[Federal Register Volume 74, Number 131 (Friday, July 10, 2009)]
[Proposed Rules]
[Pages 33171-33189]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-15881]


========================================================================
Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of 
the proposed issuance of rules and regulations. The purpose of these 
notices is to give interested persons an opportunity to participate in 
the rule making prior to the adoption of the final rules.

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Federal Register / Vol. 74, No. 131 / Friday, July 10, 2009 / 
Proposed Rules

[[Page 33171]]



DEPARTMENT OF ENERGY

10 CFR Part 431

[Docket No. EERE-2008-BT-TP-0017]
RIN 1904-AB87


Energy Conservation Program for Certain Commercial and Industrial 
Equipment: Test Procedures for Metal Halide Lamp Ballasts

AGENCY: Office of Energy Efficiency and Renewable Energy, Department of 
Energy.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The U.S. Department of Energy (DOE) proposes to establish 
metal halide lamp ballast test procedures that manufacturers would use 
to demonstrate compliance with the metal halide ballast energy 
conservation standards mandated by the statute. In accordance with the 
Energy Policy and Conservation Act, as amended (EPCA), these test 
procedures are based on American National Standards Institute (ANSI) 
Standard C82.6-2005, ``Ballasts for High-Intensity Discharge Lamps--
Method of Measurement.'' Also in accordance with EPCA, DOE proposes a 
test method for measuring standby mode power consumption and discusses 
the fact that off mode power consumption does not apply to metal halide 
lamp ballasts.

DATES: DOE held a public meeting on Friday, December 19, 2008, in 
Washington, DC. DOE began accepting comments, data, and information 
regarding this notice of proposed rulemaking (NOPR) at the public 
meeting and will continue to accept such submissions until no later 
than September 23, 2009. For details, see section IV, ``Public 
Participation,'' of this NOPR.

ADDRESSES: The public meeting was held at the U.S. Department of 
Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121.
    Any comment submitted must identify the NOPR on Test Procedures for 
Metal Halide Lamp Ballasts and provide the docket number EERE-2008-BT-
TP-0017 and/or Regulation Identifier Number (RIN) 1904-AB87. Comments 
may be submitted using any of the following methods:
    <bullet> Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comment.
    <bullet> E-mail: <a href="/cdn-cgi/l/email-protection#ca87afbeaba69582aba6a3aeaf9588aba6a6abb9beb9e498bfa6afa7aba1a3a4ad8aa2bbe4aea5afe4ada5bc"><span class="__cf_email__" data-cfemail="8dc0e8f9ece1d2c5ece1e4e9e8d2cfece1e1ecfef9fea3dff8e1e8e0ece6e4e3eacde5fca3e9e2e8a3eae2fb">[email protected]</span></a>. 
Include the docket number EERE-2008-BT-TP-0017 and/or RIN 1904-AB87 in 
the subject line of the message.
    <bullet> Postal Mail: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, Mailstop EE-2J, 1000 
Independence Avenue, SW., Washington, DC 20585-0121. Please submit one 
signed paper original.
    <bullet> Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department 
of Energy, Building Technologies Program, 6th Floor, 950 L'Enfant 
Plaza, SW., Washington, DC 20024. Telephone: (202) 586-2945. Please 
submit one signed paper original.
    For detailed instructions on submitting comment and additional 
information on the rulemaking process, see section IV, ``Public 
Participation,'' of this document.
    Docket: For access to the docket to read background documents or 
comments received, visit the U.S. Department of Energy, Resource Room 
of the Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, 
SW., Washington, DC 20024, (202) 586-2945, between 9 a.m. and 4 p.m., 
Monday through Friday, except Federal holidays. Please contact Ms. 
Brenda Edwards at the above phone number for additional information 
regarding visiting the Resource Room.

FOR FURTHER INFORMATION CONTACT: Ms. Linda Graves, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121. Telephone: (202) 586-1851. E-mail: 
<a href="/cdn-cgi/l/email-protection#3c705552585d127b4e5d4a594f7c595912585359125b534a"><span class="__cf_email__" data-cfemail="4a0623242e2b640d382b3c2f390a2f2f642e252f642d253c">[email protected]</span></a>. Or you may contact Mr. Eric Stas, U.S. 
Department of Energy, Office of the General Counsel, GC-72, 1000 
Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 
586-9507. E-mail: <a href="/cdn-cgi/l/email-protection#e8ad9a818bc6bb9c899ba88099c68c878dc68f879e"><span class="__cf_email__" data-cfemail="e8ad9a818bc6bb9c899ba88099c68c878dc68f879e">[email protected]</span></a>.
    For additional information on how to submit or review public 
comments, contact Ms. Brenda Edwards, U.S. Department of Energy, Office 
of Energy Efficiency and Renewable Energy, Building Technologies 
Program, Mailstop EE-2J, 1000 Independence Avenue, SW., Washington, DC 
20585-0121. Telephone: (202) 586-2945. E-
mail:<a href="/cdn-cgi/l/email-protection#9ddfeff8f3f9fcb3d8f9eafceff9eeddf8f8b3f9f2f8b3faf2eb"><span class="__cf_email__" data-cfemail="5614243338323778133221372432251633337832393378313920">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION: 
I. Background and Authority
II. Summary of the Proposal
III. Discussion
    A. ANSI Standards Development Process
    B. Definitions
    C. Test Method for Measuring Energy Efficiency of Metal Halide 
Ballasts
    1. Test Setup and Conditions
    a. Lamp Orientation
    b. Power Supply, Ambient Test Temperatures, and Instrumentation
    c. Lamp Stabilization
    2. Test Measurements
    3. Ballast Efficiency Calculation
    D. Test Method for Measuring Standby Power of Metal Halide 
Ballasts
    1. Overview of Test Method
    2. Test Method and Measurements
    3. Combining Measurements and Burden
    E. Scope of Applicability of Standby Power Test Procedure
    F. Effective Date of Standby Mode Test Method
    G. Units To Be Tested
    H. Submission of Data
    I. Enforcement Provisions
IV. Public Participation
    A. Submission of Comments
    B. Issues on Which DOE Seeks Comment
    1. Test Temperatures
    2. Test Instrumentation and Requirements
    3. Test Connections
    4. Lamp Orientation
    5. Lamp Seasoning and System Stabilization
    6. Test Measurements
    7. Applicability of Off Mode
    8. Applicability of Standby Measurements
    9. Definitions
    10. Circuit Diagrams
    11. Units To Be Tested
    12. Submission of Data
    13. Enforcement Provisions
V. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630

[[Page 33172]]

    J. Review Under the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
VI. Approval of the Office of the Secretary

I. Background and Authority

    Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291 
et seq.; EPCA or the Act) sets forth a variety of provisions designed 
to improve energy efficiency. Part A \1\ of Title III (42 U.S.C. 6291-
6309) establishes the ``Energy Conservation Program for Consumer 
Products Other than Automobiles,'' which covers certain products, 
including ``metal halide lamp fixtures.'' (42 U.S.C. 6292(a)(19)) Since 
the metal halide lamp fixture energy conservation standards in EPCA 
establish a minimum efficiency for the ballasts that are incorporated 
into those fixtures, this test procedure addresses measurement of metal 
halide ballast efficiency. (42 U.S.C. 6295(hh)(1)(A))
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    \1\ This part was originally titled Part B; however, it was 
redesignated Part A, after Part B of Title III was repealed by 
Public Law 109-58.
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    Under the Act, the overall program consists essentially of testing, 
labeling, and Federal energy conservation standards. The testing 
requirements consist of DOE test procedures, adopted pursuant to EPCA, 
that manufacturers of covered equipment must use as the basis for 
establishing and certifying to DOE that their equipment complies with 
applicable energy conservation standards promulgated under EPCA and for 
representing the efficiency of this equipment. Similarly, DOE must use 
these test procedures to determine whether the equipment complies with 
EPCA standards.
    Under 42 U.S.C. 6293, EPCA sets forth generally applicable criteria 
and procedures for DOE's adoption and amendment of such test 
procedures. EPCA provides that ``[a]ny test procedures prescribed or 
amended under this section shall be reasonably designed to produce test 
results which measure energy efficiency, energy use, * * * or estimated 
annual operating cost of a covered product during a representative 
average use cycle or period of use, as determined by the Secretary [of 
Energy], and shall not be unduly burdensome to conduct.'' (42 U.S.C. 
6293(b)(3))
    For metal halide lamp ballasts, section 324(c) of the Energy 
Independence and Security Act of 2007 (EISA 2007), Public Law 110-140, 
amended EPCA, and, in relevant part, required DOE to establish test 
procedures for metal halide ballasts--a newly covered equipment type 
under the statute--as follows: ``(18) Metal halide lamp ballasts.--Test 
procedures for metal halide lamp ballasts shall be based on ANSI 
Standard C82.6-2005, entitled `Ballasts for High-Intensity Discharge 
Lamps--Method of Measurement'.'' (42 U.S.C. 6293(b)(18))
    Section 324(e) of EISA 2007 further amended EPCA to prescribe 
mandatory minimum efficiency levels for pulse-start metal halide 
ballasts, magnetic probe-start ballasts, and nonpulse-start electronic 
ballasts that operate lamps rated greater than or equal to 150 watts 
(W) but less than or equal to 500 W. (42 U.S.C. 6295(hh)(1)(A)) 
Excluded from these energy conservation standards are regulated lag 
ballasts,\2\ electronic ballasts that operate at 480 volts, or ballasts 
in fixtures that are: (1) Rated only for 150 W lamps; (2) rated for use 
in wet locations, as specified by the National Electrical Code 2002, 
section 410.4(A); and (3) contain a ballast that is rated to operate at 
ambient air temperatures above 50 [deg]C, as specified by UL 1029-2001. 
(42 U.S.C. 6295(hh)(1)(B)) These statutory standards apply to metal 
halide lamp fixtures manufactured on or after January 1, 2009. (42 
U.S.C. 6295(hh)(1)(C))
---------------------------------------------------------------------------

    \2\ A ``regulated lag ballast'' is the industry term for a lag 
ballast with a third coil for improved lamp power regulation.
---------------------------------------------------------------------------

    DOE again notes that because of the codification of the metal 
halide ballast provisions at 42 U.S.C. 6295, a rulemaking for metal 
halide ballast energy conservation standards is subject to the 
requirements of the consumer products provisions of Part A of Title 
III. However, because metal halide ballasts are generally considered to 
be commercial equipment and consistent with DOE's previous action to 
incorporate requirements of the Energy Policy Act of 2005 (EPACT 2005) 
for commercial equipment into 10 CFR Part 431 (``Energy Efficiency 
Program for Certain Commercial and Industrial Equipment''), DOE intends 
to place the new requirements for metal halide ballasts in 10 CFR part 
431 for ease of reference. DOE notes that the location of the 
provisions within the CFR does not affect either the substance or 
applicable procedure for metal halide ballasts; as such, DOE is placing 
them in the appropriate CFR part based on the nature or type of those 
products. Based upon their placement into 10 CFR 431, metal halide 
ballasts will be referred to as ``equipment'' throughout this notice.
    DOE notes that pursuant to section 310 of EISA 2007, the 
Department's test procedure for all covered products must account for 
standby and off mode energy consumption, including the procedure for 
metal halide ballasts. (42 U.S.C. 6295(gg)(2)) Furthermore, section 310 
of EISA 2007 provides that any final rule establishing or revising 
energy conservation standards that is adopted on or after July 1, 2010, 
must incorporate standby mode and off mode energy use. (42 U.S.C. 
6295(gg)(3)(A)) A DOE test procedure to measure standby mode and off 
mode energy use must be in place to allow manufacturers to measure and 
certify to energy conservation standards that address these modes and 
is included in this proposed test procedure.

II. Summary of the Proposal

    As noted above, EPCA, as amended by EISA 2007, states that test 
procedures for metal halide lamp ballasts shall be based on ANSI 
Standard C82.6-2005, ``Ballasts for High Intensity Discharge Lamps--
Method of Measurement.'' \3\ (42 U.S.C. 6293(b)(18)) DOE reviewed ANSI 
Standard C82.6-2005 and found it suitable for the purposes of metal 
halide ballasts, because it contained all of the required major 
elements to adequately test and measure the efficiency of this 
equipment, as discussed in section III.C of this document. Accordingly, 
DOE has drawn on relevant portions of ANSI Standard C82.6-2005 in 
developing its proposed test procedures for metal halide ballasts. 
Specifically, today's NOPR references the ballast power loss 
measurement method (section 6.10) of ANSI Standard C82.6-2005 as the 
means of determining the efficiency of metal halide lamp ballasts, and 
it references other applicable sections of ANSI Standard C82.6-2005 for 
test conditions and setup. This NOPR also proposes test procedures for 
measuring standby mode power consumption, based on relevant portions of 
ANSI Standard C82.6-2005. Finally, this NOPR proposes sampling and 
efficiency calculations to be used in the required testing.
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    \3\ ANSI standards discussed in this document are available for 
purchase at: http://webstore.ansi.org/.
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    The proposed test procedures apply to metal halide ballasts that 
operate lamps rated greater than or equal to 150 W but less than or 
equal to 500 W. DOE discusses its proposal in detail in the following 
sections. DOE invites public comment, particularly on the key issues 
outlined in section IV.E.
    DOE reviewed the definitions of ``standby mode'' and ``off mode'' 
contained in EPCA in the context of metal halide ballasts. (42 U.S.C. 
6295(gg)(1)) DOE found that while it was possible for metal halide 
ballasts to

[[Page 33173]]

operate in standby mode, the off mode condition does not apply to metal 
halide ballasts because it addresses a mode of energy use in which 
metal halide ballasts do not operate. For this reason, today's notice 
proposes a test method for metal halide ballasts that measures power 
consumed in standby mode (see section III.D) and provides an 
opportunity for the public to comment on DOE's rationale for why off 
mode does not apply to such equipment (see section III.B).
    As amended, EPCA provides that amendments to the test procedures to 
include standby mode and off mode energy consumption shall not be used 
to determine compliance with previously established standards. (42 
U.S.C. 6295(gg)(2)(C)) Thus, the proposed inclusion of a standby mode 
test procedure in today's notice will not affect a manufacturer's 
ability to demonstrate compliance with the energy conservation 
standards for metal halide lamp fixtures that take effect January 1, 
2009. Indeed, the standby mode test procedure need not be performed to 
determine compliance with the statutory energy conservation standards 
for metal halide lamp fixtures because the statutory standards do not 
account for standby mode power consumption. The Department's test 
procedures for measuring standby mode would become effective, in terms 
of adoption into the Code of Federal Regulations, 30 days after the 
date of publication in the Federal Register of the final rule in this 
test procedures rulemaking. Manufacturers would be required to use the 
test procedures' standby mode provisions to demonstrate compliance with 
any future energy conservation standards on the effective date of a 
final rule establishing amended standards for metal halide lamp 
ballasts that addresses standby mode power consumption. The 
introductory sentence in proposed section 431.324(c) would be removed 
in a notice of final rulemaking to amend the existing standards for 
metal halide lamp ballasts.

III. Discussion

    DOE reviewed ANSI Standard C82.6-2005 to determine whether any 
additional elements would be needed to provide a complete test 
procedure. DOE concluded that all elements required for conducting a 
measurement of the efficiency of metal halide ballasts are currently 
present in ANSI Standard C82.6-2005, including lamp orientation, power 
supply characteristics, operational test temperatures, instrumentation 
requirements, setup connections, and lamp stabilization. DOE proposes 
to incorporate these applicable requirements and methods into the DOE 
test procedure. DOE notes that it is proposing a statistically 
meaningful method for determining sample size as part of the metal 
halide ballast test procedure, consistent with the sampling methods 
used for DOE test procedures for products and equipment subject to 
energy conservation standards.

A. ANSI Standards Development Process

    DOE reviewed the process that the American National Standards 
Institute (ANSI) follows in support of the development of ANSI 
accredited standards and finds that it embodies all the elements of a 
thorough public review and consensus process. This thorough process is 
conducted by applicable industry groups so that all materially affected 
and interested parties are informed and may participate. Due process is 
the key to ensuring that ANSI standards are developed in an environment 
that is equitable, accessible, and responsive to the input and concerns 
of various stakeholders. It also serves and protects the public 
interest, since standards developed and accredited by ANSI must meet 
the Institute's requirements for openness, balance, consensus, and 
other due process safeguards. The basic elements of the American 
National Standards Institute process include:
    <bullet> Consensus on a proposed standard by a group or ``consensus 
body'' that includes representatives from materially affected and 
interested parties;
    <bullet> Broad-based public review and comment on draft standards;
    <bullet> Consideration of and response to comments submitted by 
voting members of the relevant consensus body and by public review;
    <bullet> Incorporation of approved changes into a draft standard; 
and
    <bullet> Right to appeal by any participant that believes that due 
process principles were not sufficiently respected during the standards 
development in accordance with the ANSI-accredited procedures of the 
standards developer.
    The ANSI process serves all standardization efforts in the United 
States by providing and promoting a process that withstands scrutiny 
while protecting the rights and interests of every participant. DOE 
believes this process ensures that ANSI standards and the provisions 
within them are adequately vetted within the industry and represent 
consensus among all materially affected and interested parties. 
Therefore, DOE proposes the adoption of appropriate and relevant 
sections of the ANSI Standard C82.6-2005 as part of the test procedures 
for metal halide lamp ballasts, with only minimal additional analysis.

B. Definitions

    DOE reviewed the relevant portions of EISA 2007 and 10 CFR part 431 
for applicable existing definitions for use in developing and applying 
the metal halide ballast test procedure. EISA 2007 amends EPCA, in 
part, by adding definitions of key terms that are applicable to the 
metal halide ballast test procedure, including ``ballast,'' ``ballast 
efficiency,'' ``electronic ballast,'' ``metal halide ballast,'' ``metal 
halide lamp,'' ``metal halide lamp fixture,'' ``probe-start metal 
halide ballast,'' and ``pulse-start metal halide ballast.'' (42 U.S.C. 
6291) These terms are defined as follows:
    ``Ballast'' means a device used with an electric discharge lamp to 
obtain necessary circuit conditions (voltage, current, and waveform) 
for starting and operating. (42 U.S.C. 6291(58))
    ``Ballast efficiency'' means, in the case of a high-intensity 
discharge fixture, the efficiency of a lamp and ballast combination, 
expressed as a percentage, and calculated in accordance with the 
following formula: Efficiency = P<INF>out</INF>/P<INF>in</INF>, where 
P<INF>out</INF> equals the measured operating lamp wattage, 
P<INF>in</INF> equals the measured operating input wattage, and the 
lamp, and the capacitor, when the capacitor is provided, shall 
constitute a nominal system in accordance with the ANSI Standard 
C78.43-2004. For ballasts with a frequency of 60 Hz, P<INF>in</INF> and 
P<INF>out</INF> shall be measured after lamps have been stabilized 
according to section 4.4 of ANSI Standard C82.6-2005 using a wattmeter 
with accuracy specified in section 4.5 of ANSI Standard C82.6-2005. For 
ballasts with a frequency greater than 60 Hz, P<INF>in</INF> and 
P<INF>out</INF> shall have a basic accuracy of <plus-minus>0.5 percent 
at the higher of--(1) 3 times the output operating frequency of the 
ballast; or (2) 2 kHz for ballasts with a frequency greater than 60 Hz. 
(42 U.S.C. 6291(59))
    ``Electronic ballast'' means a device that uses semiconductors as 
the primary means to control lamp starting and operation. (42 U.S.C. 
6291(60)) DOE understands that this definition appropriately includes 
equipment commonly referred to as ``nonpulse-start electronic 
ballasts.''
    ``Metal halide ballast'' means a ballast used to start and operate 
metal halide lamps. (42 U.S.C. 6291(62))
    ``Metal halide lamp'' means a high-intensity discharge lamp in 
which the major portion of the light is produced by radiation of metal 
halides and their products of dissociation, possibly in

[[Page 33174]]

combination with metallic vapors. (42 U.S.C. 6291(63))
    ``Metal halide lamp fixture'' means a light fixture for general 
lighting application designed to operate with a metal halide lamp and a 
ballast for a metal halide lamp. (42 U.S.C. 6291(64))
    ``Probe-start metal halide ballast'' means a ballast that (1) 
starts a probe-start metal halide lamp that contains a third starting 
electrode (probe) in the arc tube, and (2) does not generally contain 
an igniter, but instead starts lamps with high ballast open circuit 
voltage. (42 U.S.C. 6291(65))
    ``Pulse-start metal halide ballast'' means an electronic or 
electromagnetic ballast that starts a pulse-start metal halide lamp 
with high voltage pulses. (42 U.S.C. 6291(66))
    Although the new statutory definitions pertaining to ballasts were 
relatively comprehensive, DOE believes that additional definitions are 
necessary for purposes of the metal halide ballast test procedure. 
Therefore, in this NOPR, DOE is proposing to amend 10 CFR 431.322, 
``Definitions concerning metal halide lamp ballasts and fixtures,'' by 
adding a definition for ``basic model'' as it relates to metal halide 
ballasts. As explained below, DOE also proposes to insert definitions 
for ``active mode,'' ``standby mode,'' ``off mode,'' ``AC control 
signal,'' ``DC control signal,'' ``PLC control signal,'' and ``wireless 
control signal.'' EPCA lists definitions for three modes of energy 
consumption that are applicable to a broad set of consumer products and 
commercial equipment, including metal halide ballasts. (42 U.S.C. 
6295(gg)(1)(A)) The EPCA definitions of ``active mode,'' ``standby 
mode,'' and ``off mode'' are discussed in this section, and their 
applicability to metal halide ballasts is addressed.
    The ``basic model'' definition for metal halide ballasts is based 
on the ``basic model'' definition for fluorescent ballasts. DOE 
proposes to define the term ``basic model,'' with respect to metal 
halide ballasts, as all units of a given type of metal halide ballast 
(or class thereof) that: (1) Are rated to operate a given lamp type and 
wattage; (2) have essentially identical electrical characteristics; and 
(3) have no differing electrical, physical, or functional 
characteristics that affect energy consumption.
    ``Active mode'' is defined under EPCA as ``the condition in which 
an energy-using product--(I) is connected to a main power source; (II) 
has been activated; and (III) provides 1 or more main functions.'' (42 
U.S.C. 6295(gg)(1)(A)(i)) DOE interprets this mode as being applicable 
to all metal halide ballasts, where the main function of the metal 
halide lamp ballast is to operate one or more metal halide lamps (i.e., 
starting the lamp and regulating the current, voltage, or power of the 
lamp). DOE understands that there are many different types of ballasts 
that could be considered ``metal halide ballasts,'' but the main 
function common to all of them is that they are designed to operate 
metal halide lamps. DOE does not discriminate between non-dimmable \4\ 
and dimmable \5\ ballasts when considering active mode; rather, DOE 
interprets active mode as being applicable to any amount of rated 
system light output (i.e., greater than zero percent of the rated 
system light output). Again, this is because a ballast's main function 
is the operation of a metal halide lamp.
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    \4\ Non-dimmable ballasts would operate the lamp or lamps in 
active mode at 100 percent of the rated system light output.
    \5\ Dimmable ballasts may vary the system light output from 100 
percent to some lower level of light output, either in steps or 
continuously.
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    ``Standby mode'' is defined under EPCA as ``the condition in which 
an energy-using product--(I) is connected to a main power source; and 
(II) offers 1 or more of the following user-oriented or protective 
functions: (aa) To facilitate the activation or deactivation of other 
functions (including active mode) by remote switch (including remote 
control), internal sensor, or timer. (bb) Continuous functions, 
including information or status displays (including clocks) or sensor-
based functions.'' (42 U.S.C. 6295(gg)(1)(A)(iii)) As discussed below, 
two key aspects of this definition relate to metal halide ballasts: (1) 
Connected to a main power source; and (2) offering the activation or 
deactivation of other functions by remote switch.
    The definition of ``standby mode'' in part requires that ballasts 
be connected to their main power source. (42 U.S.C. 
6295(gg)(1)(A)(iii)(I)) This ``connected'' requirement effectively 
precludes the majority of ballasts from having standby mode energy 
consumption, because most ballasts are operated with on-off switches, 
circuit breakers, or other relays that disconnect the ballast from the 
main power source. Although further consideration of such ballasts is 
unnecessary because their operational design falls outside the 
statutory definition of ``standby mode,'' DOE would characterize their 
operation in such situations as follows: Once the ballast is 
disconnected from the main power source, the ballast ceases to operate 
the lamp (i.e., the system light output falls to zero), and the ballast 
consumes no energy. The vast majority of metal halide ballasts do not 
consume power when they are switched off. Based upon the statutory 
definition of ``standby mode,'' ballasts controlled by disconnecting 
the ballast from the main power source do not operate in standby mode.
    The ``standby mode'' definition further states that it applies to 
energy-using products that facilitate the activation or deactivation of 
other functions by remote switch, internal sensor, or timer. (42 U.S.C. 
6295(gg)(1)(A)(iii)(II)(aa)) DOE interprets this condition as applying 
to ballasts that are designed to operate in, or function as, a lighting 
control system where auxiliary control devices send signals. An example 
of this type of ballast would be one that incorporates a digital 
addressable lighting interface (DALI) capability. These ballasts 
(whether dimming or not) incorporate an electronic circuit that enables 
the ballast to communicate with, and receive orders from, the DALI 
system. These instructions could tell the ballast to go into active 
mode or to adjust the light output to zero percent output. In this 
latter condition, the ballast is no longer providing current to the 
metal halide lamp (i.e., no longer in active mode). Thus, at zero light 
output, the ballast is standing by, connected to a main power source 
while it awaits instructions from the lighting control system to 
initiate an arc so the metal halide lamp can produce light again. 
Another example would be a metal halide ballast that incorporates a 
lighting control circuit that is connected to a photosensor. This 
ballast and sensor function as a miniature lighting controls system, 
whereby the sensor provides input to the ballast control circuit, which 
determines whether the lamp should be operational or not. When the lamp 
is not operational (i.e., when the photosensor indicates that it is 
bright outside), the ballast will consume power to enable the 
photosensor circuit to continuously monitor the ambient conditions. 
When the circuit determines that it has gotten dark and it is time to 
start the lamp, it will instruct the ballast to initiate an arc in the 
lamp.
    DOE invites comment on its proposed approach to treat metal halide 
ballasts that operate in, or function as, a lighting control system 
that receives signals from auxiliary control devices as being capable 
of operating in standby mode.
    ``Off mode'' is defined by EPCA as ``the condition in which an 
energy-using product--(I) is connected to a main power source; and (II) 
is not providing any standby or active mode function.'' (42 U.S.C. 
6295(gg)(1)(A)(ii)) DOE considered this definition in the context

[[Page 33175]]

of metal halide ballasts and believes that off mode does not apply to 
any metal halide ballast, dimmable or non-dimmable, because off mode 
describes a condition that commercially available ballasts do not 
attain.
    The definition of ``off mode'' requires that ballasts be connected 
to a main power source and not provide any standby or active mode 
function. (42 U.S.C. 6295(gg)(1)(A)(ii)) DOE does not believe it is 
possible for ballasts to meet these criteria. As described above, 
active mode encompasses conditions in which the ballast operates a lamp 
or lamps to produce greater than zero percent of the rated system light 
output. Standby mode applies to the situation in which the ballast is 
connected to a main power source and is not operating a lamp or lamps 
(i.e., the lamps have zero percent light output). Therefore, when 
connected to a main power source, the functions provided in standby 
mode and active mode already encompass every possible level of ballast 
operation, from zero to greater than zero percent of system rated light 
output. There is no condition in which the ballast is connected to the 
main power source and it is not already accounted for in either active 
mode or standby mode. For this reason, ballasts fail to meet the second 
requirement of the EPCA definition of off mode, that it is not 
providing any standby or active mode function. (42 U.S.C. 
6295(gg)(1)(A)(ii)(II))
    Furthermore, the power consumption measurement of the ballast in 
standby mode already captures the device in its lowest power-consuming 
condition. This means that in standby mode, the ballast is connected to 
a main power source, but is not providing any output to the lamps 
(i.e., zero percent light output). Disconnecting the ballast from the 
main power source by a switch, for example, would bring the ballast to 
a lower state of energy use (i.e., zero percent power consumption), and 
would fail to meet the first criterion of the off mode definition, that 
the ballast be connected to a main power source. (42 U.S.C. 
6295(gg)(1)(A)(ii)(I))
    For some products, DOE is interpreting off mode as a condition in 
which the user may choose to operate a manual switch mounted on the 
device to enable off mode, which would represent the lowest energy 
state. However, this condition does not apply to metal halide ballasts, 
and DOE is not aware of any ballasts manufactured with a manual switch 
mounted on the housing. Instead, these ballasts are usually 
inaccessible to end-users, and do not incorporate manual switches or 
other features that users may operate to affect the mode of the 
ballast. Thus, the lowest energy state of a metal halide lamp ballast 
is that which is measured in standby mode, which by definition cannot 
also constitute off mode.
    For all of the reasons discussed above, DOE is unable to identify a 
situation in which a ballast would be in off mode. Therefore, DOE 
tentatively concluded in today's notice that off mode is inapplicable 
to metal halide lamp ballasts. Should circumstances change in the 
future, DOE may revisit this interpretation and propose a test method 
to measure off mode for metal halide ballasts. DOE invites comment on 
its tentative decision not to incorporate a test method for measuring 
off mode energy consumption for metal halide ballasts at this time.
    DOE is proposing in today's notice to define the term ``AC control 
signal.'' DOE finds that some lighting control systems operate by 
communicating with (i.e., providing a control signal to) the ballasts 
over a separate wiring system using AC voltage. DOE was unable to 
locate a definition for ``AC control signal'' in International 
Electrotechnical Commission (IEC) Standard 62301 or ANSI Standard 
C82.6-2006. Therefore, DOE prepared a definition for an ``AC control 
signal'' to enhance the clarity and understanding of its proposed test 
procedure. The proposed definition for ``AC control signal'' is as 
follows: ``an alternating current (AC) signal that is supplied to the 
ballast using additional wiring for the purpose of controlling the 
ballast and putting the ballast in standby mode.'' In today's test 
procedure, DOE proposes to measure the power consumed by the ballast 
through the control signal wiring system.
    DOE is proposing in today's notice to define the term ``DC control 
signal.'' DOE finds that some lighting control systems operate by 
communicating with (i.e., providing a control signal to) the ballasts 
over a separate wiring system using DC voltage. DOE was unable to 
locate a definition for ``DC control signal'' in IEC Standard 62301 or 
ANSI Standard C82.6-2006. Therefore, DOE prepared a definition for a 
``DC control signal'' to enhance the clarity and understanding of its 
proposed test procedure. The proposed definition of ``DC control 
signal'' states that it is ``a direct current (DC) signal that is 
supplied to the ballast using additional wiring for the purpose of 
controlling the ballast and putting the ballast in standby mode.'' In 
today's test procedure, DOE proposes to measure the power consumed by 
the ballast through the control signal wiring system.
    DOE is proposing in today's notice to define the term ``power line 
carrier (PLC) control signal.'' DOE finds that some lighting control 
systems operate by communicating with (i.e., providing a control signal 
to) the ballasts over the existing power lines that provide the main 
power connection to the ballast. DOE was unable to locate a definition 
for ``PLC control signal'' in IEC Standard 62301 or ANSI Standard 
C82.6-2006. Therefore, DOE prepared a definition for a ``PLC control 
signal'' to enhance the clarity and understanding of its proposed test 
procedure. The proposed definition of a ``PLC control signal'' states 
that it is ``a power line carrier (PLC) signal that is supplied to the 
ballast using the input ballast wiring for the purpose of controlling 
the ballast and putting the ballast in standby mode.'' In today's test 
procedure, DOE proposes to measure the power consumed by the ballast 
through the PLC control signal.
    DOE is proposing in today's notice to define the term ``wireless 
control signal.'' DOE finds that some lighting control systems operate 
by communicating with (i.e., providing a control signal to) the 
ballasts over a wireless system, much like a wireless computer network. 
DOE was unable to locate a definition for a ``wireless control signal'' 
in IEC Standard 62301 or ANSI Standard C82.6-2006. Therefore, DOE 
prepared a definition for a ``wireless control signal'' to enhance the 
clarity and understanding of its proposed test procedure. The proposed 
definition of ``wireless control signal'' states that it is ``a 
wireless signal that is radiated to and received by the ballast for the 
purpose of controlling the ballast and putting the ballast in standby 
mode.'' In today's test procedure, DOE is not proposing to measure the 
power consumed by the ballast through the wireless control signal, 
because the quantity of power contained in the signal is extremely 
small (on the order of milliwatts), would be difficult to measure, and 
is unlikely to appreciably impact ballast power consumption.
    DOE determined in its review of the proposed metal halide ballast 
test procedures that other terms used in the procedure are standard 
industry terminology and, thus, do not need to be explicitly defined in 
the ballast test procedure. DOE finds these terms to be unambiguous and 
easy to apply consistently in metal halide ballast testing. DOE invites 
comment on the appropriateness of adopting the aforementioned 
definitions for ``basic model,'' ``active mode,'' ``standby mode,'' 
``off mode,'' ``AC control signal,'' ``DC control signal,'' ``PLC

[[Page 33176]]

control signal'' and ``wireless control signal.''

C. Test Method for Measuring Energy Efficiency of Metal Halide Ballasts

1. Test Setup and Conditions
a. Lamp Orientation
    DOE proposes that lamp orientation for testing be as specified in 
section 4.3 of ANSI Standard C82.6-2005, which requires vertical, base-
up orientation, unless the manufacturer specifies another orientation 
for that ballast and associated lamp combination. DOE is proposing this 
approach for two reasons. First, DOE understands that vertical, base-up 
lamp orientation is the most common in the industry, and, because of 
the natural stability of the vertical operating position, DOE believes 
that this approach would produce the most repeatable and accurate 
testing results. By way of explanation, the halide material in a metal 
halide lamp is not fully vaporized during lamp operation, which creates 
a cold spot in the arc tube that affects the photometric and electrical 
characteristics of the lamp and ballast operation. The cold spot is 
typically found at the lowest point in the tube, which is the most 
consistent in a vertical burning orientation. In contrast, horizontal 
orientation creates a less stable arc condition. ANSI Standard C82.6-
2005 references specific requirements in section 3.6 of ANSI Standard 
C78.389-2004, ``Lamp Position,'' for stabilization when the lamp 
manufacturer specifies horizontal orientation. In these cases, ANSI 
Standard C78.389-2004 requires that metal halide lamps with tipped arc 
tubes be oriented horizontally with the tip in the up position. If the 
lamp has a tipless arc tube, the lamp must be kept horizontally level 
and in the same position throughout all measurements to ensure 
repeatability and consistency in measurements. Given the concerns with 
repeatability and consistency associated with testing a metal halide 
lamp in a horizontal orientation and the lack of any relevant benefit 
from testing in such orientation, DOE is proposing to test in a 
vertical, base-up orientation. DOE invites comment on the 
appropriateness of adopting the requirements in section 4.3 of ANSI 
Standard C82.6-2005 for lamp orientation.
b. Power Supply, Ambient Test Temperatures, and Instrumentation
    DOE proposes power supply characteristics, ambient test 
temperatures, and instrumentation requirements as specified in section 
4.0 of ANSI Standard C82.6-2005. DOE recognizes that specification of 
objective test setup characteristics is an important consideration in 
terms of producing reliable, repeatable, and consistent test results. 
These aspects of DOE's proposal are addressed in further detail below.
    Section 4.1 of ANSI Standard C82.6-2005 requires that the root mean 
square (RMS) summation of harmonic components in the power supply be no 
more than 3 percent of the fundamental voltage and frequency 
components. Section 4.1 also requires that: (1) The impedance of the 
power source be no more than 3 percent of the specified ballast 
impedance, and (2) power supply devices used in the test circuits have 
a power rating at least five times the wattage of the lamp intended to 
operate on the ballast under test. DOE believes that these requirements 
provide reasonable stringency in terms of power quality because they 
are consistent with other comprehensive industry standards that 
regulate harmonic content and power supply impedance (e.g., ANSI 
Standard C78.389-2004). Furthermore, DOE believes that these 
requirements would be readily achievable and that they would be likely 
to ensure repeatable and consistent measurements. DOE invites comment 
on the appropriateness of adopting section 4.1 of ANSI C82.6-2005 for 
power supply requirements.
    Section 4.2 in ANSI Standard C82.6-2005 requires maintenance of an 
ambient temperature of 25 [deg]C <plus-minus<ls-thn-eq>5 [deg]C to 
reduce potential ballast operating variances caused by excessive 
temperature. DOE proposes to require that testing be performed in a 
draft-free environment, which is considered a standard laboratory 
environmental condition and would further ensure consistency in test 
conditions. Although ambient temperature is not considered critical to 
metal halide lamp operation and light output, it can affect lamp and 
ballast system electrical performance. Therefore, temperatures must be 
controlled for ballast efficiency testing to ensure repeatability and 
consistency in test results. DOE believes that applying the ambient 
temperature requirements, as set forth in the industry standard, in a 
draft-free environment would result in appropriate testing conditions. 
DOE invites comment on the appropriateness of adopting section 4.2 of 
ANSI C82.6-2005 for ambient temperature requirements.
    Similarly, the instrumentation requirements and their connections 
to the lamp and ballast systems are specified to ensure repeatability 
and consistency in test measurements. The instrumentation requirements 
prescribed in sections 4.5.1 and 4.5.3 of ANSI Standard C82.6-2005 were 
developed to ensure that the measured values accurately reflect ballast 
operation. The ANSI requirements for digital voltmeters, ammeters, and 
wattmeters include a resolution of three and one-half digits and 
minimum basic instrumentation accuracy of 0.50 percent (i.e., one-half 
of 1 percent) of the reading from actual with true RMS capability. For 
analog instruments, the ANSI standard specifies that analog ammeters 
and voltmeters must have accuracies of <plus-minus>0.50 percent up to 
800 Hertz, and that analog wattmeters must have accuracies of <plus-
minus>0.75 percent up to 1,000 Hertz for power factors of 50 percent to 
100 percent and <plus-minus>0.50 percent up to 125 Hertz for ballasts 
with power factors between 0 and 20 percent. On this issue, DOE is 
concerned that the range of possible power factors covered by ANSI 
Standard C82.6-2005 does not provide measuring instrument accuracies 
for any ballasts that may be designed with power factors between 20 
percent and 50 percent. Therefore, DOE is proposing to require all 
analog wattmeters used on ballasts with power factors less than 50 
percent to same accuracy as those for ballasts with power factors less 
than 20 percent (i.e., <plus-minus>0.50 percent up to 125 Hertz). 
Finally, section 4.5.1 instructs that only one analog instrument may be 
connected to the test circuit at one time to reduce impedance effects 
on the testing. DOE believes that all these instrumentation 
requirements, as set forth in ANSI Standard C86.5-2005, would 
facilitate repeatable and consistent testing and measurement. DOE 
invites comment on the appropriateness of adopting sections 4.5.1 and 
4.5.3 of ANSI C82.6-2005 for equipment and connection requirements.
    In summary, the power supply characteristics, ambient test 
temperatures, and instrumentation and test circuit connection 
requirements that DOE is proposing in this NOPR are derived from ANSI 
Standard C82.6-2005 and are consistent with those commonly found and 
described in other lamp and ballast testing standards used by the 
lighting industry, such as ANSI Standard C78.389-2004. Accordingly, DOE 
tentatively concluded that these test setup conditions are appropriate 
for effective testing. DOE requests comment on whether these or other 
test setup conditions may be more appropriate for this metal halide 
ballast test procedure.
c. Lamp Stabilization
    As an initial matter, DOE proposes that the process for lamp 
stabilization before ballast efficiency testing would

[[Page 33177]]

follow section 4.4 of ANSI Standard C82.6-2005, which requires a 100-
hour seasoning period. DOE believes that a 100-hour seasoning period is 
commonly used by manufacturers of high-intensity discharge lamp 
technologies to ensure that the initial, more-rapid depreciation in 
output caused by impurities has been surpassed.\6\ DOE has no knowledge 
of an alternative seasoning time period that is more appropriate for 
this technology. DOE invites comment on the existence and 
appropriateness of any alternatives to this method of lamp seasoning.
---------------------------------------------------------------------------

    \6\ IESNA LM-54-99, ``Lamp Seasoning,'' is the Lighting 
Measurement (LM) document developed by the Illuminating Engineering 
Society of North America (IESNA) that the industry refers to for 
seasoning requirements for lamp and ballast photometric and 
electrical testing. Available at: http://www.ies.org/shop/.
---------------------------------------------------------------------------

    DOE evaluated the requirements of the basic stabilization method 
prescribed in section 4.4.2 of ANSI Standard C82.6-2005 to ensure that 
the method was capable of providing a sufficiently stable lamp and 
ballast system, as would ensure consistent measurements. Specifically, 
section 4.4.2 requires that the lamp and ballast system reach operating 
stability such that the electrical parameters cease to change. The time 
to achieve this point is typically at least 30 minutes, but it may take 
as much as 6 hours to achieve this state if a metal halide lamp is 
moved while hot or its orientation is changed. This methodology 
incorporates a standby ballast to help stabilize the lamp without 
heating the test ballast. (Heating the test ballast could cause 
resistance changes that lead to unrepeatable test results.)
    DOE also considered similar stabilization guidance found in ANSI 
Standard C78.389-2004 that applies more specific operating times, 
including a generic minimum of 6 hours for basic stabilization for all 
lamps. Section 3.7.2 of ANSI Standard C78.389-2004 also prescribes that 
the lamp ballast system is stable when the lamp's electrical 
characteristics vary by no more than 3 percent in three consecutive 10- 
to 15-minute intervals.
    Because not all lamps will require a full 6-hour stabilization 
period, DOE proposes that the lamp and ballast system be considered 
stable for testing purposes when the lamp's electrical characteristics 
vary by no more than 3 percent in three consecutive 10- to 15-minute 
intervals measured after the minimum 30-minute warm-up period specified 
in section 4.4.2 of ANSI Standard C82.6-2005. A critical part of this 
methodology is the ability to switch from the standby ballast to the 
test ballast without allowing the lamp to extinguish. The use of a 
standby ballast for warming up the lamp is not DOE's preferred method, 
but in cases where switching without extinguishing the lamp is not 
possible, the alternative stabilization method described in section 
4.4.3 of ANSI Standard 82.6-2005 should be used. This method allows for 
the lamp to operate on the test ballast for a 15-minute warm-up period 
and measurements to be taken within the following 2 minutes, but it 
also requires that lamp operating characteristics be determined 
separately on a reference ballast.
    DOE invites comment on its proposed lamp stabilization methods from 
sections 4.4.2 and 4.4.3 of ANSI C82.6-2005 and any alternative options 
for accurate ballast testing.
2. Test Measurements
    DOE proposes that test measurements of metal halide ballast 
operation be used in the calculation of ballast efficiency, as 
discussed in section III.C.3, ``Ballast Efficiency Calculation,'' of 
this document. This calculated ballast efficiency is an integral part 
of the metal halide ballast test procedures established under 42 U.S.C. 
6293.
    Under DOE's proposal, the test measurements for metal halide 
ballasts would require that ballast operation testing be conducted 
according to the same requirements as set forth in section 6.10, 
``Ballast Power Loss,'' of ANSI Standard C82.6-2005. This section 
specifies measurements of output power to the lamp and input power to 
the ballast using a wattmeter. ANSI Standard C82.6-2005, section 6.10, 
specifies the proper instrument connections. The section also provides 
the needed guidance and methods for eliminating or compensating for the 
power consumption of a voltmeter (when connected) and the wattmeter 
potential coil. In summary, section 6.10 of ANSI Standard C82.6-2005 
provides a measurement of power using a well-defined, common electrical 
industry standard test with dedicated equipment. DOE is not aware of 
any equivalent alternative method for these measurements. DOE invites 
comment and data on whether an alternative power measurement method 
should be considered.
3. Ballast Efficiency Calculation
    DOE proposes that the ballast efficiency be calculated as the 
measured output power to the lamp divided by the measured input power 
to the ballast (P<INF>out</INF>/P<INF>in</INF>). DOE proposes that the 
P<INF>out</INF> and P<INF>in</INF> terms be determined according to the 
Ballast Power Loss method described in section III.C.2, ``Test 
Measurements,'' of this document. This measure of efficiency represents 
the metric used in the energy conservation standard prescribed by the 
statute. (42 U.S.C. 6295(hh)(1)) Therefore, DOE proposes that both 
output and input power be measured in accordance with section 6.10 of 
ANSI Standard C82.6-2005, which requires the use of a true RMS 
wattmeter. DOE invites comment on the proposed ballast efficiency 
calculation and any appropriate alternative options.

D. Test Method for Measuring Standby Power of Metal Halide Ballasts

1. Overview of Test Method
    EPCA, in relevant part, directs DOE to establish test procedures to 
include standby mode, ``taking into consideration the most current 
versions of Standards 62301 and 62087 of the International 
Electrotechnical Commission.'' (42 U.S.C. 6295(gg)(2)(A)) IEC Standard 
62087 applies to audio, video, and related equipment, but not to 
lighting equipment. Thus, DOE has determined that IEC Standard 62087 is 
not suitable to be applied to this rulemaking. Instead, DOE developed 
today's proposed rule consistent with procedures outlined in IEC 
Standard 62301. In addition, to develop a test method that would be 
familiar to metal halide ballast manufacturers, DOE also referenced 
language and methodologies presented in ANSI Standard C82.6-2005, 
``Ballasts for High-Intensity Discharge Lamps--Methods of 
Measurement.''
    In overview, today's proposed test procedure for measuring standby 
power consumption consists of the following steps: (1) A signal is sent 
to the ballast instructing it to reduce light output to zero percent; 
(2) The main input power to the ballast is measured; and (3) The power 
from the control signal path is measured in one of three ways, 
depending on how the signal from the control system is delivered to the 
ballast. Further details on this proposed methodology are presented 
below.
2. Test Method and Measurements
    In the portion of the proposed metal halide ballast test procedure 
dealing with standby power measurement, the test procedure would direct 
the technician to send a signal to the ballast under test, instructing 
the ballast to have zero percent light output using the appropriate 
communication protocol or system for that unit. Next, the technician 
would measure the input power (in watts) to the ballast in accordance 
with ANSI Standard C82.6-2005. Finally, the technician would

[[Page 33178]]

measure the power from the ballast control signal path using a method 
for an AC control signal path, a DC control signal path, or a power 
line carrier control signal path, consistent with the type of path that 
the ballast employs.
    The measurement of input power to the ballast from the main 
electricity supply during standby mode is based on the approach in ANSI 
Standard C82.6-2005, section 6. This measurement parallels the approach 
DOE is proposing for measuring the active mode power consumption for 
input power (watts) to the ballast in accordance with ANSI Standard 
C82.6-2005. Thus, the test measurements of ballast input power would be 
required to be conducted in accordance with the appropriate sections of 
the current industry test method.
    As proposed at 10 CFR 431.324(c), the proposed test procedure would 
direct manufacturers to address measurement of the ballast's control 
signal power. As DOE understands it, there are four possible ways of 
delivering a control signal to a metal halide lamp ballast: (1) A 
dedicated AC control signal wire; (2) a dedicated DC control signal 
wire; (3) a PLC control signal over the main supply input wires; and 
(4) a wireless control signal. DOE is interested in measuring the power 
consumed by the lighting control signal, and, therefore, proposes three 
methods for measuring that power, depending on which type of system is 
being used. As explained above, DOE is not proposing to measure the 
power supplied to a ballast using the fourth approach (i.e., the 
wireless control signal), because DOE estimates that the power supplied 
to a ballast using a wireless signal would be very small (well below 
1.0 watt), would be difficult to measure, and would be unlikely to 
appreciably impact ballast power consumption. The three circuit 
diagrams in the proposed test procedure direct the technician to 
measure the control signal power using either a wattmeter (for the AC 
control signal wiring and the PLC control signal) or a voltmeter and 
ammeter (for the DC control signal). DOE is proposing to incorporate 
three circuit diagrams at 10 CFR 431.324(c) to clearly present the 
intended method of measurement for each type of control system 
communication protocol.
    DOE invites stakeholder comments on the proposed method for 
measuring the power consumed by the control signal system while the 
ballast is in standby mode.
3. Combining Measurements and Burden
    DOE's metal halide ballast test procedure would direct 
manufacturers of such equipment to take the two required measurements 
(i.e., the main input power and the control signal power in standby 
mode), but it would not tell manufacturers how to combine these values 
or use them in equations pertaining to energy efficiency. Instead, DOE 
intends to study how best to use these measurements of standby mode 
power consumption in a separate rulemaking to review and possibly amend 
the energy conservation standards for metal halide lamp ballasts, which 
DOE is required to complete by January 1, 2012, pursuant to EISA 2007. 
Although beyond the scope of the present rulemaking, DOE invites 
comment on recommended approaches for combining these measurements into 
a single metric as part of a future energy conservation standards 
rulemaking.
    DOE further notes that the proposed test procedure is designed to 
produce results that measure standby power consumption in an accurate 
and repeatable manner, and should not be unduly burdensome on 
manufacturers to conduct. DOE believes that these objectives would be 
met by the proposed test procedure, particularly given that it is based 
upon IEC Standard 62301 and follows testing approaches used in ANSI 
Standard C82.6-2005. DOE invites comment on the issue of test burden, 
including whether there are any alternatives that would generate 
results with the same level of accuracy and repeatability while 
reducing the burden.

E. Scope of Applicability of Standby Power Test Procedure

    This rulemaking addresses ballasts that operate metal halide lamp 
fixtures. After studying the market of commercially-available metal 
halide ballasts and the statutory definition of ``standby mode,'' DOE 
is proposing to interpret this mode as only applying to certain 
ballasts under certain operating conditions. DOE believes standby mode 
only applies to ballasts that incorporate some kind of lighting control 
system interface, because these ballasts appear to be the only ones 
that satisfy the EPCA definition of ``standby mode'' (which DOE is 
codifying into its regulations). Specifically, DOE found that only 
metal halide ballasts with a lighting-control system interface can be 
``connected to a main power source'' and ``facilitate the activation or 
deactivation of other functions (including active mode) by remote 
switch (including remote control), internal sensor, or timer.'' (42 
U.S.C. 6295(gg)(1)(A)(iii)) DOE understands that many of these ballasts 
are designed with advanced circuitry that adds new features, including 
intelligent operation.\7\ One example of these ballasts would be a 
DALI-enabled ballast. DALI-enabled ballasts have internal circuitry 
that is fundamentally part of the ballast design that remains active 
and consumes energy, even when the ballast is not operating any lamps.
---------------------------------------------------------------------------

    \7\ ``Intelligent operation'' means a device which is able to 
receive information, evaluate that information, and take appropriate 
action based upon that information. For example, certain ballasts 
contain a circuit which, when it receives a signal, then takes 
action to dim light output to a certain level or to switch off the 
lamp (or other action).
---------------------------------------------------------------------------

    If, on the other hand, these same ballasts were dimmed to a level 
less than full output, but greater than zero percent, they could not be 
in standby mode because they would still be providing a ballast's main 
function (i.e., operating a lamp to produce light). (42 U.S.C. 
6295(gg)(1)(A)(i)) Such ballast would be deemed to be in active mode 
even if the quantity of light produced was just one percent of the 
rated system output.
    As explained above, not all metal halide ballasts would need to be 
tested for standby mode power, because many ballast designs would not 
meet the statutory definition for operation in standby mode. In fact, 
the vast majority of metal halide ballasts sold today are not capable 
of operating in standby mode, thereby rendering the standby provisions 
of the test procedure inapposite in terms of those units. Generally, 
these excluded ballasts are ones that are not active components of a 
lighting control system; instead, they are controlled simply by having 
the active power disconnected through use of a manual switch, occupancy 
sensor, or other system. For these ballasts, light output is reduced to 
zero percent by disconnecting the main power. However, the ballast 
would not be in standby mode, as defined by EPCA, because it is no 
longer connected to a main power source.
    Thus, DOE believes that the metal halide ballasts subject to 
standby mode power measurements would be those that incorporate some 
electronic circuit enabling the ballast to communicate with and be part 
of a lighting control system. DOE invites comment as to the proposed 
scope of applicability of this metal halide ballast test procedure and 
whether there are other considerations that would lead to the potential 
coverage of additional or fewer ballast types under the standby mode

[[Page 33179]]

measurement portion of the test procedure.

F. Effective Date of Standby Mode Test Method

    As discussed in section II of this notice, EPCA requires DOE to 
consider standby mode and off mode for all energy conservation final 
rules issued after July 1, 2010. (42 U.S.C. 6295(gg)(3)(A)) In 
addition, EPCA states that not later than January 1, 2012, DOE shall 
publish a final rule to determine whether the standards established for 
metal halide lamp fixtures should be amended. (42 U.S.C. 6295(hh)(2)) 
Due to the fact that this rulemaking, to possibly amend the standards 
for metal halide lamp fixtures, would be issued after July 1, 2010, DOE 
must take into consideration standby and off mode energy consumption in 
that future energy conservation standards rulemaking.
    DOE believes that in having these test procedure provisions 
included in the CFR, it will provide manufacturers additional time to 
become familiar with energy consumption of certain metal halide 
ballasts. In the coming years, as DOE conducts its energy conservation 
standards rulemaking reviewing the energy conservation standards for 
metal halide lamp ballasts, it will take into consideration energy 
consumption. During that rulemaking, stakeholders will already be 
familiar with the test procedure for measuring and calculating standby 
mode power consumption and will be able to better understand any 
ballast design implications that may impact the efficiency of metal 
halide lamp ballasts.
    As discussed in section II above and as provided in the proposed 
amendments at 10 CFR 431.324(c), manufacturers of metal halide lamp 
ballasts would not need to perform standby measurements under this test 
procedure to certify compliance with the energy conservation standards 
for metal halide lamp fixtures that come into effect on January 1, 
2009, because those statutory standards do not account for standby mode 
power consumption. In terms of publication in the Code of Federal 
Regulations, the effective date of this test procedure on metal halide 
lamp fixtures would be 30 days after the date of publication in the 
Federal Register of a final rule in this test procedures rulemaking. 
However, manufacturers would only be required to use the amended test 
procedure's standby mode provisions to demonstrate compliance with any 
future energy conservation standard on the effective date of a final 
rule establishing amended standards for metal halide lamp ballasts that 
addresses standby mode power consumption (at which time, DOE would 
remove the limitation in 10 CFR 431.324(c)).

G. Units To Be Tested

    Accurate testing of metal halide ballasts require a statistically 
meaningful sample of test units to provide sufficient assurance that 
the true mean efficiency of a basic model meets or exceeds the 
applicable energy conservation standard. In efforts to meet this 
testing need and to reduce the testing burden on manufacturers, DOE 
considered four factors in developing sample size requirements: (1) 
Providing a highly statistically valid probability that a basic model 
that is tested meets applicable energy conservation standards; (2) 
providing a highly statistically valid probability that a manufacturer 
preliminarily found to be in noncompliance will actually be in 
noncompliance; (3) assuring compatibility with other sampling plans DOE 
has promulgated; and (4) minimizing manufacturers' testing time and 
costs.
    Based on the consideration of these four factors and an analysis of 
sampling methods used for DOE test procedures for products and 
equipment subject to energy conservation standards, DOE considered 
three alternatives for the specification of test sample size for metal 
halide ballast equipment: (1) Test every unit to determine with 100 
percent certainty that each one complies with the statute; (2) test a 
predetermined number of units to yield a high level of statistical 
confidence; and (3) test until a determination can be made that a basic 
model does, or does not, comply.
    The first alternative is not practical for small equipment with 
high-volume production, such as lighting ballasts, because this would 
require extensive tests of each product, which would not be cost-
effective. The second alternative would likely require more testing 
than needed to reach statistical confidence for this equipment because 
any predetermined number would necessarily be conservatively high. In 
the third alternative, the size of the total sample is not determined 
in advance. Instead, the criteria are set to ensure that the final set 
of samples tested will represent a statistically significant mean 
efficiency value at a prescribed confidence level. Under this approach, 
the manufacturer selects a sample at random from a production line (not 
fewer than four units) and, after each unit or group of units is 
tested, either accepts the sample, rejects the sample, or continues 
testing additional samples until a sample size is reached that meets 
the confidence interval requirements. This method often permits 
reaching a statistically valid decision on the basis of fewer tests 
than fixed number sampling.
    After careful consideration of the available alternatives, DOE is 
proposing to adopt the sampling procedure described in detail below for 
metal halide ballast energy efficiency. The proposed procedure is 
consistent with the approach DOE has adopted for fluorescent lamp 
ballasts. The proposed procedure would require randomly selecting and 
testing a sample of production units (not fewer than four) of a 
representative basic model. A simple average of the values would be 
calculated, which would be the actual mean value of the sample. For 
each representative model, a sample of sufficient size, no less than 
four, would be selected at random and tested to ensure that the 
calculated value of energy efficiency is no less than: (1) The lower of 
the mean of the sample; or (2) the lower 99 percent confidence limit of 
the mean of the entire population of that basic model, divided by a 
coefficient applicable to the represented value. The coefficients are 
intended to reasonably reflect variations in material and in the 
manufacturing and testing processes. This statistical process applies 
an industry standard 99 percent confidence level that is commonly used 
for evaluation of large populations and is the confidence level applied 
to other DOE test procedures for products and equipment subject to 
energy conservation standards, such as compact fluorescent lamps and 
external power supplies.
    DOE invites comment and data on the accuracy and burden of this 
sampling plan, as well as recommendations on any improvements or 
alternatives to this approach. DOE is particularly interested in 
comment on whether the proposed statistical sampling plan, which is 
based on the current sampling plan used by DOE for fluorescent lamp 
ballasts, is appropriate for testing metal halide lamp ballasts. DOE 
asks stakeholders to pay close attention to the proposed confidence 
interval requirements and coefficients proposed for the equipment and 
to provide comment on their applicability to metal halide ballasts.

H. Submission of Data

    Submission of data certifying the testing in accordance with the 
required Federal testing procedure will be required for metal halide 
ballasts, once a Federal energy conservation standard becomes effective 
for this equipment. For metal halide ballasts, DOE proposes to apply 
the same basic certification and

[[Page 33180]]

data submission requirements currently in place for other similar 
products and equipment.
    To comply with data submission requirements, DOE proposes that the 
manufacturer, or other entity performing the test on behalf of the 
manufacturer, would be required to provide certification in a report 
submitted before [1 year after publication of the Final Rule], which 
would include for each basic model the following information: (1) The 
equipment type; (2) manufacturer's name; (3) private labeler's name(s) 
(if applicable); and (4) manufacturer's model number(s). The report 
would be required to certify that the testing was completed in 
accordance with the applicable test requirements prescribed in 42 
U.S.C. 6293(b) of EPCA, as amended. Any change to a basic model that 
changes energy consumption constitutes a new basic model. If such a 
change reduces consumption, the new model would be considered in 
compliance with the standard without any additional testing. However, 
if such a change increases consumption while meeting the standard, then 
all certification information applicable to testing of the new basic 
model would be required to be submitted. See also section V.C. of this 
notice regarding compliance with the Paperwork Reduction Act of 1995.
    DOE invites comment on the completeness, applicability, and burden 
of this proposed data submission plan as well as recommendations on any 
improvements or alternatives to this approach.

I. Enforcement Provisions

    Once a Federal energy conservation standard becomes effective for 
metal halide ballasts, the enforcement of the appropriate application 
of the testing procedure for this equipment would be subject to 
enforcement of the efficiency requirements and verification of the 
documented testing. DOE proposes to apply to metal halide ballasts the 
same basic requirements for enforcement currently in place for other 
lighting equipment. DOE will review the testing certification.
    If DOE receives written information about the performance of metal 
halide ballasts indicating that one or more basic models may not be in 
compliance with the energy conservation standard, DOE may conduct 
independent testing of those basic models. The results of this testing 
would serve as the basis for any enforcement actions related to the 
application of these metal halide ballast test procedures.
    DOE invites comment on the proposed enforcement provisions as well 
as recommendations on any improvements or alternatives to this 
approach.

IV. Public Participation

    The entire record of this proposed rulemaking, including the 
transcript from the public meeting, is available for inspection at the 
U.S. Department of Energy, Resource Room of the Building Technologies 
Program, 6th Floor, 950 L'Enfant Plaza, SW., Washington, DC 20024, 
(202) 586-2945, between 9 a.m. and 4 p.m., Monday through Friday, 
except Federal holidays. The official transcript is also posted on the 
DOE Web site at: http://www.eere.energy.gov/buildings/appliance_standards. Anyone may purchase a copy of the transcript from the 
transcribing reporter.

A. Submission of Comments

    DOE will accept comment, data, and information about the proposed 
rule no later than the date provided at the beginning of this notice. 
Any comment submitted must identify the NOPR on Test Procedures for 
Metal Halide Lamp Ballasts, provide the docket number EERE-2008-BT-TP-
0017 and/or RIN 1904-AB87. Electronic comments, data, and information 
submitted to DOE's e-mail address for this rulemaking should be 
provided in WordPerfect, Microsoft Word, PDF, or text (ASCII) file 
format. Stakeholders should avoid the use of special characters or any 
form of encryption, and wherever possible, comments should carry the 
electronic signature of the author. Comments, data, and information 
submitted to DOE via mail or hand delivery/courier should include one 
signed paper original. No telefacsimiles will be accepted.
    Comment should address specific issues within the proposed metal 
halide ballast test procedures and identify the language or technical 
point of concern. Technical analysis, data, or precedence information 
should be provided to support the position offered in the comment. 
Specific changes to the technical requirements or language should be 
presented, where appropriate.
    Pursuant to 10 CFR 1004.11, anyone submitting information that he 
or she believes to be confidential and exempt by law from public 
disclosure should submit two copies: one copy of the document including 
all the information believed to be confidential, and one copy of the 
document without the information believed to be confidential. DOE will 
make its own determination as to the confidential status of the 
information and treat it accordingly.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) whether the submitting 
person would suffer competitive injury from public disclosure; (6) when 
such information might lose its confidential character due to the 
passage of time; and (7) why disclosure of the information would be 
contrary to the public interest.

B. Issues on Which DOE Seeks Comment

    As noted above, EISA 2007 requires that metal halide ballast 
efficiency testing be based on ANSI Standard C82.6-2005. This statutory 
directive allows DOE some latitude in adopting the most appropriate 
requirements for the proposed metal halide ballast test procedure. In 
such cases, DOE invites comment and data on the applicability of the 
metal halide ballast test procedure. Also, because the proposed metal 
halide ballast test procedures will become codified under 10 CFR Part 
431, and will be covered under sampling, certification, and other 
established regulatory protocols, DOE seeks comment on these matters. 
Although comments are welcome on all aspects of this rulemaking, DOE is 
particularly interested in comment on the following issues:
1. Test Temperatures
    DOE invites comment and data on the applicability of the proposed 
ambient test temperature requirements, based on section 4.2 in ANSI 
Standard C82.6-2005. In particular, DOE is interested in comment on 
whether a different set of ambient test conditions might be more 
appropriate for metal halide ballast testing. See section III.C.1 for a 
discussion of the proposed ambient temperature conditions.
2. Test Instrumentation and Requirements
    DOE invites comment and data on the applicability of the proposed 
instrumentation requirements for power supplies, wattmeters, 
voltmeters, and ammeters required for testing, based on the 
requirements in section 4.0 of ANSI Standard C82.6-2005. See section 
III.C.1 for a discussion of the instrumentation requirements.
    DOE especially invites comment on the issue of the applicability of 
the proposed measurement accuracy <plus-minus>0.50 percent up to 125 
Hertz for ballasts with power factors between 20 and 50

[[Page 33181]]

percent, because ANSI Standard C82.6-2005 does not provide an accuracy 
value for the proposed instrumentation for these power factors. See 
section III.C.1 for a discussion of the proposed instrumentation 
requirements.
3. Test Connections
    DOE invites comment on the applicability of the proposed test 
circuit connection requirements, based on sections 4.5 and 6.10 of ANSI 
Standard C82.6-2005. See section III.C.1 for a discussion of the 
proposed test circuit connections.
4. Lamp Orientation
    DOE invites comment on the appropriateness of the lamp orientation 
requirements as specified in section 4.3 of ANSI Standard C82.6-2005 
that require vertical base up unless the manufacturer specifies another 
orientation for that ballast and associated lamp combination. DOE also 
seeks comment on whether a preferred lamp orientation approach exists 
within the industry for lamp ballast testing. See section III.C.1 for a 
discussion of the proposed lamp orientation requirements.
5. Lamp Seasoning and System Stabilization
    DOE invites comment and data on the applicability of the proposed 
lamp seasoning and system stabilization requirements that follow the 
ANSI Standard C82.6-2005 requirement for a 100-hour seasoning period 
and the stabilization method in either section 4.4.2 or 4.4.3 of ANSI 
Standard C82.6-2005, with additional methods from ANSI Standard 
C78.389-2004. DOE is particularly interested in whether a preferred 
lamp seasoning or lamp stabilization approach exists within the 
industry. See section III.C.1 for a discussion of the proposed lamp 
seasoning and system stabilization conditions.
6. Test Measurements
    DOE invites comment and data on the applicability of the proposed 
measurement of ballast power losses in accordance with section 6.10 of 
ANSI Standard C82.6-2005, which requires the use of a true RMS 
wattmeter with basic accuracy of 0.50 percent. DOE is particularly 
interested in whether a preferred ballast power-loss measurement 
approach exists within the industry for metal halide lamps. See section 
III.C.2 for a discussion of the proposed testing measurements.
7. Applicability of Off Mode
    DOE invites comment on its approach for assessing metal halide 
ballast operation in active mode, standby mode, and off mode, as those 
terms are defined in EPCA. In particular, DOE invites comment on its 
tentative conclusion that off mode does not apply to metal halide lamp 
ballasts at this time, and, therefore, should not be included as part 
of this proposed test procedure. See section III.B for a discussion of 
off mode.
8. Applicability of Standby Measurements
    DOE invites comment on its proposed approach to apply the standby 
mode provisions of this test procedure to all metal halide lamp 
ballasts that incorporate some form of electronic circuit that enables 
the ballast to communicate with and be part of a lighting control 
system. Although all metal halide ballasts would be subject to the test 
procedure generally, only these types would be subject to the test 
procedure's standby mode power consumption provisions. See section 
III.E for a discussion of the proposed scope of the test procedure's 
standby power provisions.
9. Definitions
    DOE invites comment on the definitions for the following eight new 
terms that DOE is proposing to add to 10 CFR part 431: AC control 
signal, active mode, basic model, DC control signal, off mode, PLC 
control signal, standby mode, and wireless control signal. See section 
III.B for a discussion of the proposed definitions.
10. Circuit Diagrams
    DOE invites comments on its proposed test method and measurements 
for metal halide ballasts, which provide the step-by-step procedure and 
circuit diagrams necessary for measuring the power (in watts) consumed 
by the main power input to the ballast, and the control signal wire (if 
any). See sections III.C and D for a discussion of the proposed circuit 
diagrams.
11. Units To Be Tested
    DOE invites comment and data on the accuracy and applicability of 
the proposed sampling for metal halide ballasts. DOE seeks comment on 
whether an alternative sampling method exists that might be more 
appropriate for metal halide ballasts. See section III.G for a 
discussion of the proposed sampling size method.
12. Submission of Data
    DOE invites comment on the potential impact of applying the 
submission of data requirements described in other DOE test procedures 
for products and equipment subject to energy conservation standards as 
it applies to metal halide ballasts. DOE seeks comment on whether an 
alternative set of submission requirements exists that might be more 
appropriate for metal halide ballasts. See section III.H for a 
discussion of the proposed submission of data requirements.
13. Enforcement Provisions
    DOE invites comment on the potential impact of applying the 
enforcement provisions described in other DOE test procedures for 
products and equipment subject to energy conservation standards as they 
apply to metal halide ballasts. See section III.I for discussion of the 
proposed enforcement provisions.

V. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    Today's proposed regulatory action is not a ``significant 
regulatory action'' under section 3(f) of Executive Order 12866, 
``Regulatory Planning and Review.'' 58 FR 51735 (Oct. 4, 1993). 
Accordingly, this proposed regulatory action was not subject to review 
under the Executive Order by the Office of Information and Regulatory 
Affairs (OIRA) in the Office of Management and Budget (OMB).

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq., as amended by 
the Small Business Regulatory Enforcement Fairness Act of 1996), 
requires preparation of an initial regulatory flexibility analysis for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the proposed rule, if promulgated, will not have 
a significant economic impact on a substantial number of small 
entities. A regulatory flexibility analysis examines the impact of the 
rule on small entities and considers alternative ways of reducing 
negative impacts. Also, as required by Executive Order 13272, ``Proper 
Consideration of Small Entities in Agency Rulemaking,'' 67 FR 53461 
(August 16, 2002), DOE published procedures and policies on February 
19, 2003, to ensure that the potential impacts of its rules on small 
entities are properly considered during the DOE rulemaking process. 68 
FR 7990. DOE made its procedures and policies available on the Office 
of the

[[Page 33182]]

General Counsel's Web site at http://www.gc.doe.gov.
    Today's NOPR proposes test procedures that would be used to 
determine compliance with an energy conservation standard for certain 
metal halide lamp fixtures. DOE reviewed today's NOPR under the 
provisions of the Regulatory Flexibility Act and the policies and 
procedures published on February 19, 2003. DOE concludes and certifies 
that this rulemaking would not have a significant economic impact on a 
substantial number of small entities producing metal halide lamp 
fixtures covered in this rulemaking, for the reasons that follow.
    The proposed test procedure incorporates by reference provisions 
from ANSI Standard C82.6-2005 for the measurement of ballast 
efficiency. ANSI Standard C82.6-2005 is the current and active industry 
testing standard for metal halide lamp ballasts. In referencing this 
industry test method, DOE anticipates that there would be no 
incremental increase in testing cost or burden for covered products. 
Manufacturers are familiar with the application of ANSI Standard C82.6-
2005 and would have the equipment necessary to conduct the performance 
measurements. Furthermore, DOE understands that manufacturers of 
covered equipment are using this industry test method when they make 
any representation of their product's efficiency in the public domain.
    Today's NOPR also proposes a methodology for the measurement of 
standby mode power consumption for certain metal halide lamp fixtures. 
DOE based its proposed method on techniques and approaches in ANSI 
Standard C82.6-2005 and IEC Standard 62301. DOE uses the same test 
equipment, accuracy requirements, and test conditions from ANSI 
Standard C82.6-2005. Although DOE is unaware of any metal halide lamp 
ballasts commercially available today that are capable of operating in 
standby mode, ballasts incorporating features that may encounter 
standby mode may enter the market as they have for fluorescent lamp 
ballasts. Due to the fact that DOE's proposed method is based on the 
industry standards and does not exceed any equipment or accuracy 
requirements contained therein, DOE does not believe the standby mode 
test procedure will add significant costs. Of the two measurements 
required in the standby mode test procedure, the P<INF>in</INF> 
measurement is common to both the active mode and the standby mode test 
procedure. Measurement of the control signal is a minimal additional 
test, but one that technicians can conduct with measurement equipment 
readily available.
    Accordingly, DOE does not find that the test procedures proposed 
today would result in any significant increase in testing or regulatory 
compliance costs. For this reason, DOE concludes and certifies that 
this rulemaking would not impose a significant impact on a substantial 
number of small businesses manufacturing metal halide lamp fixtures. 
Accordingly, DOE has not prepared a regulatory flexibility analysis for 
this rulemaking. DOE's certification and supporting statement of 
factual basis will be provided to the Chief Counsel for Advocacy of the 
Small Business Administration for review under 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act of 1995

    The proposed rule would require each manufacturer of metal halide 
fixtures (i.e., fixtures that incorporate metal halide ballasts), or 
entity performing tests on behalf of the manufacturer, to maintain 
records about how they determined the energy efficiency and standby 
power mode energy consumption measurement of their products (see 
proposed regulatory language at 10 CFR Part 431, Subpart T). The 
proposed rule also would require each manufacturer to make a one-time 
submission, stating in essence that it is complying with the applicable 
energy conservation standards and test procedures, in addition to 
certification reports that set forth the energy performance of each 
basic model that it manufactures. The certification reports are 
submitted one time for each basic model, either when the requirements 
go into effect or when the manufacturer begins distribution of a new 
basic model. The proposed collections of information are necessary for 
implementing and monitoring compliance with the efficiency standards 
and testing requirements for metal halide fixtures, as mandated by 
EPCA. Manufacturers would become subject to these reporting and 
certification requirements once both a final rule for the metal halide 
ballast test procedure and a final rule for the metal halide ballast 
energy conservation standard are effective.
    While interested persons are invited to comment on the proposed 
certification and recordkeeping requirements for metal halide fixtures 
to be codified at 10 CFR Part 431 that are presented in today's NOPR, 
DOE also will separately publish in the Federal Register a notice 
pursuant to 44 U.S.C. 3506(c)(2) that invites public comment on this 
proposed collection of information. After considering any comments, DOE 
will submit the proposed collection of information to OMB for clearance 
pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et 
seq.). DOE will subsequently publish another Federal Register notice 
informing the public when the collection of information request has 
been submitted to OMB for review and clearance. An agency may not 
conduct or sponsor, and a person is not required to respond to, a 
collection of information unless it displays a currently valid OMB 
control number. The effective date of the reporting and certification 
requirements, as set forth in this proposed rule, will be announced 
either in the test procedure final rule or in a separate Federal 
Register document.
    DOE estimates the total annual reporting and recordkeeping burden 
imposed on manufacturers of metal halide fixtures by today's proposed 
rule would be 23,680 hours per year. DOE estimates that the number of 
covered manufacturing firms would be approximately 148, and the total 
annual record-keeping burden from compliance with the proposed rule 
would be 160 hours per company. Thus, 148 firms x 160 hours per firm = 
23,680 hours per year.
    In developing this burden estimate, DOE considered that each 
manufacturer is required to comply with the energy conservation 
standards for metal halide fixtures set by the statute for ballasts 
manufactured on or after the effective date of the relevant statutory 
provisions (i.e., January 1, 2009). DOE understands that manufacturers 
already maintain the types of records the proposed rule would require 
them to keep. The Department believes the collection of information 
required by this proposed rule is the least burdensome method of 
meeting the statutory requirements and achieving the program objectives 
of the DOE compliance certification program for these products and 
equipment.

D. Review Under the National Environmental Policy Act

    In this notice, DOE is proposing a metal halide ballast test 
procedure that it expects would be used to develop and implement future 
energy conservation standards for metal halide lamp ballasts. DOE has 
determined that this proposed rule falls into a class of actions that 
are categorically excluded from review under the National Environmental 
Policy Act of 1969 (Pub. L. 91-190, codified at 42 U.S.C. 4321 et seq.) 
and DOE's implementing regulations at 10 CFR part 1021. Specifically, 
this proposed rule would adopt existing

[[Page 33183]]

industry ballast test procedures, so it would not affect the amount, 
quality, or distribution of energy usage, and therefore, would not 
result in any environmental impacts. Thus, this rulemaking is covered 
by the Categorical Exclusion A6 under 10 CFR part 1021, subpart D.\8\ 
Accordingly, neither an environmental assessment nor an environmental 
impact statement is required.
---------------------------------------------------------------------------

    \8\ Categorical Exclusion A6 provides, ``Rulemakings that are 
strictly procedural, such as rulemaking (under 48 CFR part 9) 
establishing procedures for technical and pricing proposals and 
establishing contract clauses and contracting practices for the 
purchase of goods and services, and rulemaking (under 10 CFR part 
600) establishing application and review procedures for, and 
administration, audit, and closeout of, grants and cooperative 
agreements.''
---------------------------------------------------------------------------

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 10, 
1999), imposes certain requirements on agencies formulating and 
implementing policies or regulations that preempt State law or that 
have Federalism implications. The Executive Order requires agencies to 
examine the constitutional and statutory authority supporting any 
action that would limit the policymaking discretion of the States, and 
to carefully assess the necessity for such actions. The Executive Order 
also requires agencies to have an accountable process to ensure 
meaningful and timely input by State and local officials in developing 
regulatory policies that have Federalism implications. On March 14, 
2000, DOE published a statement of policy describing the 
intergovernmental consultation process that it will follow in 
developing such regulations. 65 FR 13735. DOE examined this proposed 
rule and determined that it would not have a substantial direct effect 
on the States, on the relationship between the national government and 
the States, or on the distribution of power and responsibilities among 
the various levels of government. Accordingly, Executive Order 13132 
requires no further action.

F. Review Under Executive Order 12988

    With respect to the review of existing regulations and the 
promulgation of new regulations, section 3(a) of Executive Order 12988, 
``Civil Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal 
agencies the duty to: (1) Eliminate drafting errors and ambiguity; (2) 
write regulations to minimize litigation; (3) provide a clear legal 
standard for affected conduct rather than a general standard; and (4) 
promote simplification and burden reduction. Section 3(b) of Executive 
Order 12988 specifically requires that Executive agencies make every 
reasonable effort to ensure that the regulation specifies the 
following: (1) The preemptive effect, if any; (2) any effect on 
existing Federal law or regulation; (3) a clear legal standard for 
affected conduct while promoting simplification and burden reduction; 
(4) the retroactive effect, if any; (5) definitions of key terms; and 
(6) other important issues affecting clarity and general draftsmanship 
under any guidelines issued by the Attorney General. Section 3(c) of 
Executive Order 12988 requires Executive agencies to review regulations 
in light of applicable standards in sections 3(a) and 3(b) to determine 
whether they are met or whether it is unreasonable to meet one or more 
of them. DOE completed the required review and determined that, to the 
extent permitted by law, this proposed rule meets the relevant 
standards of Executive Order 12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) (Pub. 
L. 104-4, codified at 2 U.S.C. 1501 et seq.) requires each Federal 
agency to assess the effects of Federal regulatory actions on State, 
local, and Tribal governments and the private sector. For regulatory 
actions likely to result in a rule that may cause expenditures by 
State, local, and Tribal governments, in the aggregate, or by the 
private sector of $100 million or more in any 1 year (adjusted annually 
for inflation), section 202 of UMRA requires a Federal agency to 
publish a written statement that estimates the resulting costs, 
benefits, and other effects on the national economy. (2 U.S.C. 1532(a) 
and (b)) UMRA requires a Federal agency to develop an effective process 
to permit timely input by elected officers of State, local, and Tribal 
governments on a proposed ``significant intergovernmental mandate.'' 
UMRA also requires an agency plan for giving notice and opportunity for 
timely input to small governments that may be potentially affected 
before establishing any requirement that might significantly or 
uniquely affect them. On March 18, 1997, DOE published a statement of 
policy on its process for intergovernmental consultation under UMRA. 62 
FR 12820. (This policy is also available at http://www.gc.doe.gov.) 
Today's proposed rule contains neither an intergovernmental mandate nor 
a mandate that may result in the expenditure of $100 million or more in 
any year, so these requirements do not apply.

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
Today's NOPR to amend DOE test procedures would not have any impact on 
the autonomy or integrity of the family as an institution. Accordingly, 
DOE has concluded that it is not necessary to prepare a Family 
Policymaking Assessment.

I. Review Under Executive Order 12630

    Pursuant to Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights,'' 53 FR 
8859 (March 15, 1988), DOE determined that this proposed rule would not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

J. Review Under the Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (Pub. L. 106-554, codified at 44 U.S.C. 3516 note) provides 
for agencies to review most disseminations of information to the public 
under information quality guidelines established by each agency 
pursuant to general guidelines issued by OMB. OMB's guidelines were 
published at 67 FR 8452 (Feb. 22, 2002), and DOE's guidelines were 
published at 67 FR 62446 (Oct. 7, 2002). DOE has reviewed today's NOPR 
under the OMB and DOE guidelines and concluded that it is consistent 
with applicable policies in those guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated a final rule or is expected to lead to 
promulgation of a final rule, and that: (1) Is a significant regulatory 
action under Executive Order 12866, or any successor order; and (2) is 
likely to have a significant adverse effect on the supply, 
distribution, or use of energy; or (3) is designated by the 
Administrator of OIRA as a significant energy action. For

[[Page 33184]]

any proposed significant energy action, the agency must give a detailed 
statement of any adverse effects on energy supply, distribution, or use 
if the proposal is implemented, and of reasonable alternatives to the 
action and their expected benefits on energy supply, distribution, and 
use. Today's proposed rulemaking is not a significant regulatory action 
under E.O. 12866. Moreover, it would not have a significant adverse 
effect on the supply, distribution, or use of energy and has not been 
designated a significant energy action by the Administrator of OIRA. 
Therefore, DOE determined that this rule is not a significant energy 
action. Accordingly, DOE has not prepared a Statement of Energy Effects 
for this rulemaking.

L. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101, et seq.), DOE must comply with section 
32 of the Federal Energy Administration Act of 1974 (Pub. L. 93-275), 
as amended by the Federal Energy Administration Authorization Act of 
1977 (Pub. L. 95-70). (15 U.S.C. 788) Section 32 provides that, where a 
proposed rule authorizes or requires use of commercial standards, the 
NOPR must inform the public of the use and background of such 
standards. In addition, section 32(c) requires DOE to consult with the 
Attorney General and the Federal Trade Commission (FTC) about the 
impact of the commercial or industry standards on competition.
    DOE evaluated these revised standards and is unable to conclude 
whether they fully comply with the requirements of section 32(b) of the 
Federal Energy Administration Act, (i.e., that they were developed in a 
manner that fully provides for public participation, comment, and 
review). Before prescribing a final rule, DOE will consult with the 
Attorney General and the Chairman of the FTC about the impact of these 
test procedures on competition.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this proposed 
rule.

List of Subjects in 10 CFR Part 431

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Reporting and recordkeeping 
requirements.

    Issued in Washington, DC, on June 29, 2009.
Steven G. Chalk,
Principal Deputy Assistant Secretary, Energy Efficiency and Renewable 
Energy.

    For the reasons stated in the preamble, DOE proposes to amend part 
431 of chapter II of title 10, of the Code of Federal Regulations, to 
read as set forth below.

PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND 
INDUSTRIAL EQUIPMENT

    1. The authority citation for part 431 continues to read as 
follows:

    Authority: 42 U.S.C. 6291-6317.

    2. Section 431.322 is amended by adding, in alphabetical order, 
definitions for ``AC control signal,'' ``Active mode,'' ``Basic 
model,'' ``DC control signal,'' ``Off mode,'' ``PLC control signal,'' 
``Standby mode,'' and ``Wireless control signal'' to read as follows:


Sec.  431.322  Definitions concerning metal halide lamp ballasts and 
fixtures.

    AC control signal means an alternating current (AC) signal that is 
supplied to the ballast using additional wiring for the purpose of 
controlling the ballast and putting the ballast in standby mode.
    Active mode means the condition in which an energy-using product:
    (1) Is connected to a main power source;
    (2) Has been activated; and
    (3) Provides one or more main functions.
* * * * *
    Basic model means, with respect to metal halide ballasts, all units 
of a given type of metal halide ballast (or class thereof) that:
    (1) Are rated to operate a given lamp type and wattage;
    (2) Have essentially identical electrical characteristics; and
    (3) Have no differing electrical, physical, or functional 
characteristics that affect energy consumption.
    DC control signal means a direct current (DC) signal that is 
supplied to the ballast using additional wiring for the purpose of 
controlling the ballast and putting the ballast in standby mode.
* * * * *
    Off mode means the condition in which an energy-using product:
    (1) Is connected to a main power source; and
    (2) Is not providing any standby or active mode function.
    PLC control signal means a power line carrier (PLC) signal that is 
supplied to the ballast using the input ballast wiring for the purpose 
of controlling the ballast and putting the ballast in standby mode.
* * * * *
    Standby mode means the condition in which an energy-using product:
    (1) Is connected to a main power source; and
    (2) Offers one or more of the following user-oriented or protective 
functions:
    (i) To facilitate the activation or deactivation of other functions 
(including active mode) by remote switch (including remote control), 
internal sensor, or timer;
    (ii) Continuous functions, including information or status displays 
(including clocks) or sensor-based functions.
    Wireless control signal means a wireless signal that is radiated to 
and received by the ballast for the purpose of controlling the ballast 
and putting the ballast in standby mode.
    3. Section 431.324 is amended by revising the section heading and 
by revising paragraph (b) and adding paragraph (c) to read as follows:


Sec.  431.324  Uniform test method for the measurement of energy 
efficiency and standby mode energy consumption of metal halide 
ballasts.

* * * * *
    (b) Active Mode Energy Efficiency Testing and Calculations. (1) 
Test Conditions. The power supply, ballast test conditions, lamp 
position, lamp stabilization and test instrumentation shall all conform 
to the requirements specified in section 4.0, ``General Conditions for 
Electrical Performance Tests,'' of the ANSI Standard C82.6-2005, 
``Ballasts for High Intensity Discharge Lamps--Method of Measurement.'' 
Ambient temperatures for the testing period shall be maintained at 
25[deg]C <plus-minus<ls-thn-eq> 5[deg]C in a draft-free environment. 
Basic lamp stabilization shall conform to the general requirements in 
section 4.4.2, and stabilization shall be reached when the lamp's 
electrical characteristics vary by no more than 3 percent in three 
consecutive 10- to 15-minute intervals measured after the minimum 
burning time of 30 minutes. In cases where switching without 
extinguishing the lamp is impossible, the alternative stabilization 
method described in section 4.4.3 shall be used.
    (2) Test Measurement. The ballast input power and lamp output power 
during operating conditions shall be measured in accordance with the 
methods specified in section 6.0, ``Ballast Measurements (Multiple-
Supply Type Ballasts)'' of the ANSI Standard C82.6-2005, ``Ballasts for 
High

[[Page 33185]]

Intensity Discharge Lamps--Method of Measurement.''
    (3) Efficiency Calculation. The measured lamp output power shall be 
divided by the ballast input power to determine the percent efficiency 
of the ballast under test.
    (c) Standby Mode Energy Consumption Testing and Calculations. The 
measurement of standby mode need not be performed to determine 
compliance with energy conservation standards for metal halide lamp 
fixtures established prior to [DATE OF PUBLICATION OF FINAL RULE IN THE 
FEDERAL REGISTER].
    (1) Test Conditions. The power supply, ballast test conditions, and 
test instrumentation shall all conform to the requirements specified in 
section 4.0, ``General Conditions for Electrical Performance Tests,'' 
of the ANSI Standard C82.6-2005, ``Ballasts for High Intensity 
Discharge Lamps--Method of Measurement.'' Ambient temperatures for the 
testing period shall be maintained at 25 [deg]C <plus-minus> 5 [deg]C 
in a draft-free environment. Send a signal to the ballast instructing 
it to have zero light output using the appropriate ballast 
communication protocol or system for the ballast being tested.
    (2) Measurement of Main Input Power. Measure the input power 
(watts) to the ballast in accordance with the methods specified in 
section 6.0, ``Ballast Measurements (Multiple-Supply Type Ballasts)'' 
of the ANSI Standard C82.6-2005, ``Ballasts for High Intensity 
Discharge Lamps--Method of Measurement.''
    (3) Measurement of Control Signal Power. Measure the power from the 
control signal path using one of the methods (as appropriate to the 
given unit) described below:
    (i) DC Control Signal. Measure the DC control signal voltage, using 
a voltmeter (V), and current, using an ammeter (A) connected to the 
ballast in accordance with the circuit shown in Figure 1. The DC 
control signal power is calculated by multiplying the DC control signal 
voltage by the DC control signal current.
[GRAPHIC] [TIFF OMITTED] TP10JY09.007

    (ii) AC Control Signal. Measure the AC control signal power 
(watts), using a wattmeter (W), connected to the ballast in accordance 
with the circuit shown in Figure 2.
[GRAPHIC] [TIFF OMITTED] TP10JY09.008

    (iii) Power Line Carrier (PLC) Control Signal. Measure the PLC 
control signal power (watts), using a wattmeter (W) connected to the 
ballast in accordance with the circuit shown in Figure 3. The wattmeter 
must have a frequency response that is at least 10 times higher than 
the PLC being measured to measure the PLC signal correctly. The 
wattmeter must also be high-pass filtered to filter out power at 60 
Hertz.

[[Page 33186]]

[GRAPHIC] [TIFF OMITTED] TP10JY09.009

    4. Section 431.325 is added to subpart S to read as follows:


Sec.  431.325  Units to be tested.

    For each basic model of metal halide ballast selected for testing, 
a sample of sufficient size, no less than four, shall be selected at 
random and tested to ensure that:
    (a) Any represented value of estimated energy efficiency calculated 
as the measured output power to the lamp divided by the measured input 
power to the ballast (P<INF>out</INF>/P<INF>in</INF>), of a basic model 
is no less than the higher of:
    (1) The mean of the sample; or
    (2) The upper 99 percent confidence limit of the true mean divided 
by 1.01.
    (b) Any represented value of the energy efficiency of a basic model 
is no greater than the lower of:
    (1) The mean of the sample; or
    (2) The lower 99 percent confidence limit of the true mean divided 
by 0.99.
    4. A new Subpart T is added to Part 431 to read as follows:

Subpart T--Certification and Enforcement

Sec.
431.370 Purpose and scope.
431.371 Submission of data.
431.372 Sampling.
431.373 Enforcement.
Appendix A to Subpart T of Part 431--Compliance Statement for 
Certain Commercial Equipment
Appendix B to Subpart T of Part 431--Certification Report for 
Certain Commercial Equipment
Appendix C to Subpart T of Part 431--Enforcement for Performance 
Standards; Compliance Determination Procedure for Certain Commercial 
Equipment

Subpart T--Certification and Enforcement


Sec.  431.370  Purpose and scope.

    This subpart sets forth the procedures to be followed for 
manufacturer compliance certifications of metal halide lamp fixtures 
and for DOE enforcement actions to determine whether a basic model of 
metal halide ballasts complies with the applicable energy conservation 
standard set forth in this part. Energy conservation standards include 
minimum levels of efficiency. This subpart does not apply to electric 
motors.


Sec.  431.371  Submission of data.

    (a) Certification. (1) Except as provided in paragraph (a)(2) of 
this section, each manufacturer or private labeler, before distributing 
in commerce any basic model of covered equipment, covered by this 
subpart and subject to an energy conservation standard set forth in 
this part, shall certify by means of a compliance statement and a 
certification report that each basic model meets the applicable energy 
conservation standard. The compliance statement, signed by the company 
official submitting the statement, and the certification report(s) 
shall be sent by certified mail to: U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121, or e-mailed to the Department at: 
<a href="/cdn-cgi/l/email-protection#a7c4c2d5d3cec1cec4c6d3cec8c989d5c2d7c8d5d3e7c2c289c3c8c289c0c8d1"><span class="__cf_email__" data-cfemail="06656374726f606f6567726f6968287463766974724663632862696328616970">[email protected]</span></a>.
    (2) Each manufacturer or private labeler of a basic model of metal 
halide ballast shall file a compliance statement and its first 
certification report with DOE on or before [DATE ONE YEAR AFTER DATE OF 
PUBLICATION OF THE FINAL RULE IN THE FEDERAL REGISTER].
    (3) Amendment of information. If information in a compliance 
statement or certification report previously submitted to the 
Department under this section is found to be incorrect, each 
manufacturer or private labeler (or an authorized representative) must 
submit the corrected information to the Department at the address and 
in the manner described in this section.
    (4) Third-party representatives. Notices designating a change of 
third-party representative must be sent to the Department at the 
address and in the manner described in this section.
    (5) Compliance statement. Each manufacturer or private labeler need 
only submit its compliance statement once for each basic model. Such 
statement shall include all required information specified in the 
format set forth in Appendix A of this subpart and shall certify, with 
respect to each basic model currently produced by the manufacturer and 
new basic models it introduces in the future, that:
    (i) Each basic model complies and will comply with the applicable 
energy conservation standard;
    (ii) All representations as to efficiency in the manufacturer's 
certification report(s) are and will be based on testing;
    (iii) All information reported in the certification report(s) is 
and will be true, accurate, and complete; and
    (iv) The manufacturer or private labeler is aware of the penalties 
associated with violations of the Act, the regulations thereunder, and 
18 U.S.C. 1001, which prohibits knowingly making false statements to 
the Federal Government.
    (6) Certification report. Each manufacturer must submit to DOE a 
certification report for all its metal halide ballast basic models. The 
certification report (for which a suggested format is set forth in 
Appendix B of this subpart) shall include for each basic model the 
product type, product class, manufacturer's name, private labeler's 
name(s) (if applicable), the manufacturer's model number(s), and the 
ballast efficiency in percent.
    (7) Copies of reports to the Federal Trade Commission that include 
the information specified in paragraph (a)(6) of this section could 
serve in lieu of the certification report.
    (b) Model modifications. Any change to a basic model that affects 
energy consumption constitutes the addition of a new basic model. If 
such a change reduces energy consumption, the new model shall be 
considered in compliance with the standard without any additional 
testing. If, however, such a change increases energy consumption while 
meeting the standard, then the manufacturer must submit all information 
required by paragraph (a)(6) of this section for the new basic model. 
Any such submission shall be sent by certified mail to: U.S. Department 
of Energy, Building Technologies Program,

[[Page 33187]]

Mailstop EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-
0121, or e-mailed to the Department at: 
<a href="/cdn-cgi/l/email-protection#2b484e595f424d42484a5f42444505594e5b44595f6b4e4e054f444e054c445d"><span class="__cf_email__" data-cfemail="d9babcabadb0bfb0bab8adb0b6b7f7abbca9b6abad99bcbcf7bdb6bcf7beb6af">[email protected]</span></a>.
    (c) Discontinued models. For a basic model whose production has 
ceased and is no longer being distributed, the manufacturer shall 
report this, by certified mail, to: U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121. For each basic model, the report shall 
include: equipment type, equipment class, the manufacturer's name, the 
private labeler's name(s), if applicable, and the manufacturer's model 
number. If the reporting of discontinued models coincides with the 
submittal of a certification report, such information can be included 
in the certification report.
    (d) Third-party representation. A manufacturer or private labeler 
may elect to use a third party (such as a trade association or other 
authorized representative) to submit the certification report to DOE. 
Such certification reports shall include all the information specified 
in paragraph (a)(6) of this section. Third parties submitting 
certification reports shall include the names of the manufacturers or 
private labelers who authorized the submittal of the certification 
reports to DOE on their behalf. The third-party representative also may 
submit model modification information, as specified in paragraph (b) of 
this section, and discontinued model information, as specified in 
paragraph (c) of this section, on behalf of an authorizing manufacturer 
or private labeler.


Sec.  431.372  Sampling.

    For purposes of a certification of compliance, the determination 
that a basic model complies with the applicable energy conservation 
standard shall be based upon the testing and sampling procedures, and 
other applicable rating procedures, set forth in this part. For 
purposes of a certification of compliance, the determination that a 
basic model complies with the applicable design standard shall be based 
on the incorporation of specific design requirements specified in this 
part.


Sec.  431.373  Enforcement.

    Process for Metal Halide Lamp Ballasts. This section sets forth 
procedures DOE will follow in pursuing alleged noncompliance with an 
applicable energy conservation standard.
    (a) Performance standards. (1) Test notice. Upon receiving 
information in writing concerning the energy performance of a 
particular covered equipment sold by a particular manufacturer or 
private labeler, which indicates that the covered equipment may not be 
in compliance with the applicable energy standard, the Secretary may 
conduct a review of the test records. The Secretary may then conduct 
enforcement testing of that equipment under the DOE test procedure, a 
process that is initiated by means of a test notice addressed to the 
manufacturer or private labeler in accordance with the requirements 
outlined below.
    (i) The test notice procedure will only be followed after the 
Secretary or his/her designated representative has examined the 
underlying test data provided by the manufacturer, and after the 
manufacturer has been offered the opportunity to meet with the 
Department to verify compliance with the applicable energy conservation 
standard and/or water conservation standard. A representative 
designated by the Secretary must be permitted to observe any 
reverification procedures undertaken according to this subpart, and to 
inspect the results of such reverification.
    (ii) The test notice will be signed by the Secretary or his/her 
designee and will be mailed or delivered by the Department to the plant 
manager or other responsible official designated by the manufacturer.
    (iii) The test notice will specify the basic model to be selected 
for testing, the number of units to be tested, the method for selecting 
these units, the date and time at which testing is to begin, the date 
when testing is scheduled to be completed, and the facility at which 
testing will be conducted. The test notice may also provide for 
situations in which the selected basic model is unavailable for 
testing, and it may include alternative basic models.
    (iv) The Secretary may require in the test notice that the 
manufacturer of covered equipment shall ship at his expense a 
reasonable number of units of each basic model specified in the test 
notice to a testing laboratory designated by the Secretary. The number 
of units of a basic model specified in a test notice shall not exceed 
20.
    (v) Within five working days of the time the units are selected, 
the manufacturer must ship the specified test units of a basic model to 
the designated testing laboratory.
    (2) Testing Laboratory. Whenever the Department conducts 
enforcement testing at a designated laboratory in accordance with a 
test notice under this section, the resulting test data shall 
constitute official test data for that basic model. The Department will 
use such test data to make a determination of compliance or 
noncompliance.
    (3) Sampling. The Secretary will base the determination of whether 
a manufacturer's basic model complies with the applicable energy 
conservation standard on testing conducted in accordance with the 
applicable test procedures specified in this part, and with the 
following statistical sampling procedures for metal halide lamp 
ballasts, with the methods described in 10 CFR Part 431, Subpart T, 
Appendix B (Sampling Plan for Enforcement Testing).
    (4) Test unit selection. (i) For metal halide lamp ballasts, the 
following applies:
    (A) The Department shall select a batch, a batch sample, and test 
units from the batch sample in accordance with the following provisions 
of this paragraph and the conditions specified in the test notice.
    (B) The batch may be subdivided by the Department using criteria 
specified in the test notice.
    (C) The Department will then randomly select a batch sample of up 
to 20 units from one or more subdivided groups within the batch. The 
manufacturer shall keep on hand all units in the batch sample until the 
basic model is determined to be in compliance or non-compliance.
    (D) The Department will randomly select individual test units 
comprising the test sample from the batch sample.
    (E) All random selections shall be achieved by sequentially 
numbering all the units in a batch sample and then using a table of 
random numbers to select the units to be tested.
    (ii) [Reserved]
    (5) Test unit preparation. (i) Before and during the testing, a 
test unit selected in accordance with paragraph (a)(4) of this section 
shall not be prepared, modified, or adjusted in any manner unless such 
preparation, modification, or adjustment is allowed by the applicable 
DOE test procedure. DOE will test each unit in accordance with the 
applicable test procedures.
    (ii) No one may perform any quality control, testing, or assembly 
procedures on a test unit, or any parts and subassemblies thereof, that 
is not performed during the production and assembly of all other units 
included in the basic model.
    (iii) A test unit shall be considered defective if it is 
inoperative. A test unit is also defective if it is found to be in 
noncompliance due to a manufacturing defect or due to failure of the 
unit to

[[Page 33188]]

operate according to the manufacturer's design and operating 
instructions, and the manufacturer demonstrates by statistically valid 
means that, with respect to such defect or failure, the unit is not 
representative of the population of production units from which it is 
obtained. Defective units, including those damaged due to shipping or 
handling, must be reported immediately to DOE. The Department will 
authorize testing of an additional unit on a case-by-case basis.
    (6) Testing at manufacturer's option. (i) If the Department 
determines a basic model to be in noncompliance with the applicable 
energy performance standard at the conclusion of its initial 
enforcement sampling plan testing, the manufacturer may request that 
the Department conduct additional testing of the basic model. 
Additional testing under this paragraph must be in accordance with the 
applicable test procedure, and for metal halide lamp ballasts, the 
applicable provisions in Appendix B to Subpart T of Part 431.
    (ii) All units tested under this paragraph shall be selected and 
tested in accordance with paragraphs (a)(1)(v), (a)(2), (a)(4), and 
(a)(5) of this section.
    (iii) The manufacturer shall bear the cost of all testing under 
this paragraph.
    (iv) The Department will advise the manufacturer of the method for 
selecting the additional units for testing, the date and time at which 
testing is to begin, the date by which testing is scheduled to be 
completed, and the facility at which the testing will occur.
    (v) The manufacturer shall cease distribution of the basic model 
tested under the provisions of this paragraph from the time the 
manufacturer elects to exercise the option provided in this paragraph 
until the basic model is determined to be in compliance. The Department 
may seek civil penalties for all units distributed during such period.
    (vi) If the additional testing results in a determination of 
compliance, the Department will issue a notice of allowance to resume 
distribution.
    (b) Cessation of distribution of a basic model of commercial 
equipment other than electric motors. (1) In the event the Department 
determines, in accordance with enforcement provisions set forth in this 
subpart, that a model of covered equipment is noncompliant, or if a 
manufacturer or private labeler determines one of its models to be in 
noncompliance, the manufacturer or private labeler shall:
    (i) Immediately cease distribution in commerce of all units of the 
basic model in question;
    (ii) Give immediate written notification of the determination of 
noncompliance to all persons to whom the manufacturer has distributed 
units of the basic model manufactured since the date of the last 
determination of compliance; and
    (iii) If requested by the Secretary, provide DOE, within 30 days of 
the request, records, reports and other documentation pertaining to the 
acquisition, ordering, storage, shipment, or sale of a basic model 
determined to be in noncompliance.
    (2) The manufacturer may modify the noncompliant basic model in 
such manner as to make it comply with the applicable performance 
standard. The manufacturer or private labeler must treat such a 
modified basic model as a new basic model and certify it in accordance 
with the provisions of this subpart. In addition to satisfying all 
requirements of this subpart, the manufacturer must also maintain 
records that demonstrate that modifications have been made to all units 
of the new basic model before its distribution in commerce.
    (3) If a manufacturer or private labeler has a basic model that is 
not properly certified in accordance with the requirements of this 
subpart, the Secretary may seek, among other remedies, injunctive 
action to prohibit distribution in commerce of the basic model.

Appendix A to Subpart T of Part 431--Compliance Statement for Certain 
Commercial Equipment

Product:---------------------------------------------------------------
    Manufacturer's or Private Labeler's Name and Address:

-----------------------------------------------------------------------
-----------------------------------------------------------------------

    [Company name] (``the company'') submits this Compliance 
Statement under 10 CFR Part 431 (Energy Efficiency Program for 
Certain Commercial and Industrial Equipment) and Part A-1 of the 
Energy Policy and Conservation Act (Pub. L. 94-163), and amendments 
thereto. I am signing this on behalf of and as a responsible 
official of the company. All basic models of commercial or 
industrial equipment subject to energy conservation standards 
specified in 10 CFR Part 431 that this company manufacturers comply 
with the applicable energy conservation standard(s). We have 
complied with the applicable testing requirements (prescribed in 10 
CFR Part 431) in making this determination, and in determining the 
energy efficiency set forth in any accompanying Certification 
Report. All information in such Certification Report(s) and in this 
Compliance Statement is true, accurate, and complete. The company 
pledges that all this information in any future Compliance 
Statement(s) and Certification Report(s) will meet these standards, 
and that the company will comply with the energy conservation 
requirements in 10 CFR Part 431 with regard to any new basic model 
it distributes in the future. The company is aware of the penalties 
associated with violations of the Act and the regulations 
thereunder, and is also aware of the provisions contained in 18 
U.S.C. 1001, which prohibits knowingly making false statements to 
the Federal Government.

Name of Company Official:----------------------------------------------
Signature of Company Official:-----------------------------------------
Title:-----------------------------------------------------------------
Firm or Organization:--------------------------------------------------
Date:------------------------------------------------------------------
Name of Person to Contact for Further Information:

-----------------------------------------------------------------------
Address:---------------------------------------------------------------
-----------------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
Third-Party Representation (if applicable)

    For a certification reports prepared and submitted by a third-
party organization under the provisions of 10 CFR Part 431, the 
company official who authorized said third-party representation is:

Name:------------------------------------------------------------------
Title:-----------------------------------------------------------------
Address:---------------------------------------------------------------
-----------------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------

The third-party organization authorized to act as representative:
-----------------------------------------------------------------------
Third-Party Organization:----------------------------------------------
Address:---------------------------------------------------------------
-----------------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------

    Submit by Certified Mail to: U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121.

Appendix B to Subpart T to Part 431--Certification Report for Certain 
Commercial Equipment

    All information reported in this Certification Report(s) is 
true, accurate, and complete. The company is aware of the penalties 
associated with violations of the Act, the regulations thereunder, 
and is also aware of the provisions contained in 18 U.S.C. 1001, 
which prohibits knowingly making false statements to the Federal 
Government.

    Name of Company Official or Third-Party Representative:

-----------------------------------------------------------------------

    Signature of Company Official or Third-Party Representative:
-----------------------------------------------------------------------
Title:-----------------------------------------------------------------
Date:------------------------------------------------------------------
Equipment Type:--------------------------------------------------------
Manufacturer:----------------------------------------------------------
Private Labeler (if applicable):---------------------------------------

    Name of Person to Contact for Further Information:

-----------------------------------------------------------------------
Address:---------------------------------------------------------------
-----------------------------------------------------------------------

[[Page 33189]]

Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------

    For Existing, New, or Modified Models: \1\
---------------------------------------------------------------------------

    \1\ Provide specific equipment information including, for each 
basic model, the product class, the manufacturer's model number(s), 
and the other information required in 431.371(a)(6)(i).
---------------------------------------------------------------------------

    For Discontinued Models: \2\
---------------------------------------------------------------------------

    \2\ Provide manufacturer's model number(s).
---------------------------------------------------------------------------

    Submit by Certified Mail to: U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121.

Appendix C to Subpart T of Part 431--Enforcement for Performance 
Standards; Compliance Determination Procedure for Certain Commercial 
Equipment

    The Department will determine compliance as follows:
    (a) After it has determined the sample size, the Department will 
measure the energy performance for each unit in accordance with the 
following table:

------------------------------------------------------------------------
            Sample size                 Number of tests for each unit
------------------------------------------------------------------------
                         4                                    1
                         3                                    1
                         2                                    2
                         1                                    4
------------------------------------------------------------------------

     (b) Compute the mean of the measured energy performance 
(<INF>x1</INF>) for all tests as follows:
[GRAPHIC] [TIFF OMITTED] TP10JY09.000

    Where x<INF>i</INF> is the measured energy efficiency or 
consumption from test i, and n<INF>1</INF> is the total number of 
tests.
    (c) Compute the standard deviation (S<INF>1</INF>) of the 
measured energy performance from the n<INF>1</INF> tests as follows:
[GRAPHIC] [TIFF OMITTED] TP10JY09.001

    (d) Compute the standard error (Sx<INF>1</INF>) of the measured 
energy performance from the n<INF>1</INF> tests as follows:
[GRAPHIC] [TIFF OMITTED] TP10JY09.002

    (e)(1) For an energy efficiency standard, compute the lower 
control limit (LCL<INF>1</INF>) according to:
[GRAPHIC] [TIFF OMITTED] TP10JY09.003

or
[GRAPHIC] [TIFF OMITTED] TP10JY09.004

(whichever is greater)

    (2) For an energy use standard, compute the upper control limit 
(UCL<INF>1</INF>) according to:
[GRAPHIC] [TIFF OMITTED] TP10JY09.005

or
[GRAPHIC] [TIFF OMITTED] TP10JY09.006

(whichever is less)

    Where EPS is the energy performance standard, and t is a 
statistic based on a 99 percent, one-sided confidence limit and a 
sample size of n<INF>1</INF>.
    (f)(1) Compare the sample mean to the control limit. The basic 
model is in compliance and testing is at an end if, for an energy 
efficiency standard, the sample mean is equal to or greater than the 
lower control limit or, for an energy consumption standard, the 
sample mean is equal to or less than the upper control limit. If, 
for an energy efficiency standard, the sample mean is less than the 
lower control limit or, for an energy consumption standard, the 
sample mean is greater than the upper control limit, compliance has 
not been demonstrated. Unless the manufacturer requests 
manufacturer-option testing and provides the additional units for 
such testing, the basic model is in noncompliance and the testing is 
at an end.
    (2) If the manufacturer does request additional testing, and 
provides the necessary additional units, DOE will test each unit the 
same number of times it tested previous units. DOE will then compute 
a combined sample mean, standard deviation, and standard error as 
described above. (The ``combined sample'' refers to the units DOE 
initially tested plus the additional units DOE has tested at the 
manufacturer's request.) DOE will determine compliance or 
noncompliance from the mean and the new lower or upper control limit 
of the combined sample. If, for an energy efficiency standard, the 
combined sample mean is equal to or greater than the new lower 
control limit or, for an energy consumption standard, the sample 
mean is equal to or less than the upper control limit, the basic 
model is in compliance, and testing is at an end. If the combined 
sample mean does not satisfy one of these two conditions, the basic 
model is in noncompliance.

[FR Doc. E9-15881 Filed 7-9-09; 8:45 am]
BILLING CODE 6450-01-P


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