation in this form provides a reference for 

information that is in the docket of DOE’s 

rulemaking to review test procedures for metal 

halide lamp fixtures (Docket No. EERE–2017–BT– 

TP–0053). This notation indicates that the 

statement preceding the reference is included in 

document number 2 in the docket for the MHLF test 

procedure rulemaking, at pages 2 through 3. 

TABLE II.I—SUMMARY OF CHANGES IN PROPOSED TP RELATIVE TO CURRENT TP 

Current DOE TP Proposed TP Attribution 

References ANSI C78.43–2004, 

which describes characteristics of 

single-ended metal halide lamps.

References the updated version ANSI C78.43–2017 which incorporates new data sheets for additional lamps and updates ballast 

design information in certain data sheets.

Industry TP Update to ANSI 

C78.43–2017, adoption of updated version recommended by 

NEMA. 

Does not reference an industry 

standard for double-ended metal 

halide lamps.

References ANSI C78.44–2016 to specify physical and electrical 

characteristics for double-ended metal halide lamps, consistent 

with the procedure for single-ended metal halide lamps.

Specifies how to test doubleended metal halide lamps. 

To define ‘‘ballast efficiency,’’ references the term ‘‘nominal system’’ in ANSI C78.43–2004, but 

that term does not appear in the 

ANSI standard.

Revises the definition of ‘‘ballast efficiency’’ to remove the term 

‘‘nominal system’’ and moves testing instructions from the definition 

to the test procedure.

Removes inaccurate reference to 

‘‘nominal system’’ in ‘‘ballast efficiency’’ definition. 

Does not define ‘‘reference lamp’’ .. States that metal halide lamps used for testing must meet the definition of a reference lamp found in ANSI C82.9–2016.Defines ‘‘reference lamp’’ by reference to the industry standard 

definition of the term. 

Does not provide direction for the 

light output level at which to test 

dimming ballasts in active mode.

Directs dimming ballasts to be tested in active mode while operating 

at the maximum input power.

Provides necessary direction for 

testing dimming ballasts in active mode. 

Does not provide direction for 

which lamp to use for testing ballasts that can operate lamps of 

more than one wattage, or that 

can operate both quartz and ceramic metal halide lamps.

Directs that ballasts designated with ANSI codes corresponding to 

more than one lamp must be tested with the lamp having the highest nominal lamp wattage as specified in ANSI C78.43–2017 or 

ANSI C78.44–2016, as applicable, and that ballasts designated 

with ANSI codes corresponding to both ceramic metal halide lamps 

(code beginning with ‘‘C’’) and quartz metal halide lamps (code beginning with ‘‘M’’) of the same nominal lamp wattage must be tested with the quartz metal halide lamp. Adds definitions for ‘‘quartz 

metal halide lamp’’ and ‘‘ceramic metal halide lamp’’.

Accommodates new products on 

the market. 

Incorporates by reference ANSI 

C82.6–2005 for the measurement 

of standby mode power.

Incorporates by reference IEC 62301:2011 for the measurement of 

standby mode power.

EPCA requirement. 

III. Discussion 

A. Overall 

In response to the May 2018 RFI, 

NEMA commented that DOE should not 

update the MHLF test procedure. NEMA 

argued that further investment in MHLF 

technology is not warranted, as the 

market for these products is declining 

rapidly. NEMA provided multiple data 

sources illustrating the low installed 

stock of high intensity discharge 

(‘‘HID’’) light sources (which include 

metal halide lamps) and the continued 

reduction in metal halide usage 

expected due to increased LED 

penetration. (NEMA, No. 2 at pp. 2–3) 10

NEMA also provided metal halide 

ballast shipment indices which showed 

that metal halide ballast shipments have 

been declining since 2014. (NEMA, No. 

3 at p. 1) NEMA added that the 

replacement of traditional luminaires, 

including metal halide, with LED 

luminaires has already led to substantial 

energy savings and a drop in overall 

energy consumption, and that this 

market shift will continue to decrease 

energy consumption without 

government regulation. NEMA 

concluded that DOE should not update 

the MHLF test procedure or related 

energy conservation standards due to 

diminishing returns on potential energy 

savings; the expected burden of 

implementing new standards and test 

procedures; and the resulting costs 

which would be passed on to the 

consumer. (NEMA, No. 2 at pp. 4–5) 

DOE is required by EPCA to evaluate 

test procedures for each type of covered 

product at least once every 7 years to 

determine whether amended test 

procedures would more accurately or 

fully comply with the requirements for 

the test procedure to not be unduly 

burdensome to conduct and be 

reasonably designed to produce test 

results that reflect energy efficiency, 

energy use, and estimated operating 

costs during a representative average 

use cycle or period of use. (42 U.S.C. 

6293(b)(1)(A)) DOE is conducting this 

rulemaking to satisfy this 7-year EPCA 

review requirement. In this NOPR, DOE 

is only addressing the MHLF test 

procedure and not the applicable energy 

conservation standards. As such, DOE 

did not specifically consider energy 

savings or shipments of MHLFs when 

evaluating whether the test procedure 

should be amended. However, the 

following sections describe the changes 

to the test procedure that DOE proposes 

to make in this NOPR and the reasons 

DOE proposes those changes. Section 

III.H.1 describes the industry costs 

associated with the proposed changes, 

and section IV.B describes the impact 

on small businesses. 

Although DOE is proposing revisions 

only to certain parts of the existing test 

procedure, DOE invites comment on all 

aspects of DOE’s test procedure for 

MHLFs, including those provisions 

appearing at 10 CFR 429.54 and 10 CFR 

part 431, subpart S, as well as comments 

on current best practices and 

technological developments that may 

warrant additional amendments. 

B. Scope 

EPCA and DOE regulations define 

MHLF as a light fixture for general 

lighting applications designed to be 

operated with a metal halide lamp and 

a ballast for a metal halide lamp. (42 

U.S.C. 6291(a)(64) and 10 CFR 431.322). 

Metal halide ballast is defined as a 

ballast used to start and operate metal 

halide lamps. (42 U.S.C. 6291(a)(62) and 

10 CFR 431.322). DOE defines metal 

halide lamp as an HID 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 


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11American National Standards Institute. 

American National Standard for electric lamps— 

Single-Ended Metal Halide Lamps. Approved May 

5, 2004. 12American National Standards Institute. 

American National Standard for Lamp Ballasts— 

Ballasts for High-Intensity Discharge Lamps— 

Methods of Measurement. Approved March 30, 

2020. 13American National Standards Institute. 

American National Standard for electric lamps— 

Single-Ended Metal Halide Lamps. Approved 

December 21, 2017. 14American National Standards Institute. 

American National Standard for Electric Lamps— 

Double-Ended Metal Halide Lamps. Approved July 

1, 2016. 15American National Standards Institute. 

American National Standard for Lamp Ballasts— 

High-Intensity-Discharge and Low-Pressure Sodium 

Lamps-Definitions. Approved July 12, 2016. 

16This document was submitted to the docket of 

DOE’s rulemaking to review energy conservation 

standards for fluorescent lamp ballasts (Docket No. 

EERE–2008–BT–TP–0017). 

17This document was submitted to the docket of 

DOE’s rulemaking to review energy conservation 

standards for fluorescent lamp ballasts (Docket No. 

EERE–2008–BT–TP–0017). 

vapors. (42 U.S.C. 6291(a)(63) and 10 

CFR 431.322). 

C. References to Industry Standards 

The MHLF test procedure currently 

incorporates by reference the 2005 

version of ANSI C82.6 (‘‘ANSI C82.6– 

2005’’) and the 2004 version of ANSI 

C78.43 (‘‘ANSI C78.43–2004’’).11

Industry periodically updates its test 

procedure standards to account for 

changes in technology and/or 

developments in test methodology and 

equipment. In reviewing the current test 

procedure, DOE noted that updated 

versions of the referenced industry 

standards are available. DOE compared 

these updated versions to those versions 

currently referenced by DOE’s test 

procedure to determine to what extent, 

if any, incorporating by reference the 

latest industry standards would alter the 

measured energy efficiency or measured 

energy use, as determined under the 

existing test procedure, as required by 

EPCA. (42 U.S.C. 6293(e)(1)) 

Specifically, DOE reviewed the 2020 

version of ANSI C82.6 (‘‘ANSI C82.6– 

2015 (R2020)’’) 12 and the 2017 version 

of ANSI C78.43 (‘‘ANSI C78.43– 

2017’’) 13 for this purpose. In its review 

of the updated versions of industry 

standards, DOE tentatively determined 

that the changes would not result in a 

change in measured values or test 

burden. (See sections III.C.1 and III.C.2 

for further details.) 

In addition to updating existing 

references to industry standards in 

DOE’s test procedure with the most 

recent versions, DOE proposes to 

incorporate by reference additional 

standards related to the testing of 

MHLFs that are not already referenced 

in the current test procedure. 

Specifically, DOE proposes to 

incorporate by reference ANSI C78.44– 

2016 14 to provide lamp characteristics 

for double-ended metal halide lamps, 

ANSI C82.9–2016 15 to reference certain 

definitions, and IEC 62301:2011 for 

measurement of standby power. (See 

sections III.C.3 and III.C.4 for further 

details.) The following sections discuss 

in detail the new industry standards 

proposed for incorporation in this 

NOPR. 

1. ANSI C82.6 

ANSI C82.6–2005 is an industry 

standard that describes the procedures 

to be followed, and the precautions to 

be taken, in measuring the performance 

of ballasts that operate HID lamps. In a 

public meeting held on December 19, 

2008, during the NOPR stage of the 

rulemaking process culminating in the 

2010 MHLF TP final rule, NEMA 

informed DOE that ANSI C82.6–2005 

was in the process of being revised. 75 

FR 10952. Because the revised ANSI 

C82.6 standard was not complete at the 

time of the 2010 MHLF TP final rule, 

DOE was unable to incorporate it by 

reference in its test procedure for metal 

halide lamp fixtures. Id. However, DOE 

incorporated several of the proposed 

revisions to ANSI C82.6–2005 directly 

in the DOE test procedure based on 

information provided by NEMA in 

written comments. 

DOE’s current test procedure directly 

references ANSI C82.6–2005 for the 

specifications of instruments to be used 

for testing, test conditions and setup, 

and measurements. Specifically, DOE’s 

current test procedure references section 

4 (‘‘General Conditions for Electrical 

Performance Tests’’) and section 6 

(‘‘Ballast Measurements [MultipleSupply Type Ballasts]’’) of ANSI C82.6– 

2005. DOE has identified several 

updates made to sections 4 and 6 in the 

2020 version of ANSI C82.6, all of 

which DOE has tentatively determined 

are minor changes that would help 

further clarify and/or reaffirm the DOE 

test procedure and would not affect 

measured values under the DOE test 

procedure. The following paragraphs 

include a detailed discussion of each 

update. 

First, the 2020 version of ANSI C82.6 

added a requirement that the ballast 

under test must be operated until it 

reaches equilibrium, thereby ensuring 

stable conditions for testing. DOE notes 

that this requirement is already 

included in DOE’s test procedure based 

on feedback received from NEMA in the 

previous rulemaking in anticipation of 

changes to ANSI C82.6–2005. (NEMA, 

No. 24 16 at p. 3) Hence, DOE has 

tentatively determined that, if 

incorporated by reference, this revision 

would not impact measured values. 

Second, the 2020 version of ANSI 

C82.6 provided greater flexibility by 

recommending the use of either a 

‘‘make-before-break’’ or fast-acting 

switch for the basic stabilization method 

when switching a reference lamp from 

a reference ballast circuit to a test ballast 

circuit. Previously, a ‘‘make-beforebreak’’ switch was specified only for 

high pressure sodium lamps. DOE notes 

that this recommendation is already 

included in DOE’s test procedure based 

on feedback received from NEMA in the 

previous rulemaking in anticipation of 

changes to ANSI C82.6–2005. (NEMA, 

No. 24 17 at p. 3) Hence, DOE has 

tentatively determined that this revision 

would not impact measured values. 

Third, the 2020 version of ANSI C82.6 

modified the heading of section 4.4.3 

from ‘‘Alternative Stabilization Method’’ 

to ‘‘Alternative Stabilization Method 

(Electronic Ballasts),’’ indicating that 

the alternative stabilization method is 

for use with electronic ballasts. Because 

DOE’s current test procedure already 

specifies that the alternative 

stabilization method should be used for 

low-frequency electronic ballasts, DOE 

interprets the revised section heading as 

simply a clarification. In addition, ANSI 

C82.6–2015 (R2020) added an annex 

with low-frequency electronic reference 

ballast characteristics (‘‘Annex A LowFrequency Electronic Reference 

Ballast’’) for the testing of low-frequency 

electronic ballasts. DOE has tentatively 

determined that, if incorporated, this 

addition will improve consistency and 

repeatability of measurements under the 

DOE test procedure, and would not 

impact measured values. 

Fourth, the 2020 version of ANSI 

C82.6 added requirements pertaining to 

stabilization. The updated standard 

includes a requirement in the 

alternative stabilization method that 

lamps used for testing should be stable. 

Using a stable lamp in a test would be 

considered industry ‘‘best practice,’’ but 

was not specified as a requirement in 

ANSI C82.6–2005 or the DOE test 

procedure. The alternative stabilization 

method is used when it is not possible 

to keep the lamp from extinguishing, as 

required in the basic stabilization 

method. DOE has tentatively 

determined that, if incorporated, the 

lamp stability requirement would 

provide helpful specificity in the 

alternative stabilization method. 


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18American National Standards Institute. 

American National Standard for Lamp Ballasts— 

Ballasts for High-Intensity Discharge Lamps— 

Methods of Measurement. Approved February 20, 

2015. 

ANSI C82.6–2015 (R2020) also 

defines the term ‘‘operational stability’’ 

in the alternative stabilization method 

as when three consecutive 

measurements of the lamp’s electrical 

characteristics are within 2.5 percent of 

the preceding measurement over a five 

minute period. DOE’s test procedure 

requires only lamp power, rather than 

all lamp electrical characteristics, be 

within 2.5 percent of the preceding 

measurement. DOE has tentatively 

determined that the updated definition 

of ‘‘operational stability,’’ if 

incorporated, would improve testing 

consistency and repeatability when 

using the alternative stabilization 

method, and would not impact 

measured values. (See section III.D.2.a 

for further details on clarifications to 

stabilization criteria in DOE’s test 

procedure.) 

Fifth, the 2020 version of ANSI C82.6 

added a requirement that electronic HID 

ballasts must be measured with digital 

instruments. DOE has tentatively 

determined that, if incorporated, 

measuring electronic HID ballasts with 

digital instruments would improve 

consistency and repeatability of 

measured values, and would not impact 

measured values. 

Sixth, the 2020 version of ANSI C82.6 

updates the list of pertinent 

measurements for electronic and 

magnetic ballasts. Additional 

measurements applicable to both 

electronic and magnetic ballasts include 

those pertaining to: (1) Extinction 

voltage and (2) application 

requirements—end of life. Additional 

measurements applicable only to 

electronic ballasts include: (1) Inrush 

current; (2) hot re-strike time; (3) 

starting time; (4) power regulation; (5) 

rise and fall time; and (6) lamp stability. 

The DOE test procedure requires 

measurements to determine ballast 

efficiency (i.e., ballast input power, 

lamp output power). DOE has 

tentatively determined that because the 

additional measurements listed in ANSI 

C82.6–2015 (R2020) are not necessary to 

determine ballast efficiency, they are 

not required by the DOE test procedure 

and, therefore, will not impact 

measured values. 

Seventh, the 2020 version of ANSI 

C82.6 includes new sections that specify 

instrumentation to use and how to take 

measurements when measuring input 

current; current total harmonic 

distortion (‘‘THD’’); input power; and 

lamp voltage, current, and power for 

determining lamp operating limits. 

Specifications on taking these 

measurements for modulated signals 

were also added. DOE has tentatively 

determined that, if incorporated, 

updated instructions on measuring 

input current THD, input power, and 

lamp voltage, lamp current, and lamp 

power in ANSI C82.6–2015 (R2020) 

would improve consistency and 

repeatability of measured values, and 

would not impact measured values 

under the DOE test procedure. 

Eighth, the 2020 version of ANSI 

C82.6 added an equation specifying that 

ballast efficiency is the reference lamp 

power divided by the ballast input 

power. The DOE test procedure 

specifies that ballast efficiency is 

calculated by dividing the measured 

lamp output power by the measured 

ballast input power. Hence, DOE has 

tentatively determined that because the 

added equation in ANSI C82.6–2015 

(R2020) is the same as DOE’s current 

ballast efficiency equation, it reaffirms 

the DOE test procedure. 

At the time of the publication of the 

May 2018 RFI, the most recent available 

version of ANSI C82.6 was a 2015 

version of the standard.18 Hence, in the 

May 2018 RFI, DOE asked for comment 

on the potential impact of incorporating 

by reference ANSI C82.6–2015 and any 

potential differences in testing under 

the 2015 version of ANSI C82.6, as 

compared to the 2005 version. 83 FR 

24682. In response to DOE’s request, 

NEMA commented that no adverse 

effects would be expected from adopting 

this revised edition of ANSI C82.6. 

NEMA noted that the changes build 

upon the previous version by widening 

its scope to include low-frequency 

square wave electronic ballasts and 

providing clarifications to the standard. 

NEMA cited as enhancements to the 

standard the revised description of the 

alternative stabilization method for 

electronic ballasts; the requirement for 

the exclusive use of digital instruments 

with electronic ballasts; and the 

addition of a ballast efficiency 

calculation as enhancements to the 

standard. (NEMA, No. 2 at p. 5) 

DOE has determined that there are no 

differences between the 2020 version 

and the 2015 version of ANSI C82.6 and 

that the 2020 version is a reaffirmation 

of the 2015 version. Hence, NEMA’s 

comments on the 2015 version are also 

applicable to the 2020 version of ANSI 

C82.6. DOE agrees with NEMA that 

adopting the updated ANSI C82.6 

standard should not cause any adverse 

effects on testing. DOE has tentatively 

determined that the changes discussed 

do not result in substantive changes to 

test setup and methodology, and would 

not affect measured values. For the 

reasons discussed in this section, DOE 

proposes to incorporate by reference the 

2020 version of ANSI C82.6. DOE 

requests comment on its proposal to 

incorporate by reference ANSI C82.6– 

2015 (R2020) into the DOE test 

procedure. 

2. ANSI C78.43 

ANSI C78.43 is an industry standard 

that sets forth the physical and electrical 

characteristics for single-ended metal 

halide lamps operated on 60 Hertz 

(‘‘Hz’’) ballasts. As discussed in the May 

2018 RFI, upon reviewing the current 

test procedure, DOE found that this 

industry standard, referenced in the 

DOE definition of ‘‘ballast efficiency,’’ 

has been updated. 83 FR 24682. Per 

DOE regulations, ‘‘ballast efficiency,’’ or 

the efficiency of a lamp and ballast 

combination, is defined as the measured 

operating lamp wattage (i.e., output 

power) divided by the measured 

operating input wattage (i.e., input 

power), expressed as a percentage. 10 

CFR 431.322. The input and output 

power of the ballast must be measured 

while the ballast is operating a reference 

lamp. The 2004 version of ANSI C78.43 

(ANSI C78.43–2004) is incorporated by 

reference in DOE’s regulations to 

describe the requirements for various 

fixture components used when 

measuring ballast efficiency. See 10 CFR 

431.323. Specifically, the definition of 

‘‘ballast efficiency’’ states that the lamp 

and capacitor (when provided) must 

constitute a nominal system in 

accordance with ANSI C78.43–2004. 

However, the standard does not define 

the term ‘‘nominal system.’’ ANSI 

C78.43–2004 does contain the physical 

and electrical requirements that singleended metal halide lamps operated on 

60 Hz ballasts must meet to qualify as 

reference lamps. 

In the May 2018 RFI, DOE requested 

comment on the potential impact of 

adopting the 2013 version of ANSI 

C78.43. 83 FR 24682. However, an 

updated version of ANSI C78.43 (ANSI 

C78.43–2017), which compared to ANSI 

C78.43–2013 added new lamp 

datasheets, was published in April 

2018. Compared to the 2013 version, the 

changes in ANSI C78.43–2017, are 

mainly updates to certain lamp 

datasheets related to lamp designations, 

physical descriptions of lamps, and 

minor changes to test parameters. These 

new datasheets in ANSI C78.43–2017 

incorporate datasheets for additional 

lamp types which, if adopted, would 

provide characteristics for additional 

reference lamps to use for testing. The 

lamp datasheets provide the physical 

and electrical characteristics for specific 


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19NEMA was likely referring to paragraph 

(b)(1)(iii) of Title 10 of the Code of Federal 

Regulations (CFR) part 431, subpart S, § 431.324 

(‘‘Uniform test method for the measurement of 

energy efficiency and standby mode energy 

consumption of metal halide lamp ballasts’’). 

lamps. Ballasts operating the lamps in 

these newly incorporated datasheets are 

currently certified in DOE’s Compliance 

Certification Management System 

(‘‘CCMS’’) database. Hence, these 

ballasts are already being tested using a 

certain set of lamp characteristics. 

Because lamp datasheets are based on 

industry consensus, it is likely that the 

characteristics in the new datasheets are 

the same as those being used in general 

practice. Therefore, DOE tentatively 

concludes that adopting the 2017 

version of ANSI C78.43 is unlikely to 

increase testing burden or impact 

measured values. 

In addition, ANSI C78.43–2017 

updated existing datasheets with 

information on magnetic ballast design 

and electronic low-frequency square 

wave ballast design. Compared to the 

2013 version, ANSI C78.43–2017 makes 

minor changes to test parameters in the 

magnetic ballast design section and 

specifies basic ignitor requirements in 

the electronic low frequency square 

wave ballast design section. ANSI 

C78.43–2017 also updated the 

normative references to remove, add, 

and replace versions of certain industry 

standards. Because DOE is proposing to 

reference ANSI C78.43–2017 only when 

specifying requirements for reference 

lamps, only parameters that impact the 

reference lamp such as reference ballast 

characteristics and values for 100-hour 

rated lamp wattage, current, and voltage 

would impact ballast efficiency. None of 

these parameters are changed in the 

revisions found in ANSI C78.43–2017. 

Therefore, DOE has determined that the 

additional information in ANSI C78.43– 

2017 for electronic low-frequency 

square wave ballast design will not 

affect measured values for ballast 

efficiency. 

In response to the May 2018 RFI, 

NEMA suggested that DOE incorporate 

by reference the 2017 version of ANSI 

C78.43 rather than the 2013 version 

since the 2017 version included 

additional lamp types. NEMA 

concluded that no negative impact was 

expected from adopting ANSI C78.43– 

2017. (NEMA, No. 2 at p. 5) 

DOE agrees that ANSI C78.43–2017 

should be incorporated by reference. 

DOE has tentatively determined that 

revisions reflected in ANSI C78.43–2017 

would not result in a change in 

measured values under the test 

procedure, and the additional 

datasheets provide characteristics for 

additional reference lamps to use for 

testing, thus improving consistency and 

repeatability of the DOE test procedure. 

DOE has also tentatively determined 

that the minor updates to existing 

datasheets would not result in changes 

to test setup or methodology. To align 

with the latest version of the industry 

standard, DOE proposes to incorporate 

by reference ANSI C78.43–2017. DOE 

requests comment on its proposal to 

incorporate by reference ANSI C78.43– 

2017 into the DOE test procedure. 

In addition to specifying reference 

lamps in the DOE test procedure, ANSI 

C78.43 appears as a reference in the 

definition of ‘‘ballast efficiency’’ in 

DOE’s regulations at 10 CFR 431.322. 

Specifically, the definition states that a 

lamp and capacitor, if one is present, 

constitutes a nominal system in 

accordance with ANSI C78.43. In the 

May 2018 RFI, DOE requested comment 

on clarifying the term ‘‘nominal 

system.’’ 83 FR 24682. In response, 

NEMA stated it was unclear how ANSI 

C78.43 can be used in the definition of 

‘‘ballast efficiency.’’ Further, NEMA 

commented that the term ‘‘nominal 

system’’ is not defined in any edition of 

ANSI C78.43, but the term could be 

enhanced by specifying that the 

efficiency of a metal halide ballast be 

measured according to test methods 

described in ANSI C82.6–2015. NEMA 

added that this industry standard 

requires the use of (1) a stable, low 

impedance input voltage, per section 

4.1; (2) a nominal (electrical) system 

voltage (‘‘V’’) as described in the Metal 

Halide Luminaire rule 19 (such as 277 

V); (3) a stable lamp, per section 4.4.1 

and 4.4.2; and (4) a capacitor (if 

provided) that shall not deviate more 

than 3 percent from its nominal value. 

(NEMA, No. 2 at p. 6) 

DOE tentatively concludes that a 

reference to the currently referenced 

2004 version or the most recent 2017 

version of ANSI C78.43 for the 

requirements of a ‘‘nominal system’’ 

within the definition of ‘‘ballast 

efficiency’’ at 10 CFR 431.322 may 

result in confusion since the term 

‘‘nominal system’’ is not defined within 

either version of the standard. DOE 

appreciates NEMA’s suggestion for 

enhancing the term ‘‘nominal system’’ 

by specifying that ballast efficiency be 

measured according to requirements in 

ANSI C82.5–2015. However, in this 

NOPR, DOE is already applying NEMA’s 

suggestion by proposing to reference 

ANSI C82.6–2015 (R2020) for test 

conditions and stabilization (see 

sections III.D.1.a and III.D.2.a, 

respectively) in the DOE test procedure. 

Further NEMA’s suggested 

specifications are not appropriate for 10 

CFR 431.322, which specifies only 

definitions. Therefore, DOE proposes to 

remove the statement referencing 

‘‘nominal system’’ and ANSI C78.43 

since the test procedure in its entirety 

outlines the system requirements when 

testing the ballast efficiency of a metal 

halide lamp ballast. See section III.F for 

a complete description of DOE’s 

proposed changes to the definition of 

‘‘ballast efficiency.’’ 

In summary, DOE is proposing to 

incorporate by reference ANSI C78.43– 

2017 in the DOE test procedure found 

at 10 CFR 431.324, but remove the 

reference to ANSI C78.43 from the 

definitions found at 10 CFR 431.322. 

3. ANSI C78.44 and ANSI C82.9 

As stated previously, DOE is 

proposing to incorporate by reference 

two new industry standards in the 

active mode test procedure for MHLFs. 

In particular, ANSI C78.44–2016 

specifies the physical and electrical 

requirements for double-ended metal 

halide lamps operated on 60 Hz ballasts. 

Metal halide ballasts are tested with 

lamps that should adhere to physical 

and electrical specifications. These 

specifications are provided in ANSI 

C78.43 for single-ended metal halide 

lamps and in ANSI C78.44 for doubleended metal halide lamps. The current 

DOE test procedure incorporates ANSI 

C78.43–2005 as a reference for singleended metal halide lamps but does not 

reference any version of ANSI C78.44. 

DOE has tentatively determined that it 

is necessary to reference ANSI C78.44– 

2016 for double-ended metal halide 

lamps. DOE has also tentatively 

determined that the inclusion of ANSI 

C78.44–2016 would ensure that 

necessary specifications are being 

provided for testing metal halide 

ballasts that operate double-ended metal 

halide lamps. DOE requests comment on 

its proposal to incorporate by reference 

ANSI C78.44–2016 into the DOE test 

procedure. 

DOE proposes to specify that the 

metal halide lamps used for testing must 

meet the definition of a reference lamp 

as defined by ANSI C82.9–2016. The 

definition specifies the lamp be 

seasoned for 100 hours, a requirement 

that is already in the current DOE test 

procedure. In addition, the definition of 

reference lamp in ANSI C82.9–2016 

states that a reference lamp has 

electrical characteristics within ±2 

percent of the rated values. Industry is 

likely already adhering to stipulations 

for reference lamps as specified in ANSI 

C82.9–2016. Specifying that reference 

lamps meet the definition in ANSI 

C82.9–2016 would provide an industry 

reference for the current seasoning 


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20 International Electrotechnical Commission. 

Household electrical appliances—Measurement of 

standby power (Edition 1.0). Published June 13, 

2005. 

requirement and ensure that industryaccepted requirements are followed 

when identifying a reference lamp. 

Therefore, DOE proposes to incorporate 

by reference ANSI C82.9–2016 in 10 

CFR 431.323. DOE requests comment on 

its proposal to incorporate by reference 

ANSI C82.9–2016 into the DOE test 

procedure. 

4. IEC 62301 

As discussed in section I.A, EPCA 

directs DOE to amend its test 

procedures for all covered products to 

incorporate a measure of standby mode 

and off mode energy consumption, 

taking into consideration the most 

recent versions of IEC 62301 and IEC 

62087, if technically feasible. (42 U.S.C. 

6295(gg)(2)) Thus, the 2010 MHLF TP 

final rule established a test method for 

measuring standby mode power (42 

U.S.C. 6295(gg)(2)(A)). 75 FR 10950, 

10959–10961. DOE developed the 

standby mode test method for metal 

halide lamp ballasts to be consistent 

with the industry standard IEC 

62301:2005 20 but also referenced 

language and methodologies presented 

in ANSI C82.6–2005. 75 FR 10951. To 

improve the clarity of the standby mode 

test method, DOE proposes to directly 

incorporate by reference the most recent 

version, IEC Standard 62301:2011 for 

measuring the energy consumption of 

MHLFs in standby mode. (See section 

III.E for more information.) 

D. Proposed Amendments to Active 

Mode Test Method 

As a result of DOE’s proposed 

amendments to the active mode test 

method discussed in this section, DOE 

is proposing modifications to both the 

active mode test method and the 

organization of 10 CFR 431.324 to 

improve readability. Specifically, DOE 

is proposing changes to the test 

conditions and setup, as well as the test 

method for the measurement of ballast 

efficiency of MHLFs. DOE also proposes 

to state that the language in 10 CFR 

431.324 would take precedence if there 

is a conflict between referenced 

industry standards and the revised DOE 

test procedure. DOE requests comment 

on both the general instructions of the 

active mode test method and the 

proposed modifications to the 

organization of 10 CFR 431.324. DOE 

discusses the proposed amendments to 

the active mode test method in greater 

detail in the sections that follow. 

1. Test Conditions and Setup 

DOE proposes to amend the test 

conditions and setup paragraph of the 

active mode test procedure in 10 CFR 

431.324 to: (1) More accurately 

reference industry standards and the 

relevant sections of those standards; (2) 

provide direction for testing metal 

halide lamp ballasts that operate lamps 

of different wattages or lamp types; and 

(3) specify testing of dimming metal 

halide lamp ballasts at maximum input 

power. DOE is proposing to revise the 

heading of paragraph (b)(1)(i) of existing 

10 CFR 431.324 from ‘‘Test Conditions’’ 

to ‘‘Test Conditions and Setup’’ and 

redesignate it as paragraph (b)(2) of the 

revised 10 CFR 431.324 to align with 

proposed additions to this paragraph (b) 

pertaining to test setup. DOE has 

tentatively determined that the 

proposed updates pertaining to test 

conditions and setup would not change 

measured values used for certifying 

compliance with existing energy 

conservation standards for MHLFs. The 

specific changes are discussed in further 

detail in the sections that follow. 

a. General Test Conditions 

Paragraph (b)(1)(i) of 10 CFR 431.324 

currently references section 4.0, 

‘‘General Conditions for Electrical 

Performance Tests,’’ of ANSI C82.6 for 

power supply, ballast test conditions, 

lamp position, lamp stabilization, and 

test instrumentation. DOE proposes to 

remove lamp stabilization from the 

description of test conditions because 

lamp stabilization is part of the test 

method rather than a test condition, and 

to better align the test procedure with 

the organization of the updated ANSI 

C82.6 standard. DOE proposes to 

include instructions for the lamp 

stabilization process in the test method 

paragraph of 10 CFR 431.324 and 

discusses these proposed changes in 

section III.D.2. Under this paragraph, 

DOE proposes to include specification 

that the circuits used for testing must be 

in accordance with the circuit 

connections set forth in section 6.3 of 

ANSI C82.6. 

b. Dimming Ballasts 

DOE established an active mode test 

method in the 2010 MHLF TP final rule 

which incorporated relevant sections of 

ANSI C82.6–2005 to measure ballast 

efficiency as required by EPCA (42 

U.S.C. 6293(b)(18)). 75 FR 10950. DOE 

also clarified in the 2010 MHLF TP final 

rule that active mode applies to a 

functioning ballast operating with any 

amount of rated system light output (i.e., 

greater than zero percent), and noted 

that if a ballast is dimmed (i.e., 

operating the light source at more than 

zero percent, but less than 100 percent), 

the lamp and the ballast are both still in 

active mode. 75 FR 10953. DOE notes 

that in the case of dimming ballasts, 

where input power can vary, a 

specification regarding how to test these 

ballasts is necessary. DOE requested 

comment in the May 2018 RFI on 

whether it is common industry practice 

to test dimming metal halide ballasts at 

100 percent light output. 83 FR 24682. 

NEMA responded that dimmable HID 

ballasts are commonly tested while 

operating at maximum light output, but 

also added that most HID ballasts are 

not dimmable. (NEMA, No. 2 at p. 6) 

DOE agrees that the market for 

dimmable metal halide ballasts is small. 

Consistent with NEMA’s comment, DOE 

is clarifying testing requirements for 

such ballasts by proposing that dimming 

metal halide lamp ballasts must be 

tested when operating at the maximum 

input power. DOE requests comment on 

the proposal to specify that dimming 

metal halide lamp ballasts be tested at 

maximum input power. 

c. Reference Lamps 

MHLFs must be tested for ballast 

efficiency while operating reference 

lamps. In the May 2018 RFI, DOE 

requested comment on the availability 

of reference lamps. 83 FR 24682. NEMA 

responded that metal halide lamps are 

not sold as reference lamps; however, a 

small percentage of regular metal halide 

lamps can meet the reference lamp 

specifications. NEMA added that the 

quantity of potential reference lamps 

available is adequate since the demand 

for reference lamps is low due to limited 

product development and testing. 

(NEMA, No. 2 at p. 5) 

DOE appreciates NEMA’s 

confirmation that the availability of 

reference lamps for metal halide ballast 

testing is sufficient, and DOE is 

proposing several additions to the test 

conditions and setup paragraph of 10 

CFR 431.324 to clarify the selection of 

metal halide lamps used in testing metal 

halide lamp ballasts. Metal halide lamp 

ballasts are to be tested with reference 

lamps. ANSI C82.9–2016 provides 

definitions related to specific terms 

used in industry standards for HID 

lamps and ballasts. Thus, DOE proposes 

to specify that the metal halide lamps 

used for testing must meet the definition 

of a reference lamp as defined by ANSI 

C82.9–2016. In addition, ANSI C78.43– 

2017 and ANSI C78.44–2016 specify the 

physical and electrical requirements 

that single-ended and double-ended 

metal halide lamps operated on 60 Hz 

ballasts must meet to qualify as 

reference lamps. Therefore, DOE 


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Federal Register / Vol. 86, No. 132 / Wednesday, July 14, 2021 / Proposed Rules 37077 

21U.S. Department of Energy–Office of Energy 

Efficiency and Renewable Energy. Energy 

Conservation Program for Consumer Equipment: 

Final Determination: High-Intensity Discharge 

Lamps. 2015. Washington, DC Available at: https:// 

www.regulations.gov/docket?D=EERE-2010-BTSTD-0043. 

proposes that the metal halide lamps 

used for testing must also be within the 

acceptable range for a reference lamp of 

the rated values specified in ANSI 

C78.43–2017 and ANSI C78.44–2016 for 

single-ended metal halide lamps and 

double-ended metal halide lamps, 

respectively. 

DOE also requested comment in the 

May 2018 RFI on the prevalence of 

metal halide ballasts capable of 

operating more than one lamp wattage, 

and how this equipment should be 

tested. 83 FR 24682. NEMA responded 

that metal halide ballasts capable of 

operating more than one lamp wattage 

make up a very small and decreasing 

fraction of the market, and that they 

should not be added to the scope of the 

regulation. NEMA noted that HID 

ballasts are tested with their 

corresponding lamps, and that ballasts 

capable of operating multiple lamp 

wattages would be tested with multiple 

lamps. (NEMA, No. 2 at p. 6) 

DOE notes that metal halide ballasts 

capable of operating multiple lamp 

wattages currently fall within multiple 

basic models. No specification regarding 

the reference lamp to be used in testing 

metal halide lamp ballasts, pertaining to 

either lamp wattage or lamp type, is 

currently provided in 10 CFR 431.324. 

Thus, DOE is proposing revisions to the 

test procedure to clarify the wattage and 

type of reference lamp to be used for 

testing. 

Section 6.18 of ANSI C82.6–2015 

(R2020) states that, if a ballast can 

operate multiple lamp types, some 

(unspecified) regulations require that a 

ballast be tested with the highest lamp 

power specified by the manufacturer. 

Based on a recent survey of the market, 

DOE identified metal halide lamp 

ballasts that may be able to operate 

lamps of different wattages (e.g., a 

ballast that can operate a 70 W lamp or 

100 W lamp). Thus, DOE is proposing 

to add the requirement to 10 CFR 

431.324 that metal halide lamp ballasts 

designated with ANSI codes 

corresponding to more than one lamp 

must be tested with the lamp having the 

highest nominal lamp wattage as 

specified in ANSI C78.43–2017 or ANSI 

C78.44–2016, as applicable. DOE also 

found some ballasts that can operate 

both ceramic metal halide lamps and 

quartz metal halide lamps. Based on 

data collected for DOE’s HID lamps final 

rule determination published on 

December 9, 2015 (80 FR 76355),21 DOE 

has tentatively determined that quartz 

metal halide lamps are more popular 

than ceramic metal halide lamps. Thus, 

DOE is proposing to add a requirement 

to 10 CFR 431.324 that ballasts 

designated with ANSI codes 

corresponding to both ceramic metal 

halide lamps (code beginning with ‘‘C’’) 

and quartz metal halide lamps (code 

beginning with ‘‘M’’) of the same 

nominal lamp wattage must be tested 

with the quartz metal halide lamp. DOE 

requests comment on the proposed 

requirements for selecting reference 

lamps for ballasts capable of operating 

lamps of different wattages or lamp 

types, and specifically the proposals to 

test with the highest lamp wattage and 

to test with quartz metal halide lamps. 

2. Test Method 

DOE proposes to amend the test 

method paragraph of the active mode 

test procedure at 10 CFR 431.324 to: (1) 

Specify lamp stabilization criteria for 

testing; (2) more accurately reference 

industry standards and the relevant 

sections of those standards; and (3) 

include requirements for ballast 

efficiency calculations. Specifically, 

DOE is proposing to add paragraphs to 

the test method paragraph describing 

requirements for lamp stabilization, test 

measurements, and calculations. As 

discussed in further detail, DOE is also 

proposing to revise the heading of 

paragraph (b)(2) of 10 CFR 431.324 from 

‘‘Test Measurement’’ to ‘‘Test Method’’ 

and redesignate it as paragraph (b)(3) to 

align with the proposed revisions to this 

paragraph (b). In addition, DOE is 

proposing to add the ballast efficiency 

calculation contained in paragraph 

(b)(3) of existing 10 CFR 431.324 to the 

‘‘Test Method’’ section to improve 

organization. 

a. Stabilization Criteria 

DOE proposes to clarify the 

requirements for lamp stabilization 

found at 10 CFR 431.324. Specifically, 

DOE proposes to directly reference 

sections 4.4.2 and 4.4.3 of ANSI C82.6– 

2015 (R2020) for the basic stabilization 

method and the alternative stabilization 

method, respectively. As discussed in 

section III.C, the current DOE test 

procedure contains explicit instructions 

for both the lamp stabilization methods 

rather than referencing the relevant 

sections of the industry standard. At the 

time of the previous rulemaking, NEMA 

provided the then-anticipated changes 

to the updated version of ANSI C82.6. 

Because the lamp stabilization methods 

are now contained in ANSI C82.6–2015 

(R2020), DOE proposes to reference the 

relevant sections, sections 4.4.2 and 

4.4.3. DOE, however, proposes to 

maintain the lamp stability criteria for 

the basic stabilization method currently 

found at 10 CFR 431.324, as the method 

in ANSI C82.6–2015 (R2020) is more 

ambiguous and may not be practical. 

ANSI C82.6–2015 (R2020) states that 

stabilization is determined by operating 

the lamp within 3 percent of its rated 

wattage in the specified ambient 

temperature until the electrical 

parameters ‘‘cease to change.’’ DOE 

determined that the existing lamp 

stability criteria in 10 CFR 431.324, 

which states that stabilization is reached 

when the lamp’s electrical 

characteristics vary by no more than 3 

percent in three consecutive 10 to 15 

minute intervals, is more specific. DOE 

has determined that the verbiage ‘‘cease 

to change’’ in the updated ANSI 

stability criteria would be nearly 

impossible to meet, as electrical 

parameters are expected to change by a 

small percentage after each 

measurement. DOE has tentatively 

determined that these proposed updates 

would not change measured values, as 

the lamp stabilization procedures are 

consistent with the methods in the 

existing DOE test procedure, and DOE is 

simply replacing these methods with 

references to the appropriate sections of 

ANSI C82.6–2015 (R2020). DOE 

requests comment on the proposal to 

directly reference the basic stabilization 

method section and alternative 

stabilization method sections of ANSI 

C82.6–2015 (R2020). DOE also requests 

comment on its proposal to retain the 

lamp stability criteria for the basic 

stabilization method, as currently set 

forth in the DOE test procedure. 

b. Test Measurements 

DOE proposes additional updates to 

10 CFR 431.324 to more closely align 

regulations with the updated ANSI 

C82.6 standard. DOE proposes to 

remove the general reference to section 

6 of ANSI C82.6 and specifically 

reference sections 6.1 and 6.8 of ANSI 

C82.6–2015 (R2020) for measuring 

ballast input power, and sections 6.2 

and 6.10 of ANSI C82.6–2015 (R2020) 

for measuring lamp output power. DOE 

is simply providing references to the 

subsections within section 6 of ANSI 

C82.6–2015 (R2020) that are specific to 

the value being measured instead of 

referencing the general section. DOE 

expects that these updates would 

further clarify the test procedure and 

not change measured values. 


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22 Information regarding IEC TC 59—Performance 

of household and similar electrical appliances, can 

be found at https://www.iec.ch/dyn/www/ 

f?p=103:7:10591261086280::::FSP_ORG_ID,FSP_

LANG_ID:1275,25. 

c. Calculations 

DOE proposes minor changes to the 

organization of 10 CFR 431.324, used to 

calculate ballast efficiency, which is the 

measured lamp output power divided 

by the measured ballast input power. 

Specifically, in the ballast efficiency 

calculation description, DOE proposes 

to reference the sections in the DOE test 

procedure that specify how to measure 

ballast input power and ballast output 

(lamp) power. DOE has tentatively 

determined that these updates would 

serve only as a clarification of the 

ballast efficiency calculation and would 

not affect measured values. 

d. High-Frequency Electronic Ballasts 

The current test procedure 

incorporates by reference ANSI C82.6– 

2005 for testing both electronic and 

magnetic metal halide ballasts. 

However, neither ANSI C82.6–2005 nor 

the revised 2020 version provide a 

method specifically for testing highfrequency electronic (‘‘HFE’’) ballasts. A 

HFE metal halide ballast is defined by 

DOE as an electronic ballast that 

operates a lamp at an output frequency 

of 1000 Hz or greater. 10 CFR 431.322. 

In the 2013 MHLF energy conservation 

standards NOPR, DOE considered 

adopting procedures for testing HFE 

ballasts based on the instrumentation 

used for testing high frequency 

electronic fluorescent lamp ballasts. 78 

FR 51464, 51480–51481 (Aug. 20, 2013). 

However, in the 2014 MHLF energy 

conservation standards final rule, DOE 

declined to amend the test procedure to 

include a procedure for HFE ballasts 

due to the lack of industry 

specifications for reference lamps to be 

paired with the ballasts during testing 

and the lack of a complete industry test 

method specific to HFE ballasts. 79 FR 

7758 (Feb. 10, 2014). 

Subsequently, an ANSI standard for 

HFE metal halide ballasts titled ANSI 

C82.17–2017, ‘‘High Frequency (HF) 

Electronic Ballasts for Metal Halide 

Lamps,’’ (ANSI C82.17–2017) was 

published. ANSI C82.17–2017 provides 

specifications for and operating 

characteristics of HFE metal halide 

ballasts with sinusoidal lamp operating 

current frequencies above 40 kilohertz 

(‘‘kHz’’). ANSI C82.17–2017 also states 

in section 5.1 that ‘‘all measurements 

necessary to determine compliance with 

the ballast performance requirements of 

this standard shall be made in 

accordance with ANSI C82.6.’’ Based on 

DOE’s initial review, the specifications 

and instructions in ANSI C82.6 cover 

the necessary methodology, while being 

general enough to be used as a guide for 

taking measurements of HFE ballasts. 

In the May 2018 RFI, DOE requested 

comment on the impact of incorporating 

by reference ANSI C82.17–2017, and 

whether it would provide repeatable 

and reproducible results when paired 

with ANSI C82.6–2015 for the testing of 

HFE metal halide ballasts. 83 FR 24683. 

In response, NEMA noted that ANSI 

standards represent the most effective, 

repeatable test procedures possible, but 

that there is administrative burden 

associated with implementing these 

standards. Specifically, NEMA cited 

several challenges associated with 

incorporating ANSI C82.17–2017 for 

testing HFE metal halide ballasts, 

including: (1) Few, if any, HFE metal 

halide reference ballasts exist and no 

design standard exists; (2) limited 

industry resources are available to 

develop a HFE reference ballast design 

standard due to increased focus on LED 

technology; (3) repeatability issues exist 

unless high frequency reference ballasts 

become commonly available; and (4) 

costs are associated with additional 

National Voluntary Laboratory 

Accreditation Program (‘‘NVLAP’’) 

certifications. (NEMA, No. 2 at p. 7) 

DOE appreciates NEMA’s feedback on 

the challenges associated with 

incorporating ANSI C82.17–2017 for 

testing HFE ballasts. DOE agrees that the 

lack of a HFE reference ballast design 

standard and the absence of HFE 

reference ballast specifications in ANSI 

C78.43–2017 and ANSI C78.44–2016 

could cause repeatability issues when 

testing HFE metal halide ballasts. 

Therefore, DOE is not proposing to 

incorporate by reference ANSI C82.17– 

2017 or to include a test method for HFE 

metal halide ballasts in the proposed 

revisions to its test procedure. DOE will 

continue to monitor the development of 

HFE reference ballast design standards 

and HFE reference ballast specifications 

for metal halide lamps, and may 

consider revising the test procedure in 

the future. Costs associated with the 

proposed revisions to the test 

procedure, including NVLAP 

certification, are discussed in detail in 

section III.H.1 of this document. 

DOE also requested comment in the 

May 2018 RFI on whether 

manufacturers and laboratories test HFE 

metal halide ballasts using the same 

instrumentation as they use for testing 

electronic fluorescent lamp ballasts. 83 

FR 24683. NEMA responded that the 

instrumentation used is similar, but 

does not exactly align due to major 

differences in the level of power 

consumption between the technologies. 

NEMA noted that differences between 

HFE metal halide ballasts and high 

frequency electronic fluorescent lamp 

ballasts in the frequency bands, current, 

voltage, power ranges, and starting 

modes require separate, high-capacity 

equipment for HFE metal halide 

ballasts. (NEMA, No. 2 at p. 7) As 

discussed previously in this section, 

DOE is not proposing a test method for 

HFE metal halide ballasts at this time 

due to the lack of HFE reference ballast 

design standard and HFE reference 

ballast specifications for metal halide 

lamps. 

E. Proposed Amendments to Standby 

Mode Test Method 

EPCA directs DOE to establish test 

procedures to include standby mode 

energy consumption, 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 only to 

audio, video, and related equipment, 

and does not apply to lighting products. 

DOE proposes to incorporate by 

reference IEC 62301:2011, which 

although not specifically addressing 

lighting products, applies generally to 

household electrical appliances which 

include lighting products. The current 

test procedure requires measuring 

standby mode energy consumption 

following provisions of ANSI C82.6– 

2005, the same industry standard that is 

incorporated into DOE’s current active 

mode test procedure. However, while 

ANSI C82.6–2005 is not specific to 

standby mode energy consumption 

measurements, IEC 62301:2011 does 

provide requirements for measuring 

standby mode energy consumption. 

In the May 2018 RFI, DOE requested 

comment on the potential impact of 

incorporating by reference IEC 

62301:2011, the most recent version of 

the standard, in an amended test 

procedure for measuring standby mode 

power. 83 FR 24683. NEMA stated that 

the IEC 62301:2011 standard is not 

applicable to HID lamp ballasts. (NEMA, 

No. 2 at p. 6) DOE refers NEMA to 

section 1 of IEC 62301:2011, which 

states that the standard is ‘‘applicable to 

electrical products with a rated input 

voltage or voltage range that lies wholly 

or partly in the range 100 V of 

alternating current (‘‘A.C.’’) to 250 V 

A.C. for single phase products, and 130 

V A.C. to 480 V A.C. for other 

products.’’ Section 1 of IEC 62301:2011 

also states that the term ‘‘products’’ 

refers to ‘‘energy using products such as 

household appliances or other 

equipment within the scope of TC 59’’ 22


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but notes that the measurement 

methodology could be applied to other 

products. Metal halide ballasts are 

electrical products that operate at 

voltages that fall within the scope of IEC 

62301:2011. Further DOE has 

determined that instructions and criteria 

specified in IEC 62301:2011 for 

stabilization and subsequent 

measurement of standby mode power 

consumption are applicable to metal 

halide lamp ballasts. 

NEMA also commented that metal 

halide lamp ballasts capable of 

operating in standby mode are 

uncommon, and thus, modifications to 

the standby mode test method are 

unnecessary. (NEMA, No. 2 at p. 6) DOE 

conducted a survey of the market and 

agrees that metal halide ballasts capable 

of operating in standby mode are 

uncommon. As discussed in section 

III.C.4, DOE is required by EPCA to 

incorporate a measure of standby and 

off mode energy consumption in 

accordance with IEC 62301 and IEC 

62087, if technically feasible. (42 U.S.C. 

6295(gg)(2)) Therefore, because DOE 

deems it to be technically feasible, DOE 

is proposing to incorporate by reference 

specific sections of IEC 62301:2011 for 

measuring the energy consumption of 

MHLFs capable of operating in standby 

mode. DOE notes that the proposed 

revisions to the existing standby test 

method will improve clarity by 

replacing the currently referenced 

industry standard (ANSI C82.6–2005) 

with one that addresses standby mode 

power consumption (IEC 62301:2011) 

and better align with the requirements 

of EPCA and the standby mode test 

methods for other lighting products. 

In addition, as a result of DOE’s 

proposed amendments to the standby 

mode test method discussed in the 

preceding paragraphs, DOE is proposing 

modifications to the organization and 

wording of paragraph (c) in 10 CFR 

431.324 to improve readability. 

Specifically, DOE proposes to modify 

the general instructions of the standby 

mode test method found in existing 

paragraph (c) to clarify that standby 

mode energy consumption need only be 

measured for ballasts capable of 

operating in standby mode. DOE also 

proposes to state that the language in 10 

CFR 431.324 would take precedence if 

there is a conflict between IEC 

62301:2011 and the language in the 

revised DOE test procedure. DOE 

requests comment on the proposed 

modifications to the organization and 

the general instructions of the standby 

mode test method in 10 CFR 431.324(c). 

DOE discusses the proposed 

amendments to the standby mode test 

method in greater detail in the sections 

that follow. 

1. Test Conditions and Setup 

Both the active mode and standby 

mode test procedures measure input 

power of the ballast. As such, for 

consistency within the test procedure 

and to reduce the test burden, DOE 

proposes requiring similar general test 

conditions and setup for both tests. To 

align the test conditions and setup 

requirements for the active and standby 

modes, DOE proposes to modify the test 

conditions and setup paragraph in the 

standby mode test procedure with the 

following directions: (1) Test conditions 

and setup must be in accordance with 

the active mode test procedure and (2) 

each ballast must be operated with a 

lamp as specified in the active mode test 

procedure, except that the use of a 

reference lamp is not required. Because 

lamps are not turned on during the 

measurement of standby mode power 

consumption, DOE has tentatively 

determined that whether the lamp to 

which the ballast is connected is a 

reference lamp does not impact standby 

mode energy consumption 

measurements. In addition, DOE 

proposes to revise the heading ‘‘Test 

Conditions’’ of paragraph (c)(1) of 

existing 10 CFR 431.324 to ‘‘Test 

Conditions and Setup’’ to reflect these 

changes. 

DOE requests comment on referencing 

the active mode test method section in 

the test conditions and setup 

requirements for the standby mode test 

method and for the connection of lamps 

(with the exception of reference lamp 

requirements). 

2. Test Method and Measurement 

DOE also proposes to replace the 

paragraphs of existing 10 CFR 431.324 

pertaining to standby mode 

measurements. DOE proposes to add a 

new paragraph with the heading ‘‘Test 

Method and Measurement,’’ containing 

specific instructions related to the 

measurement of standby mode energy 

consumption. DOE proposes to: (1) Add 

instructions to turn on, at full light 

output, the lamp to which the ballast is 

connected to ensure the ballast is not 

defective and (2) require ballast 

stabilization and that subsequent 

measurement of standby mode energy 

consumption be conducted according to 

the measurements section of IEC 

62301:2011 (i.e., section 5). DOE has 

tentatively determined that the 

instructions and criteria specified for 

stabilization and measurement of 

standby mode power consumption in 

section 5 of IEC 62301:2011 are 

appropriate for MHLFs. DOE requests 

comment on referencing section 5 of IEC 

62301:2011 for stabilization and standby 

mode energy consumption 

measurements. In addition, DOE 

requests comments on proposed 

instructions regarding turning on the 

lamp to ensure the ballast is not 

defective. Finally, DOE requests 

comment on the test burden and impact 

on the energy use measurement during 

a representative average use cycle or 

period of use associated with the 

proposed modifications to the 

measurement of standby mode power in 

the DOE test procedure. 

F. Definitions 

DOE proposes to define several terms 

in 10 CFR 431.322 pertaining to the 

proposed test specifications for 

reference lamps used in testing (see 

section III.D.1 for greater detail). DOE 

proposes to define the term ‘‘reference 

lamp’’ as a lamp that meets the 

operating conditions of a reference lamp 

as defined by ANSI C82.9–2016. DOE 

proposes to define ‘‘quartz metal halide 

lamp’’ as a lamp with an arc tube made 

of quartz materials, and ‘‘ceramic metal 

halide lamp’’ as a lamp with an arc tube 

made of ceramic materials. 

DOE proposes to amend the existing 

definition for the term ‘‘ballast 

efficiency’’ in 10 CFR 431.322 by 

removing clause 3 in the definition 

which references ‘‘nominal system’’ and 

ANSI C78.43 since the test procedure in 

its entirety outlines the system 

requirements when testing the ballast 

efficiency of a metal halide lamp ballast. 

See section III.C.2 for more details. DOE 

also proposes to remove clauses 4 and 

5 in the ‘‘ballast efficiency’’ definition 

which, respectively, specify for 60 Hz 

and greater than 60 Hz, input power and 

output power measurement 

specifications. DOE proposes to move 

these requirements to the test procedure 

found in 10 CFR 431.324 because they 

describe the test method. 

G. Compliance Dates and Waivers 

EPCA prescribes that all 

representations of energy efficiency and 

energy use, including those made on 

marketing materials and product labels, 

must be made in accordance with an 

amended test procedure, beginning 180 

days after publication of such a test 

procedure final rule in the Federal 

Register. (42 U.S.C. 6293(c)(2)) If DOE 

were to publish an amended test 

procedure, EPCA provides an allowance 

for individual manufacturers to petition 

DOE for an extension of the 180-day 

period if the manufacturer may 

experience undue hardship in meeting 

the deadline. (42 U.S.C. 6293(c)(3)) To 

receive such an extension, petitions 


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23See guidance issued by DOE at: https://

www1.eere.energy.gov/buildings/appliance_

standards/pdfs/cert_faq_2012-04-17.pdf. 

must be filed with DOE no later than 60 

days before the end of the 180-day 

period and must detail how the 

manufacturer will experience undue 

hardship. (Id.) 

Upon the compliance date of an 

amended test procedure, should DOE 

issue such an amendment, any waivers 

that had been previously issued and are 

in effect that pertain to issues addressed 

by the amended test procedure are 

terminated. 10 CFR 430.27(h)(2). 

Recipients of any such waivers would 

be required to test the equipment 

subject to the waiver according to the 

amended test procedure as of the 

effective date of the amended test 

procedure. At present there are no 

outstanding waivers that address test 

procedure issues that would be 

addressed by the amendments proposed 

in this document. 

H. Test Procedure Costs, 

Harmonization, and Other Topics 

1. Test Procedure Costs, Burdens and 

Impact 

EPCA requires that test procedures 

proposed by DOE not be unduly 

burdensome to conduct. (42 U.S.C. 

6293(b)(3)) In this NOPR, DOE proposes 

to amend the existing test procedure for 

metal halide lamp ballasts by (1) 

updating references to industry 

standards; (2) clarifying the selection of 

reference lamps to be tested with metal 

halide lamp ballasts; (3) reorganizing 

the content of the test procedure for 

better readability and clarity; and (4) 

revising the test procedure for 

measuring standby mode energy 

consumption of metal halide lamp 

ballasts. DOE has tentatively determined 

that these proposed amendments to the 

MHLF test procedure would not be 

unduly burdensome to conduct because 

they are mainly clarifications to existing 

requirements. 

Moreover, DOE’s analysis of this 

proposal indicates that, if finalized, it 

would result in neither a reduction of 

nor an increase in future testing costs. 

The proposed amendments would 

update references within the test 

procedure to the latest versions of 

existing industry standards and adding 

references to new industry standards. 

The current test procedure for taking 

active mode measurements to determine 

ballast efficiency references one 

industry standard, ANSI C82.6. The 

proposed amendments update 

references to ANSI C82.6 from the 2005 

version to the 2020 version. In addition, 

the NOPR proposes to reference three 

new standards: ANSI C78.44–2016 to 

incorporate industry-approved lamp 

characteristics for double-ended metal 

halide lamps; ANSI C82.9–2016 to 

incorporate industry-approved 

definition for reference lamp; and IEC 

62301:2011 to incorporate an industry 

standard that is specific to standby 

mode power consumption 

measurement. In general, these updates 

only clarify requirements, and do not 

add complexity to test conditions/setup 

or add test steps. This NOPR also 

proposes clarifications regarding the 

selection of reference lamps to address, 

in particular, new equipment on the 

market (i.e., metal halide ballasts that 

can operate multiple lamp wattages or 

lamp types). DOE expects that these 

proposed amendments would provide 

greater specificity to the test setup 

instructions. 

The proposed revisions to the standby 

mode test procedure would change the 

industry standard reference from ANSI 

C82.6 to IEC 62301:2011, Section 5. The 

latter industry reference provides more 

detailed guidance on how to determine 

the final power consumption value from 

power readings, but should not add 

additional steps to obtain power 

measurements. Additionally, the 

proposed amendments to the standby 

mode test procedure align the test setup 

and test conditions for taking active 

mode and standby mode measurements. 

DOE notes that IEC 62301 has already 

been incorporated in other DOE lighting 

test procedures. IEC 62301:2011 does 

not require additional measurements or 

new instrumentation, and therefore, 

DOE has tentatively determined its 

incorporation would not increase test 

burden. 

DOE has tentatively determined that 

the amendments to DOE’s test 

procedure for measuring ballast 

efficiency proposed in this NOPR would 

not require the purchase or use of new 

or additional equipment or require 

additional steps for testing measured 

values. Further, the proposed revisions 

are not expected to change measured 

values. Hence, DOE expects that 

manufacturers will be able to rely on 

data generated under the previous test 

procedure. While manufacturers must 

submit a report annually to certify a 

basic model’s represented values, basic 

models do not need to be retested 

annually. The initial test results used to 

generate a certified rating for a basic 

model remain valid as long as the basic 

model has not been modified from the 

tested design in a way that makes it less 

efficient or more consumptive, which 

would require a change to the certified 

rating. If a manufacturer has modified a 

basic model in a way that makes it more 

efficient or less consumptive, new 

testing is only required if the 

manufacturer wishes to make claims of 

the new, more efficient rating.23

In the May 2018 RFI, DOE requested 

information that would help DOE create 

procedures that would limit 

manufacturer test burden through 

streamlining or simplifying testing 

requirements. DOE also requested 

feedback on any potential amendments 

to the existing test procedure that could 

be considered to address impacts on 

manufacturers, including small 

businesses. 83 FR 24683. 

NEMA commented that there is no 

benefit to updating the current test 

procedures for MHLFs, which are wellimplemented, well-understood, and 

adequate to the needs of the 

environment. NEMA added that 

updating the test procedures would 

result in increased burden due to test 

process provisions, requalification of 

NVLAP, and training of laboratory 

personnel. NEMA provided a 

breakdown of the costs associated with 

certifying labs to new versions of 

industry standards and urged DOE to 

consider these costs for each affected 

manufacturer laboratory in its 

manufacturer impact analysis. 

Specifically, NEMA estimated the 

NVLAP certification costs for each new 

standard to be $15,000; the 

administrative costs to train personnel 

on a new DOE test procedure to be 

$50,000; and the costs for additional 

personnel to support a new or revised 

test procedure to be $100,000. (NEMA, 

No. 2 at pp. 7–8) 

DOE considered the additional cost 

burden outlined by NEMA specifically 

related to NVLAP accreditation costs; 

administrative costs; and costs for 

additional personnel. DOE notes that a 

laboratory gaining accreditation to test 

MHLFs according to the test procedure 

in 10 CFR 431.324 is doing so 

voluntarily or as required by an entity 

other than DOE. Accreditation by 

NVLAP is not required by DOE under 10 

CFR part 431 or 10 CFR part 429 for the 

testing of MHLFs, and therefore does 

not factor into testing costs associated 

with DOE’s test procedure. 

As stated in this NOPR, DOE has 

tentatively determined that the 

proposed updates to the current test 

procedure are minimal and should not 

result in a change of measured values. 

With regards to administrative costs 

cited by NEMA to train personnel on a 

test procedure, due to the minimal 

changes, DOE has tentatively 

determined the proposed amendments 

will not result in additional workload 


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24See https://www.regulations.gov/ 

document?D=EERE-2010-BT-TP-0044-0006. 

25U.S. Department of Energy–Office of Energy 

Efficiency and Renewable Energy. Energy 

Conservation Program for Consumer Equipment: 

Notice of Proposed Rulemaking: Test Procedures for 

High-Intensity Discharge Lamps. 2011. Washington, 

DC Available at: https://www.regulations.gov/ 

document?D=EERE-2010-BT-TP-0044-0001. 

for testing personnel. Therefore, DOE 

has tentatively determined the costs 

associated with training existing 

personnel to be minimal and the need 

to hire additional personnel to be 

unlikely. 

NEMA also commented that there are 

significant costs associated with 

acquiring instrumentation for the testing 

of HFE metal halide ballasts, which is 

an added burden on manufacturers and 

especially small businesses. NEMA 

noted that a high frequency power 

analyzer may cost around $45,000 and 

the manufacture or procurement of HFE 

reference ballasts may be $5,000. 

(NEMA, No. 2 at pp. 7–8) As discussed 

in section III.D.2.d, DOE is not 

considering a test method for HFE metal 

halide ballasts, which eliminates the 

additional costs cited by NEMA for the 

testing of HFE metal halide ballasts. 

NEMA noted in comments made in 

response to the December 2011 HID 

lamps test procedure NOPR (HID TP 

NOPR; 76 FR 77914 (Dec. 15, 2011) that 

the cost to test high wattage products is 

not trivial due to heat output, electricity 

costs, and personnel safety 

considerations.24 NEMA commented 

that although the duration of metal 

halide ballast testing is shorter than the 

HID lamp lumen maintenance testing 

considered in the HID TP NOPR,25 the 

energy consumption remains 

significant. NEMA concluded that a 

complete revision of the metal halide 

ballast test procedure would result in 

these non-trivial testing costs being 

added to the product costs in a 

declining market. (NEMA, No. 2 at p. 8) 

As stated, DOE has tentatively 

determined that the changes proposed 

in this NOPR are minor updates to 

clarify and enhance the test procedure, 

and would not result in a change in 

measured values. Further, DOE is not 

proposing a test method for HFE metal 

halide ballasts in this NOPR, so the 

proposed amendments would not 

change the scope of the test procedure. 

For these reasons, the proposed updated 

test procedure would not increase test 

costs for manufacturers. 

2. Harmonization With Industry 

Standards 

DOE’s established practice is to adopt 

relevant industry standards as DOE test 

procedures unless such methodology 

would be unduly burdensome to 

conduct or would not produce test 

results that reflect the energy efficiency, 

energy use, water use (as specified in 

EPCA), or estimated operating costs of 

that product during a representative 

average use cycle. Section 8(c) of 

appendix A to 10 CFR part 430 subpart 

C. In cases where the industry standard 

does not meet EPCA statutory criteria 

for test procedures DOE will make 

modifications through the rulemaking 

process to these standards as the DOE 

test procedure. 

The test procedure for metal halide 

lamp ballasts at § 431.324 incorporates 

by reference several industry standards. 

DOE proposes to incorporate by 

reference ANSI C78.43–2017, ANSI 

C78.44–2016, ANSI C82.6–2015 

(R2020), ANSI C82.9–2016, and IEC 

62301:2011 in their entirety. The 

industry standards DOE proposes to 

incorporate by reference via 

amendments described in this NOPR are 

discussed in further detail in section 

IV.M. 

DOE requests comment on the 

benefits and burdens of adopting any 

industry/voluntary consensus-based or 

other appropriate test procedure, 

without modification. DOE also seeks 

comment on whether there are any 

further changes to the Federal test 

method that would provide additional 

benefits to the public. 

3. Other Test Procedure Topics 

In the May 2018 RFI, in addition to 

the issues identified earlier in this 

document, DOE welcomed comment on 

any other aspect of the existing test 

procedure for metal halide lamp ballasts 

not already addressed by the specific 

areas identified in the document. In 

particular, DOE requested information 

that would assist DOE in assuring that 

the test procedure is reasonably 

designed to produce results that 

measure the energy use or energy 

efficiency of the products during a 

representative average use cycle or 

period of use. DOE also requested 

information that would improve the 

repeatability and reproducibility of the 

test procedure. 83 FR 24683. NEMA 

commented that incorporating ANSI 

C82.6–2015 would ensure the 

repeatability and reproducibility of test 

results, but noted that it was unaware of 

studies conducted regarding the energy 

use or energy efficiency of MHLFs over 

time. (NEMA, No. 2 at p. 7) DOE agrees 

that referencing ANSI C82.6–2015 

(R2020), which is a reaffirmation of 

ANSI C82.6–2015, helps to ensure 

repeatability and reproducibility of the 

test procedure, and therefore proposes 

incorporating this industry standard by 

reference. Further comment on this 

topic is welcome. 

DOE also requested comment on 

whether the existing test procedure 

limits a manufacturer’s ability to 

provide additional MHLF features to 

customers. 83 FR 24683. NEMA 

reiterated the lack of growth and 

development in this market and 

commented that, as a result, customers 

are not seeking additional features for 

these products and therefore no updates 

are needed to the test procedure to 

address new features. (NEMA, No. 2 at 

p. 9) DOE appreciates NEMA’s feedback 

that no updates are currently necessary 

to the existing test procedure to support 

the testing of new features. Further 

comment on this topic is welcome. 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

The Office of Management and Budget 

(‘‘OMB’’) has determined that test 

procedure rulemakings do not constitute 

‘‘significant regulatory actions’’ under 

section 3(f) of Executive Order 12866, 

‘‘Regulatory Planning and Review.’’ 58 

FR 51735 (Oct. 4, 1993). Accordingly, 

this action was not subject to review 

under the Executive Order by the Office 

of Information and Regulatory Affairs 

(‘‘OIRA’’) in the OMB. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act 

(5 U.S.C. 601 et seq.) requires 

preparation of an initial regulatory 

flexibility analysis (‘‘IFRA’’) for any rule 

that by law must be proposed for public 

comment, unless the agency certifies 

that the rule, if promulgated, will not 

have a significant economic impact on 

a substantial number of small entities. 

As required by Executive Order 13272, 

‘‘Proper Consideration of Small Entities 

in Agency Rulemaking,’’ 67 FR 53461 

(Aug. 16, 2002), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the DOE 

rulemaking process. 68 FR 7990. DOE 

has made its procedures and policies 

available on the Office of the General 

Counsel’s website: https://energy.gov/ 

gc/office-general-counsel. 

DOE reviewed this proposed rule 

under the provisions of the Regulatory 

Flexibility Act and the procedures and 

policies published on February 19, 

2003. DOE tentatively concludes that 

the proposed rule, if adopted, would not 

have significant economic impact on a 

substantial number of small entities. 


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The factual basis of this certification is 

set forth in the following paragraphs. 

The Small Business Administration 

(‘‘SBA’’) considers a business entity to 

be a small business, if, together, with its 

affiliates, it employs less than a 

threshold number of workers specified 

in 13 CFR part 121. These size standards 

and codes established by the North 

American Industry Classification 

System (‘‘NAICS’’) and are available at 

https://www.sba.gov/document/ 

support—table-size-standards. Metal 

halide lamp ballast manufacturing is 

classified under NAICS 335311, ‘‘Power, 

Distribution, and Specialty Transformer 

Manufacturing.’’ The SBA sets a 

threshold of 750 employees or fewer for 

an entity to be considered as a small 

business for this category. MHLF 

manufacturing is classified under 

NAICS 335122, ‘‘Commercial, 

Industrial, and Institutional Electric 

Lighting Fixture Manufacturing.’’ The 

SBA sets a threshold of 500 employees 

or less for an entity to be considered as 

a small business for this category. 

To estimate the number of companies 

that could be small businesses that 

manufacture these ballasts, DOE 

conducted a market survey using 

publicly available information. DOE’s 

research involved reviewing 

information provided by trade 

associations (e.g., the National Electrical 

Manufacturers’ Association), 

information from individual company 

websites, market research tools (i.e., 

Hoover’s reports) and DOE’s 

certification and compliance database. 

DOE screened out companies that do 

not meet the definition of a ‘‘small 

business’’ or are completely foreign 

owned and operated. DOE identified 

five small businesses that produce metal 

halide lamp ballasts sold in the United 

States and can be considered small 

business manufacturers. For MHLFs, 

DOE identified approximately 54 small 

businesses that produce MHLFs sold in 

the United States and can be considered 

small business manufacturers. 

Because DOE has tentatively 

concluded that the proposed 

amendments would not increase the 

industry cost of the existing test 

procedure (see section III.H.1), DOE 

tentatively concludes that the impacts of 

the test procedure amendments 

proposed in this NOPR would not have 

a ‘‘significant economic impact on a 

substantial number of small entities,’’ 

and that the preparation of an IRFA is 

not warranted. DOE will transmit the 

certification and supporting statement 

of factual basis to the Chief Counsel for 

Advocacy of the Small Business 

Administration for review under 5 

U.S.C. 605(b). DOE requests comment 

on the impacts of the test procedure 

amendments proposed in this NOPR on 

small businesses. 

C. Review Under the Paperwork 

Reduction Act of 1995 

Manufacturers of MHLFs must certify 

to DOE that their equipment complies 

with any applicable energy conservation 

standards. To certify compliance, 

manufacturers must first obtain test data 

for their equipment according to the 

DOE test procedures, including any 

amendments adopted for those test 

procedures. DOE has established 

regulations for the certification and 

recordkeeping requirements for all 

covered consumer products and 

commercial equipment, including 

MHLFs. (See generally 10 CFR part 429.) 

The collection-of-information 

requirement for the certification and 

recordkeeping is subject to review and 

approval by OMB under the Paperwork 

Reduction Act (‘‘PRA’’). This 

requirement has been approved by OMB 

under OMB Control Number 1910–1400. 

Public reporting burden for the 

certification is estimated to average 35 

hours per response, including the time 

for reviewing instructions, searching 

existing data sources, gathering and 

maintaining the data needed, and 

completing and reviewing the collection 

of information. 

Notwithstanding any other provision 

of the law, no person is required to 

respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the PRA, unless 

that collection of information displays a 

currently valid OMB Control Number. 

D. Review Under the National 

Environmental Policy Act of 1969 

DOE is analyzing this proposed 

regulation in accordance with the 

National Environmental Policy Act of 

1969 (‘‘NEPA’’) and DOE’s NEPA 

implementing regulations (10 CFR part 

1021). DOE’s regulations include a 

categorical exclusion for rulemakings 

interpreting or amending an existing 

rule or regulation that does not change 

the environmental effect of the rule or 

regulation being amended. 10 CFR part 

1021, subpart D, Appendix A5. DOE 

anticipates that this rulemaking 

qualifies for categorical exclusion A5 

because it is an interpretive rulemaking 

that does not change the environmental 

effect of the rule and otherwise meets 

the requirements for application of a 

categorical exclusion. See 10 CFR 

1021.410. DOE will complete its NEPA 

review before issuing the final rule. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (Aug. 4, 1999), imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have Federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountable process to 

ensure meaningful and timely input by 

State and local officials in the 

development of regulatory policies that 

have Federalism implications. On 

March 14, 2000, DOE published a 

statement of policy describing the 

intergovernmental consultation process 

it will follow in developing such 

regulations. 65 FR 13735. DOE has 

examined this proposed rule and has 

determined that it would not have a 

substantial direct effect on the States, on 

the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. EPCA governs and 

prescribes Federal preemption of State 

regulations as to energy conservation for 

the products that are the subject of this 

proposed rule. States can petition DOE 

for exemption from such preemption to 

the extent, and based on criteria, set 

forth in EPCA. (42 U.S.C. 6297(d)) No 

further action is required by Executive 

Order 13132. 

F. Review Under Executive Order 12988 

Regarding the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard; and (4) promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort to ensure that the 

regulation: (1) clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 


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defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

standards in sections 3(a) and 3(b) to 

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, the proposed 

rule meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (‘‘UMRA’’) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Public Law 104–4, sec. 

201 (codified at 2 U.S.C. 1531). For a 

proposed regulatory action likely to 

result in a rule that may cause the 

expenditure by State, local, and Tribal 

governments, in the aggregate, or by the 

private sector of $100 million or more 

in any one year (adjusted annually for 

inflation), section 202 of UMRA requires 

a Federal agency to publish a written 

statement that estimates the resulting 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), (b)) 

The UMRA also requires a Federal 

agency to develop an effective process 

to permit timely input by elected 

officers of State, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate,’’ and 

requires an agency plan for giving notice 

and opportunity for timely input to 

potentially affected small governments 

before establishing any requirements 

that might significantly or uniquely 

affect small governments. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820; also available at 

https://energy.gov/gc/office-generalcounsel. DOE examined this proposed 

rule according to UMRA and its 

statement of policy and determined that 

because the rule contains neither an 

intergovernmental mandate nor a 

mandate that may result in the 

expenditure of $100 million or more in 

any year, 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. This 

proposed rule would not have any 

impact on the autonomy or integrity of 

the family as an institution. 

Accordingly, DOE has concluded that it 

is not necessary to prepare a Family 

Policymaking Assessment. 

I. Review Under Executive Order 12630 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights,’’ 53 FR 8859 

(Mar. 18, 1988), that this proposed 

regulation would not result in any 

takings that might require compensation 

under the Fifth Amendment to the U.S. 

Constitution. 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001, (44 U.S.C. 3516 note) 

provides for agencies to review most 

disseminations of information to the 

public under guidelines established by 

each agency pursuant to general 

guidelines issued by OMB. OMB’s 

guidelines were published at 67 FR 

8452 (Feb. 22, 2002), and DOE’s 

guidelines were published at 67 FR 

62446 (Oct. 7, 2002). Pursuant to OMB 

Memorandum M–19–15, Improving 

Implementation of the Information 

Quality Act (April 24, 2019), DOE 

published updated guidelines which are 

available at https://www.energy.gov/

sites/prod/files/2019/12/f70/DOE

%20Final%20Updated%20IQA

%20Guidelines%20Dec%202019.pdf. 

DOE has reviewed this proposed rule 

under the OMB and DOE guidelines and 

has concluded that it is consistent with 

applicable policies in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to OMB, a 

Statement of Energy Effects for any 

proposed significant energy action. A 

‘‘significant energy action’’ is defined as 

any action by an agency that 

promulgated or is expected to lead to 

promulgation of a final rule, and that 

(1) is a significant regulatory action 

under Executive Order 12866, or any 

successor order; and (2) is likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy; or 

(3) is designated by the Administrator of 

OIRA as a significant energy action. For 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use 

should the proposal be implemented, 

and of reasonable alternatives to the 

action and their expected benefits on 

energy supply, distribution, and use. 

This proposed regulatory action to 

amend the test procedure for measuring 

the energy consumption of MHLFs is 

not a significant regulatory action under 

Executive Order 12866. Moreover, it 

would not have a significant adverse 

effect on the supply, distribution, or use 

of energy, nor has it been designated as 

a significant energy action by the 

Administrator of OIRA. Therefore, it is 

not a significant energy action, and, 

accordingly, DOE has not prepared a 

Statement of Energy Effects. 

L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

91; 42 U.S.C. 7101), DOE must comply 

with section 32 of the Federal Energy 

Administration Act of 1974, as amended 

by the Federal Energy Administration 

Authorization Act of 1977. (15 U.S.C. 

788; FEAA) Section 32 essentially 

provides in relevant part that, where a 

proposed rule authorizes or requires use 

of commercial standards, the notice of 

proposed rulemaking must inform the 

public of the use and background of 

such standards. In addition, section 

32(c) requires DOE to consult with the 

Attorney General and the Chairman of 

the Federal Trade Commission (‘‘FTC’’) 

concerning the impact of the 

commercial or industry standards on 

competition. 

The proposed modifications to the 

test procedure for metal halide lamp 

ballasts in this NOPR incorporates 

testing methods contained in the 

following commercial standards: 

(1) ANSI C78.43, ‘‘American National 

Standard for Electric Lamps—Single-Ended 

Metal Halide Lamps,’’ 2017; 

(2) ANSI C78.44, ‘‘American National 

Standard for Electric Lamps—DoubleEnded Metal Halide Lamps,’’ 2016; 

(3) ANSI C82.6, ‘‘American National 

Standard for Lamp Ballasts—Ballasts for 

High-Intensity Discharge Lamps—Methods 

of Measurement,’’ 2020; 

(4) ANSI C82.9, ‘‘American National 

Standard for Electric Lamps— High 

Intensity Discharge and Low-Pressure 

Sodium Lamps— Definitions,’’ 2016; and 

(5) IEC Standard 62301, ‘‘Household 

electrical appliances—Measurement of 

standby power (Edition 2.0, January 

2011),’’ 2011. 

DOE has evaluated these standards 

and is unable to conclude whether they 

fully comply with the requirements of 


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section 32(b) of the FEAA (15 U.S.C. 

775) (i.e., whether they were developed 

in a manner that fully provides for 

public participation, comment, and 

review). DOE will consult with both the 

Attorney General and the Chairman of 

the FTC concerning the impact of these 

test procedures on competition, prior to 

prescribing a final rule. 

M. Description of Materials 

Incorporated by Reference 

In this NOPR, DOE proposes to 

incorporate by reference the test 

standard published by ANSI, titled 

‘‘American National Standard for 

Electric Lamps—Single-Ended Metal 

Halide Lamps,’’ ANSI C78.43–2017. 

ANSI C78.43–2017 is an industry 

accepted test standard that specifies the 

physical and electrical requirements for 

single-ended metal halide lamps 

operated on 60 Hz ballasts. The test 

procedure proposed in this NOPR 

references ANSI C78.43–2017 for 

characteristics of reference lamps that 

must be used when testing metal halide 

lamp ballasts. ANSI C78.43–2017 is 

readily available on ANSI’s website at 

https://webstore.ansi.org/. 

DOE also proposes to incorporate by 

reference the test standard published by 

ANSI, titled ‘‘American National 

Standard for Electric Lamps—DoubleEnded Metal Halide Lamps,’’ ANSI 

C78.44–2016. ANSI C78.44–2016 is an 

industry accepted test standard that sets 

forth the physical and electrical 

requirements for double-ended metal 

halide lamps operated on 60 Hz ballasts. 

The test procedure proposed in this 

NOPR references ANSI C78.44–2016 for 

characteristics of reference lamps that 

must be used when testing metal halide 

lamp ballasts. ANSI C78.44–2016 is 

readily available on ANSI’s website at 

https://webstore.ansi.org/. 

DOE also proposes to incorporate by 

reference the test standard published by 

ANSI, titled ‘‘American National 

Standard for Lamp Ballasts—Ballasts for 

High-Intensity Discharge Lamps— 

Methods of Measurement,’’ ANSI 

C82.6–2015 (R2020). ANSI C82.6–2015 

(R2020) is an industry accepted test 

standard that describes the procedures 

and the precautions to be taken in 

measuring performance of lowfrequency ballasts (electromagnetic and 

electronic ballasts that operate at less 

than 400 Hz) for HID lamps. The test 

procedure proposed in this NOPR 

references sections of ANSI C82.6–2015 

(R2020) for general testing conditions 

and methods for the measurement of 

ballast operating characteristics. ANSI 

C82.6–2015 (R2020) is readily available 

on ANSI’s website at https://

webstore.ansi.org/. 

DOE also proposes to incorporate by 

reference the test standard published by 

ANSI, titled ‘‘American National 

Standard for Electric Lamps— High 

Intensity Discharge and Low-Pressure 

Sodium Lamps— Definitions,’’ ANSI 

C82.9–2016. ANSI C82.9–2016 is an 

industry accepted standard that 

provides definitions related to specific 

terms related to HID lamps and ballasts. 

The test procedure proposed in this 

NOPR references ANSI C82.9–2016 for 

defining reference lamps which are used 

when testing metal halide lamp ballasts. 

ANSI C82.9–2016 is readily available on 

ANSI’s website at https://

webstore.ansi.org/. 

In this NOPR, DOE proposes to 

incorporate by reference the test 

standard published by IEC, titled 

‘‘Household electrical appliances— 

Measurement of standby power (Edition 

2.0, January 2011),’’ IEC 62301:2011. 

IEC 62301:2011 is an industry accepted 

test standard that describes 

measurements of electrical power 

consumption in standby mode, off 

mode, and network mode. The test 

procedure proposed in this NOPR 

references sections of IEC Standard 

62301:2011 for testing standby mode 

power consumption of metal halide 

lamp ballasts. IEC 62301:2011 is readily 

available on IEC’s website at https://

webstore.iec.ch/home. 

V. Public Participation 

A. Participation in the Webinar 

The time and date of the webinar are 

listed in the DATES section at the 

beginning of this document. If no 

participants register for the webinar, it 

will be cancelled. Webinar registration 

information, participant instructions, 

and information about the capabilities 

available to webinar participants will be 

published on DOE’s website: https://

www1.eere.energy.gov/buildings/ 

appliance_standards/ 

standards.aspx?productid=14. 

Participants are responsible for ensuring 

their systems are compatible with the 

webinar software. 

B. Submission of Comments 

DOE will accept comments, data, and 

information regarding this proposed 

rule no later than the date provided in 

the DATES section at the beginning of 

this proposed rule. Interested parties 

may submit comments using any of the 

methods described in the ADDRESSES

section at the beginning of this 

document. 

Submitting comments via https://

www.regulations.gov. The https://

www.regulations.gov web page will 

require you to provide your name and 

contact information. Your contact 

information will be viewable to DOE 

Building Technologies staff only. Your 

contact information will not be publicly 

viewable except for your first and last 

names, organization name (if any), and 

submitter representative name (if any). 

If your comment is not processed 

properly because of technical 

difficulties, DOE will use this 

information to contact you. If DOE 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, DOE may not be 

able to consider your comment. 

However, your contact information 

will be publicly viewable if you include 

it in the comment or in any documents 

attached to your comment. Any 

information that you do not want to be 

publicly viewable should not be 

included in your comment, nor in any 

document attached to your comment. 

Persons viewing comments will see only 

first and last names, organization 

names, correspondence containing 

comments, and any documents 

submitted with the comments. 

Do not submit to https://

www.regulations.gov information for 

which disclosure is restricted by statute, 

such as trade secrets and commercial or 

financial information (hereinafter 

referred to as Confidential Business 

Information (‘‘CBI’’)). Comments 

submitted through https://

www.regulations.gov cannot be claimed 

as CBI. Comments received through the 

website will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section. 

DOE processes submissions made 

through https://www.regulations.gov 

before posting. Normally, comments 

will be posted within a few days of 

being submitted. However, if large 

volumes of comments are being 

processed simultaneously, your 

comment may not be viewable for up to 

several weeks. Please keep the comment 

tracking number that https://

www.regulations.gov provides after you 

have successfully uploaded your 

comment. 

Submitting comments via email. 

Comments and documents submitted 

via email also will be posted to https:// 

www.regulations.gov. If you do not want 

your personal contact information to be 

publicly viewable, do not include it in 

your comment or any accompanying 

documents. Instead, provide your 

contact information on a cover letter. 

Include your first and last names, email 

address, telephone number, and 

optional mailing address. The cover 

letter will not be publicly viewable as 


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Federal Register / Vol. 86, No. 132 / Wednesday, July 14, 2021 / Proposed Rules 37085 

long as it does not include any 

comments. 

Include contact information each time 

you submit comments, data, documents, 

and other information to DOE. No 

facsimiles (faxes) will be accepted. 

Comments, data, and other 

information submitted to DOE 

electronically should be provided in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format. Provide documents that are not 

secured, written in English and free of 

any defects or viruses. Documents 

should not contain special characters or 

any form of encryption and, if possible, 

they should carry the electronic 

signature of the author. 

Campaign form letters. Please submit 

campaign form letters by the originating 

organization in batches of between 50 to 

500 form letters per PDF or as one form 

letter with a list of supporters’ names 

compiled into one or more PDFs. This 

reduces comment processing and 

posting time. 

Confidential Business Information. 

According to 10 CFR 1004.11, any 

person submitting information that he 

or she believes to be confidential and 

exempt by law from public disclosure 

should submit via email two wellmarked copies: One copy of the 

document marked confidential 

including all the information believed to 

be confidential, and one copy of the 

document marked non-confidential with 

the information believed to be 

confidential deleted. DOE will make its 

own determination about the 

confidential status of the information 

and treat it according to its 

determination. 

It is DOE’s policy that all comments 

may be included in the public docket, 

without change and as received, 

including any personal information 

provided in the comments (except 

information deemed to be exempt from 

public disclosure). 

C. Issues on Which DOE Seeks 

Comment 

Although DOE welcomes comments 

on any aspect of this proposal, DOE is 

particularly interested in receiving 

comments and views of interested 

parties concerning the following issues: 

(1) DOE requests comment on its 

proposal to incorporate by reference 

ANSI C82.6–2015 (R2020), ANSI 

C78.43–2017, ANSI C78.44–2016, ANSI 

C82.9–2016, and IEC 62301:2011. 

(2) DOE requests comment on the 

proposal to specify that dimming metal 

halide lamp ballasts be tested at 

maximum input power. 

(3) DOE requests comment on the 

proposed requirements for selecting 

reference lamps for ballasts capable of 

operating lamps of different wattages or 

lamp types, and specifically the 

proposals to test ballasts with lamps at 

the highest lamp wattage and to test 

with quartz metal halide lamps. 

(4) DOE requests comment on its 

proposal to directly reference the basic 

stabilization method section and 

alternative stabilization method section 

of ANSI C82.6–2015 (R2020). DOE also 

requests comment on its proposal to 

retain the lamp stability criteria for the 

basic stabilization method. 

(5) DOE requests comment on 

referencing the active mode test method 

section for the test conditions and setup 

of the standby mode test method and for 

the connection of lamps (with the 

exception of reference lamp 

requirements). 

(6) DOE requests comment on 

proposed instructions requiring the 

lamp be turned on to ensure the ballast 

is not defective prior to measuring 

standby mode energy consumption. 

(7) DOE requests comment on 

referencing section 5 of IEC 62301:2011 

for stabilization and standby mode 

energy consumption measurements. 

(8) DOE requests comment on DOE’s 

tentative determination that the 

proposed updates would not change 

measured values used for certifying 

compliance with existing energy 

conservation standards. 

(9) DOE seeks comment on whether 

the proposed test procedure, if adopted, 

is reasonably designed to produce 

results that measure the energy use or 

efficiency of MHLFs during a 

representative average use cycle or 

period of use. 

(10) DOE requests comments, data, 

and information regarding the cost 

impact and test burden of the proposed 

amendments in this NOPR to 

manufacturers. 

(11) DOE requests comment on the 

impacts of the proposed test procedure 

amendments on small businesses. 

(12) DOE requests comments on any 

other aspect of the existing test 

procedure for MHLFs not already 

addressed by the specific areas 

identified in this document. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this proposed rule. 

List of Subjects in 10 CFR Part 431 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation test 

procedures, Incorporation by reference, 

Reporting and recordkeeping 

requirements, and Small business. 

Signing Authority 

This document of the Department of 

Energy was signed on June 23, 2021, by 

Kelly Speakes-Backman, Principal 

Deputy Assistant Secretary and Acting 

Assistant Secretary for Energy Efficiency 

and Renewable Energy, pursuant to 

delegated authority from the Secretary 

of Energy. That document with the 

original signature and date is 

maintained by DOE. For administrative 

purposes only, and in compliance with 

requirements of the Office of the Federal 

Register, the undersigned DOE Federal 

Register Liaison Officer has been 

authorized to sign and submit the 

document in electronic format for 

publication, as an official document of 

the Department of Energy. This 

administrative process in no way alters 

the legal effect of this document upon 

publication in the Federal Register. 

Signed in Washington, DC, on June 23, 

2021. 

Treena V. Garrett, 

Federal Register Liaison Officer, U.S. 

Department of Energy. 

For the reasons stated in the 

preamble, DOE is proposing to amend 

part 431 of chapter II of title 10, Code 

of Federal Regulations 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; 28 U.S.C. 

2461 note. 

■ 2. Section 431.322 is amended by: 

■ a. Removing the definitions for ‘‘AC 

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

and ‘‘Wireless control signal’’; 

■ b. Revising the definition of ‘‘Ballast 

efficiency’’; and 

■ c. Adding in alphabetical order, 

definitions for ‘‘Ceramic metal halide 

lamp’’, ‘‘Quartz metal halide lamp’’, and 

‘‘Reference lamp’’. 

The revision and addition read as 

follows: 

§ 431.322 Definitions concerning metal 

halide lamp ballasts and fixtures. 

* * * * * 

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; and 


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(2) Pin equals the measured operating input 

wattage. 

* * * * * 

Ceramic metal halide lamp means a 

metal halide lamp with an arc tube 

made of ceramic materials. 

* * * * * 

Quartz metal halide lamp means a 

metal halide lamp with an arc tube 

made of quartz materials. 

Reference lamp is a metal halide lamp 

that meets the operating conditions of a 

reference lamp as defined by ANSI 

C82.9–2016 (incorporated by reference; 

see § 431.323). 

* * * * * 

■ 3. Section 431.323 is amended by: 

■ a. Revising paragraphs (a) and (b)(1); 

■ b. Redesignating paragraph (b)(2) as 

paragraph (b)(3); 

■ c. Adding new paragraph (b)(2); 

■ d. Revising newly redesignated 

paragraph (b)(3); 

■ e. Adding paragraph (b)(4); 

■ f. Redesignating paragraph (c) as 

paragraph (d); and 

■ g. Adding new paragraph (c). 

The revisions and additions read as 

follows: 

§ 431.323 Materials incorporated by 

reference. 

(a) Certain material is incorporated by 

reference into this subpart with the 

approval of the Director of the Federal 

Register under 5 U.S.C. 552(a) and 1 

CFR part 51. To enforce any edition 

other than that specified in this section, 

the DOE must publish a document in 

the Federal Register and the material 

must be available to the public. All 

approved material is available for 

inspection at the U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, Sixth Floor, 950 

L’Enfant Plaza SW, Washington, DC 

20024, (202) 586–2945, or go to https:// 

www.energy.gov/eere/buildings/ 

appliance-and-equipment-standardsprogram. It is also available for 

inspection at the National Archives and 

Records Administration (NARA). For 

information on the availability of this 

material at NARA, email: fedreg.legal@

nara.gov, or go to: www.archives.gov/ 

federal-register/cfr/ibr-locations.html. 

(b) * * * 

(1) ANSI C78.43 (‘‘ANSI C78.43– 

2017’’), American National Standard for 

Electric Lamps—Single-Ended Metal 

Halide Lamps, approved December 21, 

2017, IBR approved for § 431.324. 

(2) ANSI C78.44 (‘‘ANSI C78.44– 

2016’’), American National Standard for 

Electric Lamps—Double-Ended Metal 

Halide Lamps, approved July 1, 2016, 

IBR approved for § 431.324. 

(3) ANSI C82.6 (‘‘ANSI C82.6–2015 

(R2020)’’), American National Standard 

for Lamp Ballasts—Ballasts for HighIntensity Discharge Lamps—Methods of 

Measurement, approved March 30, 

2020, IBR approved for §§ 431.322 and 

431.324. 

(4) ANSI C82.9 (‘‘ANSI C82.9–2016’’), 

American National Standard for Electric 

Lamps—High Intensity Discharge and 

Low-Pressure Sodium Lamps— 

Definitions, approved July 12, 2016, IBR 

approved for §§ 431.322 and 431.324. 

(c) IEC. International Electrotechnical 

Commission, available from the 

American National Standards Institute, 

25 W. 43rd Street, 4th Floor, New York, 

NY 10036, (212) 642–4900, or go to 

https://webstore.ansi.org. 

(1) IEC 62301 (‘‘IEC 62301’’), 

Household electrical appliances— 

Measurement of standby power, 

(Edition 2.0, 2011–01), IBR approved for 

§ 431.324; 

(2) [Reserved] 

* * * * * 

■ 4. Section 431.324 is revised 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. 

(a) Scope. This section provides test 

procedures for measuring, pursuant to 

EPCA, the energy efficiency of metal 

halide lamp ballasts. After August 13, 

2021 and prior to January 10, 2022 any 

representations with respect to energy 

use or efficiency of metal halide lamp 

fixtures must be in accordance with the 

results of testing pursuant to this section 

or the test procedures as they appeared 

in § 431.324 revised as of January 1, 

2019. On or after January 10, 2022, any 

representations, including certifications 

of compliance for metal halide lamp 

fixtures subject to any energy 

conservation standard, made with 

respect to the energy use or efficiency of 

metal halide lamp fixtures must be 

made in accordance with the results of 

testing pursuant to this section. 

(b) Active Mode Procedure. (1) 

General Instructions. Specifications in 

referenced standards that are 

recommended, that ‘‘shall’’ or ‘‘should’’ 

be met, or that are not clearly 

mandatory, are mandatory. In cases 

where there is a conflict between any 

industry standard(s) and this section, 

the language of the test procedure in 

this section takes precedence over the 

industry standard(s). 

(2) Test Conditions and Setup. (i) The 

power supply, ballast conditions, lamp 

position, and instrumentation must all 

conform to the requirements specified 

in section 4.0 of ANSI C82.6–2015 

(R2020) (incorporated by reference; see 

§ 431.323). 

(ii) Airflow in the room for the testing 

period must be ≤0.5 meters/second. 

(iii) Test circuits must be in 

accordance with the circuit connections 

specified in section 6.3 of ANSI C82.6– 

2015 (R2020). 

(iv) For ballasts designed to operate 

lamps rated less than 150 W that have 

120 V as an available input voltage, 

testing must be performed at 120 V. For 

ballasts designed to operate lamps rated 

less than 150 W that do not have 120 V 

as an available voltage, testing must be 

performed at the highest available input 

voltage. For ballasts designed to operate 

lamps rated greater than or equal to 150 

W that have 277 V as an available input 

voltage, testing must be conducted at 

277 V. For ballasts designed to operate 

lamps rated greater than or equal to 150 

W that do not have 277 V as an available 

input voltage, testing must be conducted 

at the highest available input voltage. 

(v) Operate dimming ballasts at 

maximum input power. 

(vi) Select the metal halide lamp for 

testing as follows: 

(A) The metal halide lamp used for 

testing must meet the specifications of 

a reference lamp as defined by ANSI 

C82.9–2016 (incorporated by reference; 

see § 431.323) and the rated values of 

the corresponding lamp data sheet as 

specified in ANSI C78.43–2017 

(incorporated by reference; see 

§ 431.323) for single-ended lamps and 

ANSI C78.44–2016 (incorporated by 

reference; see § 431.323) for doubleended lamps. 

(B) Ballasts designated with ANSI 

codes corresponding to more than one 

lamp must be tested with the lamp 

having the highest nominal lamp 

wattage as specified in ANSI C78.43– 

2017 or ANSI C78.44–2016, as 

applicable. 

(C) Ballasts designated with ANSI 

codes corresponding to both ceramic 

metal halide lamps (code beginning 

with ‘‘C’’) and quartz metal halide 

lamps (code beginning with ‘‘M’’) of the 

same nominal lamp wattage must be 

tested with the quartz metal halide 

lamp. 

(3) Test Method. (i) Stabilization 

Criteria. (A) General Instruction. Lamp 

must be seasoned as prescribed in 

section 4.4.1 of ANSI C82.6–2015 

(R2020) (incorporated by reference; see 

§ 431.323). 

(B) Basic Stabilization Method. Lamps 

using the basic stabilization method 

must be stabilized in accordance with 

section 4.4.2 of ANSI C82.6–2015 

(R2020). Stabilization is reached when 

the lamp’s electrical characteristics vary 

by no more than 3-percent in three 

consecutive 10- to 15-minute intervals 


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measured after the minimum burning 

time of 30 minutes. 

(C) Alternative Stabilization Method. 

In cases where switching from the 

reference ballast to test ballast without 

extinguishing the lamp is impossible, 

such as for low-frequency electronic 

ballasts, the alternative stabilization 

method must be used. Lamps using the 

alternative stabilization method must be 

stabilized in accordance with section 

4.4.3 of ANSI C82.6–2015 (R2020). 

(ii) Test Measurements. (A) The 

ballast input power during operating 

conditions must be measured in 

accordance with the methods specified 

in sections 6.1 and 6.8 of ANSI C82.6– 

2015 (R2020). 

(B) The ballast output (lamp) power 

during operating conditions must be 

measured in accordance with the 

methods specified in sections 6.2 and 

6.10 of ANSI C82.6–2015 (R2020). 

(C) For ballasts with a frequency of 60 

Hz, the ballast input and output power 

shall be measured after lamps have been 

stabilized according to section 4.4 of 

ANSI C82.6–2015 (R2020) using a 

wattmeter with accuracy specified in 

section 4.5 of ANSI C82.6–2015 (R2020); 

and 

(D) For ballasts with a frequency 

greater than 60 Hz, the ballast input and 

output power 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. 

(iii) Calculations. (A) The measured 

ballast output (lamp) power, as 

measured in paragraph (b)(3)(ii)(B) of 

this section, must be divided by the 

measured ballast input power, as 

measured in paragraph (b)(3)(ii)(A) of 

this section, to determine the percent 

efficiency of the ballast under test to 

three significant figures. 

(B) [Reserved] 

(c) Standby Mode Procedure. (1) 

General Instructions. Measure standby 

mode energy consumption only for a 

ballast that is capable of operating in 

standby mode. Specifications in 

referenced standards that are 

recommended, that ‘‘shall’’ or ‘‘should’’ 

be met, or that are not clearly 

mandatory, are mandatory. When there 

is a conflict, the language of the test 

procedure in this section takes 

precedence over IEC 62301 

(incorporated by reference; see 

§ 431.323). 

(2) Test Conditions and Setup. 

(i) Establish and maintain test 

conditions and setup in accordance 

with paragraph (b)(1) of this section. 

(ii) Connect each ballast to a lamp as 

specified in paragraph (b)(2)(vii) of this 

section. Note: ballast operation with a 

reference lamp is not required. 

(3) Test Method and Measurement. 

(i) Turn on all of the lamps at full 

light output. If any lamp is not 

functional, replace the lamp and repeat 

the test procedure. If the ballast will not 

operate any lamps, replace the unit 

under test. 

(ii) 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. 

(iii) Stabilize the ballast prior to 

measurement using one of the methods 

as specified in section 5 of IEC 62301 

(incorporated by reference; see 

§ 431.323). 

(iv) Measure the standby mode energy 

consumption in watts using one of the 

methods as specified in section 5 of IEC 

62301 (incorporated by reference; see 

§ 431.323). 

[FR Doc. 2021–13772 Filed 7–13–21; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Part 39 

[Docket No. FAA–2021–0563; Project 

Identifier MCAI–2021–00282–T] 

RIN 2120–AA64 

Airworthiness Directives; Airbus SAS 

Airplanes 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Notice of proposed rulemaking 

(NPRM). 

SUMMARY: The FAA proposes to adopt a 

new airworthiness directive (AD) for 

certain Airbus SAS Model A350–941 

and –1041 airplanes. This proposed AD 

was prompted by a report that during 

flight tests, the opening of the ram air 

outlet flaps was found to cause a 

disturbance of the air flow around the 

ram air turbine (RAT) when the landing 

gear (L/G) is extended. This proposed 

AD would require revising the existing 

airplane flight manual (AFM) and 

applicable corresponding operational 

procedures to provide procedures for all 

engines failure and L/G gravity 

extension related to certain software, 

and installing Airbus temporary quick 

change (ATQC) V3 for the flight warning 

system (FWS) software (SW) standard 

(STD) 6/2.0, as specified in a European 

Union Aviation Safety Agency (EASA) 

AD, which is proposed for incorporation 

by reference. The FAA is proposing this 

AD to address the unsafe condition on 

these products. 

DATES: The FAA must receive comments 

on this proposed AD by August 30, 

2021. 

ADDRESSES: You may send comments, 

using the procedures found in 14 CFR 

11.43 and 11.45, by any of the following 

methods: 

• Federal eRulemaking Portal: Go to 

https://www.regulations.gov. Follow the 

instructions for submitting comments. 

• Fax: 202–493–2251. 

• Mail: U.S. Department of 

Transportation, Docket Operations, M– 

30, West Building Ground Floor, Room 

W12–140, 1200 New Jersey Avenue SE, 

Washington, DC 20590. 

• Hand Delivery: Deliver to Mail 

address above between 9 a.m. and 5 

p.m., Monday through Friday, except 

Federal holidays. 

For material that will be incorporated 

by reference (IBR) in this AD, contact 

EASA, Konrad-Adenauer-Ufer 3, 50668 

Cologne, Germany; telephone +49 221 

8999 000; email ADs@easa.europa.eu; 

internet www.easa.europa.eu. You may 

find this IBR material on the EASA 

website at https://ad.easa.europa.eu. 

You may view this IBR material at the 

FAA, Airworthiness Products Section, 

Operational Safety Branch, 2200 South 

216th St., Des Moines, WA. For 

information on the availability of this 

material at the FAA, call 206–231–3195. 

It is also available in the AD docket on 

the internet at https://

www.regulations.gov by searching for 

and locating Docket No. FAA–2021– 

0563. 

Examining the AD Docket 

You may examine the AD docket on 

the internet at https://

www.regulations.gov by searching for 

and locating Docket No. FAA–2021– 

0563; or in person at Docket Operations 

between 9 a.m. and 5 p.m., Monday 

through Friday, except Federal holidays. 

The AD docket contains this NPRM, any 

comments received, and other 

information. The street address for 

Docket Operations is listed above. 

FOR FURTHER INFORMATION CONTACT: Nick 

Wilson, Aerospace Engineer, Large 

Aircraft Section, International 

Validation Branch, FAA, 2200 South 

216th St., Des Moines, WA 98198; 

telephone and fax 206–231–3230; email 

nicholas.wilson@faa.gov. 

SUPPLEMENTARY INFORMATION: 

Comments Invited 

The FAA invites you to send any 

written relevant data, views, or 

arguments about this proposal. Send 

your comments to an address listed 

under ADDRESSES. Include ‘‘Docket No. 

FAA–2021–0563; Project Identifier 


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