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Proposed Rule2021-13772

Energy Conservation Program: Test Procedure for Metal Halide Lamp Fixtures

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Published

July 14, 2021

Issuing agencies

Energy Department

Abstract

The U.S. Department of Energy ("DOE") proposes to amend its test procedures for metal halide lamp fixtures ("MHLFs") to incorporate by reference the latest versions of relevant industry standards; clarify the selection of reference lamps used for testing; reorganize the content of the test procedure for better readability and clarity; and revise the standby mode test procedure for MHLFs. DOE is seeking comment from interested parties on the proposal.

Full Text

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[Federal Register Volume 86, Number 132 (Wednesday, July 14, 2021)]
[Proposed Rules]
[Pages 37069-37087]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-13772]

========================================================================
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.

========================================================================

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

[[Page 37069]]

DEPARTMENT OF ENERGY

10 CFR Part 431

[EERE-2017-BT-TP-0053]
RIN 1904-AE17

Energy Conservation Program: Test Procedure for Metal Halide Lamp
Fixtures

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

ACTION: Notice of proposed rulemaking and request for comment.

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SUMMARY: The U.S. Department of Energy (``DOE'') proposes to amend its
test procedures for metal halide lamp fixtures (``MHLFs'') to
incorporate by reference the latest versions of relevant industry
standards; clarify the selection of reference lamps used for testing;
reorganize the content of the test procedure for better readability and
clarity; and revise the standby mode test procedure for MHLFs. DOE is
seeking comment from interested parties on the proposal.

DATES: DOE will accept comments, data, and information regarding this
notice of proposed rulemaking (``NOPR'') no later than September 13,
2021. DOE will hold a webinar on Thursday, August 5, 2021, from 10:00
a.m. to 2:00 p.m. See section V, ``Public Participation,'' for details.

ADDRESSES: Interested persons are encouraged to submit comments using
the Federal eRulemaking Portal at <a href="https://www.regulations.gov">https://www.regulations.gov</a>. Follow
the instructions for submitting comments. Alternatively, interested
persons may submit comments, identified by docket number EERE-2017-BT-
TP-0053, by any of the following methods:
1. Federal eRulemaking Portal: <a href="https://www.regulations.gov">https://www.regulations.gov</a>. Follow
the instructions for submitting comments.
2. Email: to <a href="/cdn-cgi/l/email-protection#e7aaafaba1d5d7d6d0b3b7d7d7d2d4a78282c9838882c9808891">[email&#160;protected]</a>. Include docket number EERE-
2017-BT-TP-0053 in the subject line of the message.
No telefacsimiles (``faxes'') will be accepted. For detailed
instructions on submitting comments and additional information on this
process, see section V of this document.
Although DOE has routinely accepted public comment submissions
through a variety of mechanisms, including postal mail and hand
delivery/courier, the Department has found it necessary to make
temporary modifications to the comment submission process in light of
the ongoing Covid-19 pandemic. DOE is currently suspending receipt of
public comments via postal mail and hand delivery/courier. If a
commenter finds that this change poses an undue hardship, please
contact Appliance Standards Program staff at (202) 586-1445 to discuss
the need for alternative arrangements. Once the Covid-19 pandemic
health emergency is resolved, DOE anticipates resuming all of its
regular options for public comment submission, including postal mail
and hand delivery/courier.
Docket: The docket, which includes Federal Register notices,
comments, and other supporting documents/materials, is available for
review at <a href="https://www.regulations.gov">https://www.regulations.gov</a>. All documents in the docket are
listed in the <a href="https://www.regulations.gov">https://www.regulations.gov</a> index. However, some
documents listed in the index, such as those containing information
that is exempt from public disclosure, may not be publicly available.
The docket web page can be found at <a href="https://www.regulations.gov/docket?D=EERE-2017-BT-TP-0053">https://www.regulations.gov/docket?D=EERE-2017-BT-TP-0053</a>. The docket web page will contain simple
instructions on how to access all documents, including public comments,
in the docket. See section V for information on how to submit comments
through <a href="https://www.regulations.gov">https://www.regulations.gov</a>.

FOR FURTHER INFORMATION CONTACT: Dr. Stephanie Johnson, U.S. Department
of Energy, Office of Energy Efficiency and Renewable Energy, Building
Technologies Office, EE-5B, 1000 Independence Avenue SW, Washington, DC
20585-0121. Telephone: (202) 287-1943. Email:
<a href="/cdn-cgi/l/email-protection#d495a4a4b8bdb5bab7b187a0b5bab0b5a6b0a785a1b1a7a0bdbbbaa794b1b1fab0bbb1fab3bba2">[email&#160;protected]</a>.
Mr. Prescott Heighton, U.S. Department of Energy, Office of the
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC
20585-0121. Telephone: (518) 209-1336. Email:
<a href="/cdn-cgi/l/email-protection#faaa889f8999958e8ed4b29f939d928e9594bab28bd4be959fd4bd958c">[email&#160;protected]</a>.
For further information on how to submit a comment or review other
public comments and the docket, contact the Appliance and Equipment
Standards Program staff at (202) 287-1445 or by email:
<a href="/cdn-cgi/l/email-protection#1e5f6e6e72777f707d7b4d6a7f707a7f6c7a6d4f6b7b6d6a7771706d5e7b7b307a717b30797168">[email&#160;protected]</a>.

SUPPLEMENTARY INFORMATION: DOE proposes to incorporate by reference the
following industry standards into 10 CFR part 431:

American National Standards Institute (``ANSI'') C78.43 (ANSI C78.43-
2017), ``American National Standard for Electric Lamps--Single-Ended
Metal Halide Lamps,'' approved December 21, 2017.
ANSI C78.44 (ANSI C78.44-2016), ``American National Standard for
Electric Lamps--Double-Ended Metal Halide Lamps,'' approved July 1,
2016.
ANSI C82.6-2015 (R2020) (ANSI C82.6-2015 (R2020)), ``American National
Standard for Lamp Ballasts--Ballasts for High-Intensity Discharge
Lamps--Methods of Measurement,'' approved March 30, 2020.
ANSI C82.9 (ANSI C82.9-2016), ``American National Standard for Electric
Lamps-- High Intensity Discharge and Low-Pressure Sodium Lamps--
Definitions,'' approved July 12, 2016.
International Electrotechnical Commission (``IEC'') 62301 (IEC 62301),
``Household electrical appliances--Measurement of standby power''
(Edition 2.0, 2011-01).

Copies of ANSI C78.43-2017, ANSI C78.44-2016, ANSI C82.6-2015
(R2020), and ANSI C82.9-2016 are available at <a href="http://www.ansi.org">www.ansi.org</a> or
<a href="http://www.nema.org">www.nema.org</a>. Copies of IEC 62301:2011 are available on IEC's website
at <a href="https://webstore.iec.ch/home">https://webstore.iec.ch/home</a>.
For a discussion of these standards, see section IV.M.

Table of Contents

I. Authority and Background
A. Authority
B. Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
A. Overall
B. Scope
C. References to Industry Standards
1. ANSI C82.6

[[Page 37070]]

2. ANSI C78.43
3. ANSI C78.44 and ANSI C82.9
4. IEC 62301
D. Proposed Amendments to Active Mode Test Method
1. Test Conditions and Setup
a. General Test Conditions
b. Dimming Ballast
c. Reference Lamps
2. Test Method
a. Stabilization Criteria
b. Test Measurements
c. Calculations
d. High-Frequency Electronic Ballasts
E. Proposed Amendments to Standby Mode Test Method
1. Test Conditions and Setup
2. Test Method and Measurement
F. Definitions
G. Compliance Dates and Waivers
H. Test Procedure Costs, Harmonization, and Other Topics
1. Test Procedure Costs, Burdens and Impact
2. Harmonization With Industry Standards
3. Other Test Procedure Topics
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act of 1995
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General Government Appropriations
Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
M. Description of Materials Incorporated by Reference
V. Public Participation
A. Participation in the Webinar
B. Submission of Comments
C. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

MHLFs are included in the list of ``covered products'' for which
DOE is authorized to establish and amend energy conservation standards
and test procedures. (42 U.S.C. 6295(a)(19)) DOE's energy conservation
standards and test procedures for MHLFs are currently prescribed at
subpart S of the Code of Federal Regulations (``CFR''), part 431,
Sec. Sec. 431.326 and 431.324. The following sections discuss DOE's
authority to establish test procedures for MHLFs and relevant
background information regarding DOE's consideration of test procedures
for this equipment.

A. Authority

The Energy Policy and Conservation Act, as amended (``EPCA''),\1\
authorizes DOE to regulate the energy efficiency of a number of
consumer products and certain industrial equipment. (42 U.S.C. 6311-
6317) Title III, Part B \2\ of EPCA established the Energy Conservation
Program for Consumer Products Other Than Automobiles, which sets forth
a variety of provisions designed to improve energy efficiency. These
products include metal halide lamp fixtures, the subject of this
document.\3\ (42 U.S.C. 6292(a)(19)) MHLFs contain metal halide lamp
ballasts. Because the MHLF energy conservation standards in EPCA
established a minimum efficiency for the ballasts incorporated into
those fixtures, this test procedure requires measurement of metal
halide lamp ballast efficiency. (42 U.S.C. 6295(hh)(1)(A))
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\1\ All references to EPCA in this document refer to the statute
as amended through the Energy Act of 2020, Public Law 116-260 (Dec.
27, 2020).
\2\ For editorial reasons, upon codification in the U.S. Code,
Part B was re-designated Part A.
\3\ Because of its placement in Part A of Title III of EPCA, the
rulemaking for MHLFs is bound by the requirements of 42 U.S.C. 6292.
However, because MHLFs are generally considered commercial
equipment, as a matter of administrative convenience and to minimize
confusion among interested parties, DOE adopted MHLF provisions into
subpart S of 10 CFR part 431. 74 FR 12058, 12062 (Mar. 23, 2009).
Therefore, DOE will refer to MHLFs as ``equipment'' throughout the
NOPR because of their placement in 10 CFR part 431. When the NOPR
refers to specific provisions in Part A of EPCA, the term
``product'' is used. The location of provisions within the CFR does
not affect either their substance or applicable procedure.
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The energy conservation program under EPCA consists essentially of
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation
standards, and (4) certification and enforcement procedures. Relevant
provisions of the EPCA specifically include definitions (42 U.S.C.
6291), energy conservation standards (42 U.S.C. 6295), test procedures
(42 U.S.C. 6293), labeling provisions (42 U.S.C. 6294), and the
authority to require information and reports from manufacturers (42
U.S.C. 6296).
The Federal testing requirements consist of test procedures that
manufacturers of covered products must use as the basis for: (1)
Certifying to DOE that their products comply with the applicable energy
conservation standards adopted pursuant to EPCA (42 U.S.C. 6295(s)),
and (2) making representations about the efficiency of those products
(42 U.S.C. 6293(c)). Similarly, DOE must use these test procedures for
testing to determine whether the products comply with any relevant
standards promulgated under EPCA. (42 U.S.C. 6295(s))
Federal energy efficiency requirements for covered products
established under EPCA generally supersede State laws and regulations
concerning energy conservation testing, labeling, and standards. (42
U.S.C. 6297) DOE may, however, grant waivers of Federal preemption for
particular State laws or regulations, in accordance with the procedures
and other provisions of EPCA. (42 U.S.C. 6297(d))
Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures
DOE must follow when prescribing or amending test procedures for
covered products. EPCA requires that any test procedures prescribed or
amended under this section shall be reasonably designed to produce test
results which measure energy efficiency, energy use or estimated annual
operating cost of a covered product during a representative average use
cycle or period of use and shall not be unduly burdensome to conduct.
(42 U.S.C. 6293(b)(3))
In addition, EPCA requires that DOE amend its test procedures for
all covered products to integrate measures of standby mode and off mode
energy consumption. (42 U.S.C. 6295(gg)(2)(A)) Standby mode and off
mode energy consumption must be incorporated into the overall energy
efficiency, energy consumption, or other energy descriptor for each
covered product unless the current test procedures already account for
and incorporate standby and off mode energy consumption or such
integration is technically infeasible. If an integrated test procedure
is technically infeasible, DOE must prescribe a separate standby mode
and off mode energy use test procedure for the covered product, if
technically feasible. (42 U.S.C. 6295(gg)(2)(A)(ii)) Any such amendment
must consider the most current versions of the International
Electrotechnical Commission (``IEC'') Standard 62301 \4\ and IEC
Standard 62087,\5\ as applicable. (42 U.S.C. 6295(gg)(2)(A))
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\4\ IEC 62301, Household electrical appliances--Measurement of
standby power (Edition 2.0, 2011-01). Published January 27, 2011.
\5\ IEC 62087, Methods of measurement for the power consumption
of audio, video, and related equipment (Edition 3.0). Published
April 13, 2011.
---------------------------------------------------------------------------

EPCA also requires that, at least once every 7 years, DOE evaluate
test procedures for each type of covered products, including MHLFs, to
determine whether amended test procedures would more accurately or
fully comply with the requirements for the test procedures to not be
unduly burdensome to conduct and be reasonably designed to produce test

[[Page 37071]]

results that reflect energy efficiency, energy use, and estimated
operating costs during a representative average use cycle. (42 U.S.C.
6293(b)(1)(A) and (b)(3))
If the Secretary determines, on her own behalf or in response to a
petition by any interested person, that a test procedure should be
prescribed or amended, the Secretary shall promptly publish in the
Federal Register proposed test procedures and afford interested persons
an opportunity to present oral and written data, views, and arguments
with respect to such procedures. The comment period on a proposed rule
to amend a test procedure shall be at least 60 days and may not exceed
270 days.\6\ In prescribing or amending a test procedure, the Secretary
shall take into account such information as the Secretary determines
relevant to such procedure, including technological developments
relating to energy use or energy efficiency of the type (or class) of
covered products involved. (42 U.S.C. 6293(b)(2)) If DOE determines
that test procedure revisions are not appropriate, DOE must publish its
determination not to amend the test procedures. DOE is publishing this
notice of proposed rulemaking (``NOPR'') in satisfaction of the 7-year
review requirement specified in EPCA for both the active mode and
standby mode test procedures for MHLFs. (42 U.S.C. 6293(b)(1)(A)) At
this time, DOE has tentatively determined that a MHLF does not have an
``off mode,'' as defined by EPCA (see section I.B for further
details).\7\
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\6\ DOE has historically provided a 75-day comment period for
test procedure NOPRs, consistent with the comment period requirement
for technical regulations in the North American Free Trade
Agreement, U.S.-Canada-Mexico (``NAFTA''), Dec. 17, 1992, 32 I.L.M.
289 (1993); the North American Free Trade Agreement Implementation
Act, Public Law 103-182, 107 Stat. 2057 (1993) (codified as amended
at 10 U.S.C.A. 2576) (1993) (``NAFTA Implementation Act''); and
Executive Order 12889, ``Implementation of the North American Free
Trade Agreement,'' 58 FR 69681 (Dec. 30, 1993). However, Congress
repealed the NAFTA Implementation Act and has replaced NAFTA with
the Agreement between the United States of America, the United
Mexican States, and the United Canadian States (``USMCA''), Nov. 30,
2018, 134 Stat. 11, thereby rendering E.O. 12889 inoperable.
Consequently, since the USMCA is consistent with EPCA's public
comment period requirements and normally requires only a minimum
comment period of 60 days for technical regulations, DOE now
provides a 60-day public comment period for test procedure NOPRs.
\7\ EPCA defines `off mode' as ``the condition in which an
energy-using product--(I) is connected to a main power source; and
(II) is not providing any standby or active mode function. (42
U.S.C. 6295(gg)(1)(A)(ii))
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B. Background

DOE's existing test procedures for MHLFs for active mode and
standby mode operation appear at Title 10 of the Code of Federal
Regulations (``CFR'') part 431, subpart S, Sec. 431.324 (``Uniform
test method for the measurement of energy efficiency and standby mode
energy consumption of metal halide lamp ballasts'').
The Energy Independence and Security Act of 2007 (Pub. L. 110-140;
EISA 2007) amended EPCA, requiring DOE to establish test procedures for
metal halide lamp ballasts based on the industry standard American
National Standards Institute (``ANSI'') C82.6-2005. (42 U.S.C.
6293(b)(18)) On March 9, 2010, DOE published a final rule establishing
active mode and standby mode test procedures for MHLFs based on
measuring ballast efficiency in accordance with ANSI C82.6-2005 \8\
(``2010 MHLF TP final rule''). 75 FR 10950. In the 2010 MHLF TP final
rule, DOE determined that per EPCA's definition of ``off mode,'' MHLFs
do not operate in off mode because there is no condition in which the
components of an MHLF are connected to the main power source and are
not already in a mode accounted for in either active or standby mode.
75 FR 10954-10955.
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\8\ American National Standards Institute. American National
Standard for lamp ballasts--Ballasts for High-Intensity Discharge
Lamps--Methods of Measurement. Approved February 14, 2005.
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EISA 2007 also prescribed mandatory minimum efficiency levels for
certain MHLFs manufactured on or after January 1, 2009. (42 U.S.C.
6295(hh)(1)) DOE published a final rule amending energy conservation
standards for MHLFs on February 10, 2014 (``2014 MHLF ECS final
rule''). 79 FR 7746. These amended standards apply to all equipment
manufactured in, or imported into, the United States on or after
February 10, 2017. In the 2014 MHLF ECS final rule, DOE also amended
the then-existing test procedure to specify the input voltage at which
a ballast is to be tested and to require measuring and calculating
ballast efficiency to three significant figures. 79 FR 7758.
For this rulemaking, DOE has reviewed the current active mode and
standby mode test procedures for MHLFs to determine whether any
amendments are necessary.
On May 30, 2018, DOE published in the Federal Register a request
for information seeking comments on the current test procedure for
MHLFs (``May 2018 RFI''). 83 FR 24680. In the May 2018 RFI, DOE
requested comments, information and data regarding several issues,
including (1) the availability of reference lamps; (2) updates to the
incorporated ANSI standards and the potential incorporation by
reference of recent Illuminating Engineering Society (``IES''), IEC,
and ANSI standards; (3) the potential impact of referencing the updated
standard ANSI C78.43-2013 \9\ in the definition of ``ballast
efficiency'' and the need for clarifying the term ``nominal system'' in
the definition of ``ballast efficiency''; (4) the prevalence of metal
halide lamp ballasts capable of operating more than one lamp wattage,
and how this equipment should be tested; (5) the appropriate light
output for testing metal halide dimming ballasts; (6) the availability
and power consumption of metal halide ballasts capable of operating in
standby mode; and (7) whether high frequency electronic metal halide
ballasts can be tested with the same equipment as high frequency
electronic fluorescent lamp ballasts. Id. DOE received comments in
response to the May 2018 RFI from the National Electrical Manufacturers
Association (``NEMA''). This document addresses information and
comments received in response to the May 2018 RFI, and proposes
amendments to the test procedures for MHLFs.
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\9\ American National Standards Institute. American National
Standard for electric lamps-- Single-Ended Metal Halide Lamps.
Approved April 8, 2013.
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II. Synopsis of the Notice of Proposed Rulemaking

In this NOPR, DOE proposes to revise its test procedures for MHLFs
to: (1) Update references to industry standards; (2) clarify the
selection of reference lamps to be tested with metal halide lamp
ballasts; (3) reorganize the content of the test procedure for better
readability and clarity; and (4) reference IEC 62301:2011 and clarify
instructions for measuring standby mode energy consumption of metal
halide lamp ballasts. DOE has tentatively determined that the proposed
amendments described in section III of this NOPR would not alter the
measured efficiency of MHLFs, or require retesting or recertification
solely as a result of DOE's adoption of the proposed amendments to the
test procedures, if made final. Additionally, DOE has tentatively
determined that the proposed amendments, if made final, would not
increase the cost of testing. DOE's proposed actions are summarized in
Table II.I and addressed in detail in section III of this proposed
rulemaking.

[[Page 37072]]

Table II.I--Summary of Changes in Proposed TP Relative to Current TP
------------------------------------------------------------------------
Current DOE TP Proposed TP Attribution
------------------------------------------------------------------------
References ANSI C78.43-2004, References the updated Industry TP
which describes version ANSI C78.43- Update to ANSI
characteristics of single- 2017 which C78.43-2017,
ended metal halide lamps. incorporates new data adoption of
sheets for additional updated version
lamps and updates recommended by
ballast design NEMA.
information in
certain data sheets.
Does not reference an industry References ANSI C78.44- Specifies how to
standard for double-ended 2016 to specify test double-
metal halide lamps. physical and ended metal
electrical halide lamps.
characteristics for
double-ended metal
halide lamps,
consistent with the
procedure for single-
ended metal halide
lamps.
To define ``ballast Revises the definition Removes
efficiency,'' references the of ``ballast inaccurate
term ``nominal system'' in efficiency'' to reference to
ANSI C78.43-2004, but that remove the term ``nominal
term does not appear in the ``nominal system'' system'' in
ANSI standard. and moves testing ``ballast
instructions from the efficiency''
definition to the definition.
test procedure.
Does not define ``reference States that metal Defines
lamp''. halide lamps used for ``reference
testing must meet the lamp'' by
definition of a reference to
reference lamp found the industry
in ANSI C82.9-2016. standard
definition of
the term.
Does not provide direction for Directs dimming Provides
the light output level at ballasts to be tested necessary
which to test dimming in active mode while direction for
ballasts in active mode. operating at the testing dimming
maximum input power. ballasts in
active mode.
Does not provide direction for Directs that ballasts Accommodates new
which lamp to use for testing designated with ANSI products on the
ballasts that can operate codes corresponding market.
lamps of more than one to more than one lamp
wattage, or that can operate must be tested with
both quartz and ceramic metal the lamp having the
halide lamps. highest nominal lamp
wattage as specified
in ANSI C78.43-2017
or ANSI C78.44-2016,
as applicable, and
that ballasts
designated with ANSI
codes corresponding
to both ceramic metal
halide lamps (code
beginning with ``C'')
and quartz metal
halide lamps (code
beginning with ``M'')
of the same nominal
lamp wattage must be
tested with the
quartz metal halide
lamp. Adds
definitions for
``quartz metal halide
lamp'' and ``ceramic
metal halide lamp''.
Incorporates by reference ANSI Incorporates by EPCA
C82.6-2005 for the reference IEC requirement.
measurement of standby mode 62301:2011 for the
power. measurement of
standby mode power.
------------------------------------------------------------------------

III. Discussion

A. Overall

In response to the May 2018 RFI, NEMA commented that DOE should not
update the MHLF test procedure. NEMA argued that further investment in
MHLF technology is not warranted, as the market for these products is
declining rapidly. NEMA provided multiple data sources illustrating the
low installed stock of high intensity discharge (``HID'') light sources
(which include metal halide lamps) and the continued reduction in metal
halide usage expected due to increased LED penetration. (NEMA, No. 2 at
pp. 2-3) \10\ NEMA also provided metal halide ballast shipment indices
which showed that metal halide ballast shipments have been declining
since 2014. (NEMA, No. 3 at p. 1) NEMA added that the replacement of
traditional luminaires, including metal halide, with LED luminaires has
already led to substantial energy savings and a drop in overall energy
consumption, and that this market shift will continue to decrease
energy consumption without government regulation. NEMA concluded that
DOE should not update the MHLF test procedure or related energy
conservation standards due to diminishing returns on potential energy
savings; the expected burden of implementing new standards and test
procedures; and the resulting costs which would be passed on to the
consumer. (NEMA, No. 2 at pp. 4-5)
---------------------------------------------------------------------------

\10\ A notation in this form provides a reference for
information that is in the docket of DOE's rulemaking to review test
procedures for metal halide lamp fixtures (Docket No. EERE-2017-BT-
TP-0053). This notation indicates that the statement preceding the
reference is included in document number 2 in the docket for the
MHLF test procedure rulemaking, at pages 2 through 3.
---------------------------------------------------------------------------

DOE is required by EPCA to evaluate test procedures for each type
of covered product at least once every 7 years to determine whether
amended test procedures would more accurately or fully comply with the
requirements for the test procedure to not be unduly burdensome to
conduct and be reasonably designed to produce test results that reflect
energy efficiency, energy use, and estimated operating costs during a
representative average use cycle or period of use. (42 U.S.C.
6293(b)(1)(A)) DOE is conducting this rulemaking to satisfy this 7-year
EPCA review requirement. In this NOPR, DOE is only addressing the MHLF
test procedure and not the applicable energy conservation standards. As
such, DOE did not specifically consider energy savings or shipments of
MHLFs when evaluating whether the test procedure should be amended.
However, the following sections describe the changes to the test
procedure that DOE proposes to make in this NOPR and the reasons DOE
proposes those changes. Section III.H.1 describes the industry costs
associated with the proposed changes, and section IV.B describes the
impact on small businesses.
Although DOE is proposing revisions only to certain parts of the
existing test procedure, DOE invites comment on all aspects of DOE's
test procedure for MHLFs, including those provisions appearing at 10
CFR 429.54 and 10 CFR part 431, subpart S, as well as comments on
current best practices and technological developments that may warrant
additional amendments.

B. Scope

EPCA and DOE regulations define MHLF as a light fixture for general
lighting applications designed to be operated with a metal halide lamp
and a ballast for a metal halide lamp. (42 U.S.C. 6291(a)(64) and 10
CFR 431.322). Metal halide ballast is defined as a ballast used to
start and operate metal halide lamps. (42 U.S.C. 6291(a)(62) and 10 CFR
431.322). DOE defines metal halide lamp as an HID lamp in which the
major portion of the light is produced by radiation of metal halides
and their products of dissociation, possibly in combination with
metallic

[[Page 37073]]

vapors. (42 U.S.C. 6291(a)(63) and 10 CFR 431.322).

C. References to Industry Standards

The MHLF test procedure currently incorporates by reference the
2005 version of ANSI C82.6 (``ANSI C82.6-2005'') and the 2004 version
of ANSI C78.43 (``ANSI C78.43-2004'').\11\ Industry periodically
updates its test procedure standards to account for changes in
technology and/or developments in test methodology and equipment. In
reviewing the current test procedure, DOE noted that updated versions
of the referenced industry standards are available. DOE compared these
updated versions to those versions currently referenced by DOE's test
procedure to determine to what extent, if any, incorporating by
reference the latest industry standards would alter the measured energy
efficiency or measured energy use, as determined under the existing
test procedure, as required by EPCA. (42 U.S.C. 6293(e)(1))
Specifically, DOE reviewed the 2020 version of ANSI C82.6 (``ANSI
C82.6-2015 (R2020)'') \12\ and the 2017 version of ANSI C78.43 (``ANSI
C78.43-2017'') \13\ for this purpose. In its review of the updated
versions of industry standards, DOE tentatively determined that the
changes would not result in a change in measured values or test burden.
(See sections III.C.1 and III.C.2 for further details.)
---------------------------------------------------------------------------

\11\ American National Standards Institute. American National
Standard for electric lamps--Single-Ended Metal Halide Lamps.
Approved May 5, 2004.
\12\ American National Standards Institute. American National
Standard for Lamp Ballasts--Ballasts for High-Intensity Discharge
Lamps--Methods of Measurement. Approved March 30, 2020.
\13\ American National Standards Institute. American National
Standard for electric lamps--Single-Ended Metal Halide Lamps.
Approved December 21, 2017.
---------------------------------------------------------------------------

In addition to updating existing references to industry standards
in DOE's test procedure with the most recent versions, DOE proposes to
incorporate by reference additional standards related to the testing of
MHLFs that are not already referenced in the current test procedure.
Specifically, DOE proposes to incorporate by reference ANSI C78.44-2016
\14\ to provide lamp characteristics for double-ended metal halide
lamps, ANSI C82.9-2016 \15\ to reference certain definitions, and IEC
62301:2011 for measurement of standby power. (See sections III.C.3 and
III.C.4 for further details.) The following sections discuss in detail
the new industry standards proposed for incorporation in this NOPR.
---------------------------------------------------------------------------

\14\ American National Standards Institute. American National
Standard for Electric Lamps--Double-Ended Metal Halide Lamps.
Approved July 1, 2016.
\15\ American National Standards Institute. American National
Standard for Lamp Ballasts--High-Intensity-Discharge and Low-
Pressure Sodium Lamps-Definitions. Approved July 12, 2016.
---------------------------------------------------------------------------

1. ANSI C82.6
ANSI C82.6-2005 is an industry standard that describes the
procedures to be followed, and the precautions to be taken, in
measuring the performance of ballasts that operate HID lamps. In a
public meeting held on December 19, 2008, during the NOPR stage of the
rulemaking process culminating in the 2010 MHLF TP final rule, NEMA
informed DOE that ANSI C82.6-2005 was in the process of being revised.
75 FR 10952. Because the revised ANSI C82.6 standard was not complete
at the time of the 2010 MHLF TP final rule, DOE was unable to
incorporate it by reference in its test procedure for metal halide lamp
fixtures. Id. However, DOE incorporated several of the proposed
revisions to ANSI C82.6-2005 directly in the DOE test procedure based
on information provided by NEMA in written comments.
DOE's current test procedure directly references ANSI C82.6-2005
for the specifications of instruments to be used for testing, test
conditions and setup, and measurements. Specifically, DOE's current
test procedure references section 4 (``General Conditions for
Electrical Performance Tests'') and section 6 (``Ballast Measurements
[Multiple-Supply Type Ballasts]'') of ANSI C82.6-2005. DOE has
identified several updates made to sections 4 and 6 in the 2020 version
of ANSI C82.6, all of which DOE has tentatively determined are minor
changes that would help further clarify and/or reaffirm the DOE test
procedure and would not affect measured values under the DOE test
procedure. The following paragraphs include a detailed discussion of
each update.
First, the 2020 version of ANSI C82.6 added a requirement that the
ballast under test must be operated until it reaches equilibrium,
thereby ensuring stable conditions for testing. DOE notes that this
requirement is already included in DOE's test procedure based on
feedback received from NEMA in the previous rulemaking in anticipation
of changes to ANSI C82.6-2005. (NEMA, No. 24 \16\ at p. 3) Hence, DOE
has tentatively determined that, if incorporated by reference, this
revision would not impact measured values.
---------------------------------------------------------------------------

\16\ This document was submitted to the docket of DOE's
rulemaking to review energy conservation standards for fluorescent
lamp ballasts (Docket No. EERE-2008-BT-TP-0017).
---------------------------------------------------------------------------

Second, the 2020 version of ANSI C82.6 provided greater flexibility
by recommending the use of either a ``make-before-break'' or fast-
acting switch for the basic stabilization method when switching a
reference lamp from a reference ballast circuit to a test ballast
circuit. Previously, a ``make-before-break'' switch was specified only
for high pressure sodium lamps. DOE notes that this recommendation is
already included in DOE's test procedure based on feedback received
from NEMA in the previous rulemaking in anticipation of changes to ANSI
C82.6-2005. (NEMA, No. 24 \17\ at p. 3) Hence, DOE has tentatively
determined that this revision would not impact measured values.
---------------------------------------------------------------------------

\17\ This document was submitted to the docket of DOE's
rulemaking to review energy conservation standards for fluorescent
lamp ballasts (Docket No. EERE-2008-BT-TP-0017).
---------------------------------------------------------------------------

Third, the 2020 version of ANSI C82.6 modified the heading of
section 4.4.3 from ``Alternative Stabilization Method'' to
``Alternative Stabilization Method (Electronic Ballasts),'' indicating
that the alternative stabilization method is for use with electronic
ballasts. Because DOE's current test procedure already specifies that
the alternative stabilization method should be used for low-frequency
electronic ballasts, DOE interprets the revised section heading as
simply a clarification. In addition, ANSI C82.6-2015 (R2020) added an
annex with low-frequency electronic reference ballast characteristics
(``Annex A Low-Frequency Electronic Reference Ballast'') for the
testing of low-frequency electronic ballasts. DOE has tentatively
determined that, if incorporated, this addition will improve
consistency and repeatability of measurements under the DOE test
procedure, and would not impact measured values.
Fourth, the 2020 version of ANSI C82.6 added requirements
pertaining to stabilization. The updated standard includes a
requirement in the alternative stabilization method that lamps used for
testing should be stable. Using a stable lamp in a test would be
considered industry ``best practice,'' but was not specified as a
requirement in ANSI C82.6-2005 or the DOE test procedure. The
alternative stabilization method is used when it is not possible to
keep the lamp from extinguishing, as required in the basic
stabilization method. DOE has tentatively determined that, if
incorporated, the lamp stability requirement would provide helpful
specificity in the alternative stabilization method.

[[Page 37074]]

ANSI C82.6-2015 (R2020) also defines the term ``operational
stability'' in the alternative stabilization method as when three
consecutive measurements of the lamp's electrical characteristics are
within 2.5 percent of the preceding measurement over a five minute
period. DOE's test procedure requires only lamp power, rather than all
lamp electrical characteristics, be within 2.5 percent of the preceding
measurement. DOE has tentatively determined that the updated definition
of ``operational stability,'' if incorporated, would improve testing
consistency and repeatability when using the alternative stabilization
method, and would not impact measured values. (See section III.D.2.a
for further details on clarifications to stabilization criteria in
DOE's test procedure.)
Fifth, the 2020 version of ANSI C82.6 added a requirement that
electronic HID ballasts must be measured with digital instruments. DOE
has tentatively determined that, if incorporated, measuring electronic
HID ballasts with digital instruments would improve consistency and
repeatability of measured values, and would not impact measured values.
Sixth, the 2020 version of ANSI C82.6 updates the list of pertinent
measurements for electronic and magnetic ballasts. Additional
measurements applicable to both electronic and magnetic ballasts
include those pertaining to: (1) Extinction voltage and (2) application
requirements--end of life. Additional measurements applicable only to
electronic ballasts include: (1) Inrush current; (2) hot re-strike
time; (3) starting time; (4) power regulation; (5) rise and fall time;
and (6) lamp stability. The DOE test procedure requires measurements to
determine ballast efficiency (i.e., ballast input power, lamp output
power). DOE has tentatively determined that because the additional
measurements listed in ANSI C82.6-2015 (R2020) are not necessary to
determine ballast efficiency, they are not required by the DOE test
procedure and, therefore, will not impact measured values.
Seventh, the 2020 version of ANSI C82.6 includes new sections that
specify instrumentation to use and how to take measurements when
measuring input current; current total harmonic distortion (``THD'');
input power; and lamp voltage, current, and power for determining lamp
operating limits. Specifications on taking these measurements for
modulated signals were also added. DOE has tentatively determined that,
if incorporated, updated instructions on measuring input current THD,
input power, and lamp voltage, lamp current, and lamp power in ANSI
C82.6-2015 (R2020) would improve consistency and repeatability of
measured values, and would not impact measured values under the DOE
test procedure.
Eighth, the 2020 version of ANSI C82.6 added an equation specifying
that ballast efficiency is the reference lamp power divided by the
ballast input power. The DOE test procedure specifies that ballast
efficiency is calculated by dividing the measured lamp output power by
the measured ballast input power. Hence, DOE has tentatively determined
that because the added equation in ANSI C82.6-2015 (R2020) is the same
as DOE's current ballast efficiency equation, it reaffirms the DOE test
procedure.
At the time of the publication of the May 2018 RFI, the most recent
available version of ANSI C82.6 was a 2015 version of the standard.\18\
Hence, in the May 2018 RFI, DOE asked for comment on the potential
impact of incorporating by reference ANSI C82.6-2015 and any potential
differences in testing under the 2015 version of ANSI C82.6, as
compared to the 2005 version. 83 FR 24682. In response to DOE's
request, NEMA commented that no adverse effects would be expected from
adopting this revised edition of ANSI C82.6. NEMA noted that the
changes build upon the previous version by widening its scope to
include low-frequency square wave electronic ballasts and providing
clarifications to the standard. NEMA cited as enhancements to the
standard the revised description of the alternative stabilization
method for electronic ballasts; the requirement for the exclusive use
of digital instruments with electronic ballasts; and the addition of a
ballast efficiency calculation as enhancements to the standard. (NEMA,
No. 2 at p. 5)
---------------------------------------------------------------------------

\18\ American National Standards Institute. American National
Standard for Lamp Ballasts--Ballasts for High-Intensity Discharge
Lamps--Methods of Measurement. Approved February 20, 2015.
---------------------------------------------------------------------------

DOE has determined that there are no differences between the 2020
version and the 2015 version of ANSI C82.6 and that the 2020 version is
a reaffirmation of the 2015 version. Hence, NEMA's comments on the 2015
version are also applicable to the 2020 version of ANSI C82.6. DOE
agrees with NEMA that adopting the updated ANSI C82.6 standard should
not cause any adverse effects on testing. DOE has tentatively
determined that the changes discussed do not result in substantive
changes to test setup and methodology, and would not affect measured
values. For the reasons discussed in this section, DOE proposes to
incorporate by reference the 2020 version of ANSI C82.6. DOE requests
comment on its proposal to incorporate by reference ANSI C82.6-2015
(R2020) into the DOE test procedure.
2. ANSI C78.43
ANSI C78.43 is an industry standard that sets forth the physical
and electrical characteristics for single-ended metal halide lamps
operated on 60 Hertz (``Hz'') ballasts. As discussed in the May 2018
RFI, upon reviewing the current test procedure, DOE found that this
industry standard, referenced in the DOE definition of ``ballast
efficiency,'' has been updated. 83 FR 24682. Per DOE regulations,
``ballast efficiency,'' or the efficiency of a lamp and ballast
combination, is defined as the measured operating lamp wattage (i.e.,
output power) divided by the measured operating input wattage (i.e.,
input power), expressed as a percentage. 10 CFR 431.322. The input and
output power of the ballast must be measured while the ballast is
operating a reference lamp. The 2004 version of ANSI C78.43 (ANSI
C78.43-2004) is incorporated by reference in DOE's regulations to
describe the requirements for various fixture components used when
measuring ballast efficiency. See 10 CFR 431.323. Specifically, the
definition of ``ballast efficiency'' states that the lamp and capacitor
(when provided) must constitute a nominal system in accordance with
ANSI C78.43-2004. However, the standard does not define the term
``nominal system.'' ANSI C78.43-2004 does contain the physical and
electrical requirements that single-ended metal halide lamps operated
on 60 Hz ballasts must meet to qualify as reference lamps.
In the May 2018 RFI, DOE requested comment on the potential impact
of adopting the 2013 version of ANSI C78.43. 83 FR 24682. However, an
updated version of ANSI C78.43 (ANSI C78.43-2017), which compared to
ANSI C78.43-2013 added new lamp datasheets, was published in April
2018. Compared to the 2013 version, the changes in ANSI C78.43-2017,
are mainly updates to certain lamp datasheets related to lamp
designations, physical descriptions of lamps, and minor changes to test
parameters. These new datasheets in ANSI C78.43-2017 incorporate
datasheets for additional lamp types which, if adopted, would provide
characteristics for additional reference lamps to use for testing. The
lamp datasheets provide the physical and electrical characteristics for
specific

[[Page 37075]]

lamps. Ballasts operating the lamps in these newly incorporated
datasheets are currently certified in DOE's Compliance Certification
Management System (``CCMS'') database. Hence, these ballasts are
already being tested using a certain set of lamp characteristics.
Because lamp datasheets are based on industry consensus, it is likely
that the characteristics in the new datasheets are the same as those
being used in general practice. Therefore, DOE tentatively concludes
that adopting the 2017 version of ANSI C78.43 is unlikely to increase
testing burden or impact measured values.
In addition, ANSI C78.43-2017 updated existing datasheets with
information on magnetic ballast design and electronic low-frequency
square wave ballast design. Compared to the 2013 version, ANSI C78.43-
2017 makes minor changes to test parameters in the magnetic ballast
design section and specifies basic ignitor requirements in the
electronic low frequency square wave ballast design section. ANSI
C78.43-2017 also updated the normative references to remove, add, and
replace versions of certain industry standards. Because DOE is
proposing to reference ANSI C78.43-2017 only when specifying
requirements for reference lamps, only parameters that impact the
reference lamp such as reference ballast characteristics and values for
100-hour rated lamp wattage, current, and voltage would impact ballast
efficiency. None of these parameters are changed in the revisions found
in ANSI C78.43-2017. Therefore, DOE has determined that the additional
information in ANSI C78.43-2017 for electronic low-frequency square
wave ballast design will not affect measured values for ballast
efficiency.
In response to the May 2018 RFI, NEMA suggested that DOE
incorporate by reference the 2017 version of ANSI C78.43 rather than
the 2013 version since the 2017 version included additional lamp types.
NEMA concluded that no negative impact was expected from adopting ANSI
C78.43-2017. (NEMA, No. 2 at p. 5)
DOE agrees that ANSI C78.43-2017 should be incorporated by
reference. DOE has tentatively determined that revisions reflected in
ANSI C78.43-2017 would not result in a change in measured values under
the test procedure, and the additional datasheets provide
characteristics for additional reference lamps to use for testing, thus
improving consistency and repeatability of the DOE test procedure. DOE
has also tentatively determined that the minor updates to existing
datasheets would not result in changes to test setup or methodology. To
align with the latest version of the industry standard, DOE proposes to
incorporate by reference ANSI C78.43-2017. DOE requests comment on its
proposal to incorporate by reference ANSI C78.43-2017 into the DOE test
procedure.
In addition to specifying reference lamps in the DOE test
procedure, ANSI C78.43 appears as a reference in the definition of
``ballast efficiency'' in DOE's regulations at 10 CFR 431.322.
Specifically, the definition states that a lamp and capacitor, if one
is present, constitutes a nominal system in accordance with ANSI
C78.43. In the May 2018 RFI, DOE requested comment on clarifying the
term ``nominal system.'' 83 FR 24682. In response, NEMA stated it was
unclear how ANSI C78.43 can be used in the definition of ``ballast
efficiency.'' Further, NEMA commented that the term ``nominal system''
is not defined in any edition of ANSI C78.43, but the term could be
enhanced by specifying that the efficiency of a metal halide ballast be
measured according to test methods described in ANSI C82.6-2015. NEMA
added that this industry standard requires the use of (1) a stable, low
impedance input voltage, per section 4.1; (2) a nominal (electrical)
system voltage (``V'') as described in the Metal Halide Luminaire rule
\19\ (such as 277 V); (3) a stable lamp, per section 4.4.1 and 4.4.2;
and (4) a capacitor (if provided) that shall not deviate more than 3
percent from its nominal value. (NEMA, No. 2 at p. 6)
---------------------------------------------------------------------------

\19\ NEMA was likely referring to paragraph (b)(1)(iii) of Title
10 of the Code of Federal Regulations (CFR) part 431, subpart S,
Sec. 431.324 (``Uniform test method for the measurement of energy
efficiency and standby mode energy consumption of metal halide lamp
ballasts'').
---------------------------------------------------------------------------

DOE tentatively concludes that a reference to the currently
referenced 2004 version or the most recent 2017 version of ANSI C78.43
for the requirements of a ``nominal system'' within the definition of
``ballast efficiency'' at 10 CFR 431.322 may result in confusion since
the term ``nominal system'' is not defined within either version of the
standard. DOE appreciates NEMA's suggestion for enhancing the term
``nominal system'' by specifying that ballast efficiency be measured
according to requirements in ANSI C82.5-2015. However, in this NOPR,
DOE is already applying NEMA's suggestion by proposing to reference
ANSI C82.6-2015 (R2020) for test conditions and stabilization (see
sections III.D.1.a and III.D.2.a, respectively) in the DOE test
procedure. Further NEMA's suggested specifications are not appropriate
for 10 CFR 431.322, which specifies only definitions. Therefore, DOE
proposes to remove the statement referencing ``nominal system'' and
ANSI C78.43 since the test procedure in its entirety outlines the
system requirements when testing the ballast efficiency of a metal
halide lamp ballast. See section III.F for a complete description of
DOE's proposed changes to the definition of ``ballast efficiency.''
In summary, DOE is proposing to incorporate by reference ANSI
C78.43-2017 in the DOE test procedure found at 10 CFR 431.324, but
remove the reference to ANSI C78.43 from the definitions found at 10
CFR 431.322.
3. ANSI C78.44 and ANSI C82.9
As stated previously, DOE is proposing to incorporate by reference
two new industry standards in the active mode test procedure for MHLFs.
In particular, ANSI C78.44-2016 specifies the physical and electrical
requirements for double-ended metal halide lamps operated on 60 Hz
ballasts. Metal halide ballasts are tested with lamps that should
adhere to physical and electrical specifications. These specifications
are provided in ANSI C78.43 for single-ended metal halide lamps and in
ANSI C78.44 for double-ended metal halide lamps. The current DOE test
procedure incorporates ANSI C78.43-2005 as a reference for single-ended
metal halide lamps but does not reference any version of ANSI C78.44.
DOE has tentatively determined that it is necessary to reference ANSI
C78.44-2016 for double-ended metal halide lamps. DOE has also
tentatively determined that the inclusion of ANSI C78.44-2016 would
ensure that necessary specifications are being provided for testing
metal halide ballasts that operate double-ended metal halide lamps. DOE
requests comment on its proposal to incorporate by reference ANSI
C78.44-2016 into the DOE test procedure.
DOE proposes to specify that the metal halide lamps used for
testing must meet the definition of a reference lamp as defined by ANSI
C82.9-2016. The definition specifies the lamp be seasoned for 100
hours, a requirement that is already in the current DOE test procedure.
In addition, the definition of reference lamp in ANSI C82.9-2016 states
that a reference lamp has electrical characteristics within <plus-
minus>2 percent of the rated values. Industry is likely already
adhering to stipulations for reference lamps as specified in ANSI
C82.9-2016. Specifying that reference lamps meet the definition in ANSI
C82.9-2016 would provide an industry reference for the current
seasoning

[[Page 37076]]

requirement and ensure that industry-accepted requirements are followed
when identifying a reference lamp. Therefore, DOE proposes to
incorporate by reference ANSI C82.9-2016 in 10 CFR 431.323. DOE
requests comment on its proposal to incorporate by reference ANSI
C82.9-2016 into the DOE test procedure.
4. IEC 62301
As discussed in section I.A, EPCA directs DOE to amend its test
procedures for all covered products to incorporate a measure of standby
mode and off mode energy consumption, taking into consideration the
most recent versions of IEC 62301 and IEC 62087, if technically
feasible. (42 U.S.C. 6295(gg)(2)) Thus, the 2010 MHLF TP final rule
established a test method for measuring standby mode power (42 U.S.C.
6295(gg)(2)(A)). 75 FR 10950, 10959-10961. DOE developed the standby
mode test method for metal halide lamp ballasts to be consistent with
the industry standard IEC 62301:2005 \20\ but also referenced language
and methodologies presented in ANSI C82.6-2005. 75 FR 10951. To improve
the clarity of the standby mode test method, DOE proposes to directly
incorporate by reference the most recent version, IEC Standard
62301:2011 for measuring the energy consumption of MHLFs in standby
mode. (See section III.E for more information.)
---------------------------------------------------------------------------

\20\ International Electrotechnical Commission. Household
electrical appliances--Measurement of standby power (Edition 1.0).
Published June 13, 2005.
---------------------------------------------------------------------------

D. Proposed Amendments to Active Mode Test Method

As a result of DOE's proposed amendments to the active mode test
method discussed in this section, DOE is proposing modifications to
both the active mode test method and the organization of 10 CFR 431.324
to improve readability. Specifically, DOE is proposing changes to the
test conditions and setup, as well as the test method for the
measurement of ballast efficiency of MHLFs. DOE also proposes to state
that the language in 10 CFR 431.324 would take precedence if there is a
conflict between referenced industry standards and the revised DOE test
procedure. DOE requests comment on both the general instructions of the
active mode test method and the proposed modifications to the
organization of 10 CFR 431.324. DOE discusses the proposed amendments
to the active mode test method in greater detail in the sections that
follow.
1. Test Conditions and Setup
DOE proposes to amend the test conditions and setup paragraph of
the active mode test procedure in 10 CFR 431.324 to: (1) More
accurately reference industry standards and the relevant sections of
those standards; (2) provide direction for testing metal halide lamp
ballasts that operate lamps of different wattages or lamp types; and
(3) specify testing of dimming metal halide lamp ballasts at maximum
input power. DOE is proposing to revise the heading of paragraph
(b)(1)(i) of existing 10 CFR 431.324 from ``Test Conditions'' to ``Test
Conditions and Setup'' and redesignate it as paragraph (b)(2) of the
revised 10 CFR 431.324 to align with proposed additions to this
paragraph (b) pertaining to test setup. DOE has tentatively determined
that the proposed updates pertaining to test conditions and setup would
not change measured values used for certifying compliance with existing
energy conservation standards for MHLFs. The specific changes are
discussed in further detail in the sections that follow.
a. General Test Conditions
Paragraph (b)(1)(i) of 10 CFR 431.324 currently references section
4.0, ``General Conditions for Electrical Performance Tests,'' of ANSI
C82.6 for power supply, ballast test conditions, lamp position, lamp
stabilization, and test instrumentation. DOE proposes to remove lamp
stabilization from the description of test conditions because lamp
stabilization is part of the test method rather than a test condition,
and to better align the test procedure with the organization of the
updated ANSI C82.6 standard. DOE proposes to include instructions for
the lamp stabilization process in the test method paragraph of 10 CFR
431.324 and discusses these proposed changes in section III.D.2. Under
this paragraph, DOE proposes to include specification that the circuits
used for testing must be in accordance with the circuit connections set
forth in section 6.3 of ANSI C82.6.
b. Dimming Ballasts
DOE established an active mode test method in the 2010 MHLF TP
final rule which incorporated relevant sections of ANSI C82.6-2005 to
measure ballast efficiency as required by EPCA (42 U.S.C. 6293(b)(18)).
75 FR 10950. DOE also clarified in the 2010 MHLF TP final rule that
active mode applies to a functioning ballast operating with any amount
of rated system light output (i.e., greater than zero percent), and
noted that if a ballast is dimmed (i.e., operating the light source at
more than zero percent, but less than 100 percent), the lamp and the
ballast are both still in active mode. 75 FR 10953. DOE notes that in
the case of dimming ballasts, where input power can vary, a
specification regarding how to test these ballasts is necessary. DOE
requested comment in the May 2018 RFI on whether it is common industry
practice to test dimming metal halide ballasts at 100 percent light
output. 83 FR 24682.
NEMA responded that dimmable HID ballasts are commonly tested while
operating at maximum light output, but also added that most HID
ballasts are not dimmable. (NEMA, No. 2 at p. 6) DOE agrees that the
market for dimmable metal halide ballasts is small. Consistent with
NEMA's comment, DOE is clarifying testing requirements for such
ballasts by proposing that dimming metal halide lamp ballasts must be
tested when operating at the maximum input power. DOE requests comment
on the proposal to specify that dimming metal halide lamp ballasts be
tested at maximum input power.
c. Reference Lamps
MHLFs must be tested for ballast efficiency while operating
reference lamps. In the May 2018 RFI, DOE requested comment on the
availability of reference lamps. 83 FR 24682. NEMA responded that metal
halide lamps are not sold as reference lamps; however, a small
percentage of regular metal halide lamps can meet the reference lamp
specifications. NEMA added that the quantity of potential reference
lamps available is adequate since the demand for reference lamps is low
due to limited product development and testing. (NEMA, No. 2 at p. 5)
DOE appreciates NEMA's confirmation that the availability of
reference lamps for metal halide ballast testing is sufficient, and DOE
is proposing several additions to the test conditions and setup
paragraph of 10 CFR 431.324 to clarify the selection of metal halide
lamps used in testing metal halide lamp ballasts. Metal halide lamp
ballasts are to be tested with reference lamps. ANSI C82.9-2016
provides definitions related to specific terms used in industry
standards for HID lamps and ballasts. Thus, DOE proposes to specify
that the metal halide lamps used for testing must meet the definition
of a reference lamp as defined by ANSI C82.9-2016. In addition, ANSI
C78.43-2017 and ANSI C78.44-2016 specify the physical and electrical
requirements that single-ended and double-ended metal halide lamps
operated on 60 Hz ballasts must meet to qualify as reference lamps.
Therefore, DOE

[[Page 37077]]

proposes that the metal halide lamps used for testing must also be
within the acceptable range for a reference lamp of the rated values
specified in ANSI C78.43-2017 and ANSI C78.44-2016 for single-ended
metal halide lamps and double-ended metal halide lamps, respectively.
DOE also requested comment in the May 2018 RFI on the prevalence of
metal halide ballasts capable of operating more than one lamp wattage,
and how this equipment should be tested. 83 FR 24682. NEMA responded
that metal halide ballasts capable of operating more than one lamp
wattage make up a very small and decreasing fraction of the market, and
that they should not be added to the scope of the regulation. NEMA
noted that HID ballasts are tested with their corresponding lamps, and
that ballasts capable of operating multiple lamp wattages would be
tested with multiple lamps. (NEMA, No. 2 at p. 6)
DOE notes that metal halide ballasts capable of operating multiple
lamp wattages currently fall within multiple basic models. No
specification regarding the reference lamp to be used in testing metal
halide lamp ballasts, pertaining to either lamp wattage or lamp type,
is currently provided in 10 CFR 431.324. Thus, DOE is proposing
revisions to the test procedure to clarify the wattage and type of
reference lamp to be used for testing.
Section 6.18 of ANSI C82.6-2015 (R2020) states that, if a ballast
can operate multiple lamp types, some (unspecified) regulations require
that a ballast be tested with the highest lamp power specified by the
manufacturer. Based on a recent survey of the market, DOE identified
metal halide lamp ballasts that may be able to operate lamps of
different wattages (e.g., a ballast that can operate a 70 W lamp or 100
W lamp). Thus, DOE is proposing to add the requirement to 10 CFR
431.324 that metal halide lamp ballasts designated with ANSI codes
corresponding to more than one lamp must be tested with the lamp having
the highest nominal lamp wattage as specified in ANSI C78.43-2017 or
ANSI C78.44-2016, as applicable. DOE also found some ballasts that can
operate both ceramic metal halide lamps and quartz metal halide lamps.
Based on data collected for DOE's HID lamps final rule determination
published on December 9, 2015 (80 FR 76355),\21\ DOE has tentatively
determined that quartz metal halide lamps are more popular than ceramic
metal halide lamps. Thus, DOE is proposing to add a requirement to 10
CFR 431.324 that ballasts designated with ANSI codes corresponding to
both ceramic metal halide lamps (code beginning with ``C'') and quartz
metal halide lamps (code beginning with ``M'') of the same nominal lamp
wattage must be tested with the quartz metal halide lamp. DOE requests
comment on the proposed requirements for selecting reference lamps for
ballasts capable of operating lamps of different wattages or lamp
types, and specifically the proposals to test with the highest lamp
wattage and to test with quartz metal halide lamps.
---------------------------------------------------------------------------

\21\ U.S. Department of Energy-Office of Energy Efficiency and
Renewable Energy. Energy Conservation Program for Consumer
Equipment: Final Determination: High-Intensity Discharge Lamps.
2015. Washington, DC Available at: <a href="https://www.regulations.gov/docket?D=EERE-2010-BT-STD-0043">https://www.regulations.gov/docket?D=EERE-2010-BT-STD-0043</a>.
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2. Test Method
DOE proposes to amend the test method paragraph of the active mode
test procedure at 10 CFR 431.324 to: (1) Specify lamp stabilization
criteria for testing; (2) more accurately reference industry standards
and the relevant sections of those standards; and (3) include
requirements for ballast efficiency calculations. Specifically, DOE is
proposing to add paragraphs to the test method paragraph describing
requirements for lamp stabilization, test measurements, and
calculations. As discussed in further detail, DOE is also proposing to
revise the heading of paragraph (b)(2) of 10 CFR 431.324 from ``Test
Measurement'' to ``Test Method'' and redesignate it as paragraph (b)(3)
to align with the proposed revisions to this paragraph (b). In
addition, DOE is proposing to add the ballast efficiency calculation
contained in paragraph (b)(3) of existing 10 CFR 431.324 to the ``Test
Method'' section to improve organization.
a. Stabilization Criteria
DOE proposes to clarify the requirements for lamp stabilization
found at 10 CFR 431.324. Specifically, DOE proposes to directly
reference sections 4.4.2 and 4.4.3 of ANSI C82.6-2015 (R2020) for the
basic stabilization method and the alternative stabilization method,
respectively. As discussed in section III.C, the current DOE test
procedure contains explicit instructions for both the lamp
stabilization methods rather than referencing the relevant sections of
the industry standard. At the time of the previous rulemaking, NEMA
provided the then-anticipated changes to the updated version of ANSI
C82.6. Because the lamp stabilization methods are now contained in ANSI
C82.6-2015 (R2020), DOE proposes to reference the relevant sections,
sections 4.4.2 and 4.4.3. DOE, however, proposes to maintain the lamp
stability criteria for the basic stabilization method currently found
at 10 CFR 431.324, as the method in ANSI C82.6-2015 (R2020) is more
ambiguous and may not be practical. ANSI C82.6-2015 (R2020) states that
stabilization is determined by operating the lamp within 3 percent of
its rated wattage in the specified ambient temperature until the
electrical parameters ``cease to change.'' DOE determined that the
existing lamp stability criteria in 10 CFR 431.324, which states that
stabilization is reached when the lamp's electrical characteristics
vary by no more than 3 percent in three consecutive 10 to 15 minute
intervals, is more specific. DOE has determined that the verbiage
``cease to change'' in the updated ANSI stability criteria would be
nearly impossible to meet, as electrical parameters are expected to
change by a small percentage after each measurement. DOE has
tentatively determined that these proposed updates would not change
measured values, as the lamp stabilization procedures are consistent
with the methods in the existing DOE test procedure, and DOE is simply
replacing these methods with references to the appropriate sections of
ANSI C82.6-2015 (R2020). DOE requests comment on the proposal to
directly reference the basic stabilization method section and
alternative stabilization method sections of ANSI C82.6-2015 (R2020).
DOE also requests comment on its proposal to retain the lamp stability
criteria for the basic stabilization method, as currently set forth in
the DOE test procedure.
b. Test Measurements
DOE proposes additional updates to 10 CFR 431.324 to more closely
align regulations with the updated ANSI C82.6 standard. DOE proposes to
remove the general reference to section 6 of ANSI C82.6 and
specifically reference sections 6.1 and 6.8 of ANSI C82.6-2015 (R2020)
for measuring ballast input power, and sections 6.2 and 6.10 of ANSI
C82.6-2015 (R2020) for measuring lamp output power. DOE is simply
providing references to the subsections within section 6 of ANSI C82.6-
2015 (R2020) that are specific to the value being measured instead of
referencing the general section. DOE expects that these updates would
further clarify the test procedure and not change measured values.

[[Page 37078]]

c. Calculations
DOE proposes minor changes to the organization of 10 CFR 431.324,
used to calculate ballast efficiency, which is the measured lamp output
power divided by the measured ballast input power. Specifically, in the
ballast efficiency calculation description, DOE proposes to reference
the sections in the DOE test procedure that specify how to measure
ballast input power and ballast output (lamp) power. DOE has
tentatively determined that these updates would serve only as a
clarification of the ballast efficiency calculation and would not
affect measured values.
d. High-Frequency Electronic Ballasts
The current test procedure incorporates by reference ANSI C82.6-
2005 for testing both electronic and magnetic metal halide ballasts.
However, neither ANSI C82.6-2005 nor the revised 2020 version provide a
method specifically for testing high-frequency electronic (``HFE'')
ballasts. A HFE metal halide ballast is defined by DOE as an electronic
ballast that operates a lamp at an output frequency of 1000 Hz or
greater. 10 CFR 431.322. In the 2013 MHLF energy conservation standards
NOPR, DOE considered adopting procedures for testing HFE ballasts based
on the instrumentation used for testing high frequency electronic
fluorescent lamp ballasts. 78 FR 51464, 51480-51481 (Aug. 20, 2013).
However, in the 2014 MHLF energy conservation standards final rule, DOE
declined to amend the test procedure to include a procedure for HFE
ballasts due to the lack of industry specifications for reference lamps
to be paired with the ballasts during testing and the lack of a
complete industry test method specific to HFE ballasts. 79 FR 7758
(Feb. 10, 2014).
Subsequently, an ANSI standard for HFE metal halide ballasts titled
ANSI C82.17-2017, ``High Frequency (HF) Electronic Ballasts for Metal
Halide Lamps,'' (ANSI C82.17-2017) was published. ANSI C82.17-2017
provides specifications for and operating characteristics of HFE metal
halide ballasts with sinusoidal lamp operating current frequencies
above 40 kilohertz (``kHz''). ANSI C82.17-2017 also states in section
5.1 that ``all measurements necessary to determine compliance with the
ballast performance requirements of this standard shall be made in
accordance with ANSI C82.6.'' Based on DOE's initial review, the
specifications and instructions in ANSI C82.6 cover the necessary
methodology, while being general enough to be used as a guide for
taking measurements of HFE ballasts.
In the May 2018 RFI, DOE requested comment on the impact of
incorporating by reference ANSI C82.17-2017, and whether it would
provide repeatable and reproducible results when paired with ANSI
C82.6-2015 for the testing of HFE metal halide ballasts. 83 FR 24683.
In response, NEMA noted that ANSI standards represent the most
effective, repeatable test procedures possible, but that there is
administrative burden associated with implementing these standards.
Specifically, NEMA cited several challenges associated with
incorporating ANSI C82.17-2017 for testing HFE metal halide ballasts,
including: (1) Few, if any, HFE metal halide reference ballasts exist
and no design standard exists; (2) limited industry resources are
available to develop a HFE reference ballast design standard due to
increased focus on LED technology; (3) repeatability issues exist
unless high frequency reference ballasts become commonly available; and
(4) costs are associated with additional National Voluntary Laboratory
Accreditation Program (``NVLAP'') certifications. (NEMA, No. 2 at p. 7)
DOE appreciates NEMA's feedback on the challenges associated with
incorporating ANSI C82.17-2017 for testing HFE ballasts. DOE agrees
that the lack of a HFE reference ballast design standard and the
absence of HFE reference ballast specifications in ANSI C78.43-2017 and
ANSI C78.44-2016 could cause repeatability issues when testing HFE
metal halide ballasts. Therefore, DOE is not proposing to incorporate
by reference ANSI C82.17-2017 or to include a test method for HFE metal
halide ballasts in the proposed revisions to its test procedure. DOE
will continue to monitor the development of HFE reference ballast
design standards and HFE reference ballast specifications for metal
halide lamps, and may consider revising the test procedure in the
future. Costs associated with the proposed revisions to the test
procedure, including NVLAP certification, are discussed in detail in
section III.H.1 of this document.
DOE also requested comment in the May 2018 RFI on whether
manufacturers and laboratories test HFE metal halide ballasts using the
same instrumentation as they use for testing electronic fluorescent
lamp ballasts. 83 FR 24683. NEMA responded that the instrumentation
used is similar, but does not exactly align due to major differences in
the level of power consumption between the technologies. NEMA noted
that differences between HFE metal halide ballasts and high frequency
electronic fluorescent lamp ballasts in the frequency bands, current,
voltage, power ranges, and starting modes require separate, high-
capacity equipment for HFE metal halide ballasts. (NEMA, No. 2 at p. 7)
As discussed previously in this section, DOE is not proposing a test
method for HFE metal halide ballasts at this time due to the lack of
HFE reference ballast design standard and HFE reference ballast
specifications for metal halide lamps.

E. Proposed Amendments to Standby Mode Test Method

EPCA directs DOE to establish test procedures to include standby
mode energy consumption, taking into consideration the most current
versions of Standards 62301 and 62087 of the International
Electrotechnical Commission. (42 U.S.C. 6295(gg)(2)(A)) IEC Standard
62087 applies only to audio, video, and related equipment, and does not
apply to lighting products. DOE proposes to incorporate by reference
IEC 62301:2011, which although not specifically addressing lighting
products, applies generally to household electrical appliances which
include lighting products. The current test procedure requires
measuring standby mode energy consumption following provisions of ANSI
C82.6-2005, the same industry standard that is incorporated into DOE's
current active mode test procedure. However, while ANSI C82.6-2005 is
not specific to standby mode energy consumption measurements, IEC
62301:2011 does provide requirements for measuring standby mode energy
consumption.
In the May 2018 RFI, DOE requested comment on the potential impact
of incorporating by reference IEC 62301:2011, the most recent version
of the standard, in an amended test procedure for measuring standby
mode power. 83 FR 24683. NEMA stated that the IEC 62301:2011 standard
is not applicable to HID lamp ballasts. (NEMA, No. 2 at p. 6) DOE
refers NEMA to section 1 of IEC 62301:2011, which states that the
standard is ``applicable to electrical products with a rated input
voltage or voltage range that lies wholly or partly in the range 100 V
of alternating current (``A.C.'') to 250 V A.C. for single phase
products, and 130 V A.C. to 480 V A.C. for other products.'' Section 1
of IEC 62301:2011 also states that the term ``products'' refers to
``energy using products such as household appliances or other equipment
within the scope of TC 59'' \22\

[[Page 37079]]

but notes that the measurement methodology could be applied to other
products. Metal halide ballasts are electrical products that operate at
voltages that fall within the scope of IEC 62301:2011. Further DOE has
determined that instructions and criteria specified in IEC 62301:2011
for stabilization and subsequent measurement of standby mode power
consumption are applicable to metal halide lamp ballasts.
---------------------------------------------------------------------------

\22\ Information regarding IEC TC 59--Performance of household
and similar electrical appliances, can be found at <a href="https://www.iec.ch/dyn/www/f?p=103:7:10591261086280::::FSP_ORG_ID,FSP_LANG_ID:1275,25">https://www.iec.ch/dyn/www/f?p=103:7:10591261086280::::FSP_ORG_ID,FSP_LANG_ID:1275,25</a>.
---------------------------------------------------------------------------

NEMA also commented that metal halide lamp ballasts capable of
operating in standby mode are uncommon, and thus, modifications to the
standby mode test method are unnecessary. (NEMA, No. 2 at p. 6) DOE
conducted a survey of the market and agrees that metal halide ballasts
capable of operating in standby mode are uncommon. As discussed in
section III.C.4, DOE is required by EPCA to incorporate a measure of
standby and off mode energy consumption in accordance with IEC 62301
and IEC 62087, if technically feasible. (42 U.S.C. 6295(gg)(2))
Therefore, because DOE deems it to be technically feasible, DOE is
proposing to incorporate by reference specific sections of IEC
62301:2011 for measuring the energy consumption of MHLFs capable of
operating in standby mode. DOE notes that the proposed revisions to the
existing standby test method will improve clarity by replacing the
currently referenced industry standard (ANSI C82.6-2005) with one that
addresses standby mode power consumption (IEC 62301:2011) and better
align with the requirements of EPCA and the standby mode test methods
for other lighting products.
In addition, as a result of DOE's proposed amendments to the
standby mode test method discussed in the preceding paragraphs, DOE is
proposing modifications to the organization and wording of paragraph
(c) in 10 CFR 431.324 to improve readability. Specifically, DOE
proposes to modify the general instructions of the standby mode test
method found in existing paragraph (c) to clarify that standby mode
energy consumption need only be measured for ballasts capable of
operating in standby mode. DOE also proposes to state that the language
in 10 CFR 431.324 would take precedence if there is a conflict between
IEC 62301:2011 and the language in the revised DOE test procedure. DOE
requests comment on the proposed modifications to the organization and
the general instructions of the standby mode test method in 10 CFR
431.324(c). DOE discusses the proposed amendments to the standby mode
test method in greater detail in the sections that follow.
1. Test Conditions and Setup
Both the active mode and standby mode test procedures measure input
power of the ballast. As such, for consistency within the test
procedure and to reduce the test burden, DOE proposes requiring similar
general test conditions and setup for both tests. To align the test
conditions and setup requirements for the active and standby modes, DOE
proposes to modify the test conditions and setup paragraph in the
standby mode test procedure with the following directions: (1) Test
conditions and setup must be in accordance with the active mode test
procedure and (2) each ballast must be operated with a lamp as
specified in the active mode test procedure, except that the use of a
reference lamp is not required. Because lamps are not turned on during
the measurement of standby mode power consumption, DOE has tentatively
determined that whether the lamp to which the ballast is connected is a
reference lamp does not impact standby mode energy consumption
measurements. In addition, DOE proposes to revise the heading ``Test
Conditions'' of paragraph (c)(1) of existing 10 CFR 431.324 to ``Test
Conditions and Setup'' to reflect these changes.
DOE requests comment on referencing the active mode test method
section in the test conditions and setup requirements for the standby
mode test method and for the connection of lamps (with the exception of
reference lamp requirements).
2. Test Method and Measurement
DOE also proposes to replace the paragraphs of existing 10 CFR
431.324 pertaining to standby mode measurements. DOE proposes to add a
new paragraph with the heading ``Test Method and Measurement,''
containing specific instructions related to the measurement of standby
mode energy consumption. DOE proposes to: (1) Add instructions to turn
on, at full light output, the lamp to which the ballast is connected to
ensure the ballast is not defective and (2) require ballast
stabilization and that subsequent measurement of standby mode energy
consumption be conducted according to the measurements section of IEC
62301:2011 (i.e., section 5). DOE has tentatively determined that the
instructions and criteria specified for stabilization and measurement
of standby mode power consumption in section 5 of IEC 62301:2011 are
appropriate for MHLFs. DOE requests comment on referencing section 5 of
IEC 62301:2011 for stabilization and standby mode energy consumption
measurements. In addition, DOE requests comments on proposed
instructions regarding turning on the lamp to ensure the ballast is not
defective. Finally, DOE requests comment on the test burden and impact
on the energy use measurement during a representative average use cycle
or period of use associated with the proposed modifications to the
measurement of standby mode power in the DOE test procedure.

F. Definitions

DOE proposes to define several terms in 10 CFR 431.322 pertaining
to the proposed test specifications for reference lamps used in testing
(see section III.D.1 for greater detail). DOE proposes to define the
term ``reference lamp'' as a lamp that meets the operating conditions
of a reference lamp as defined by ANSI C82.9-2016. DOE proposes to
define ``quartz metal halide lamp'' as a lamp with an arc tube made of
quartz materials, and ``ceramic metal halide lamp'' as a lamp with an
arc tube made of ceramic materials.
DOE proposes to amend the existing definition for the term
``ballast efficiency'' in 10 CFR 431.322 by removing clause 3 in the
definition which references ``nominal system'' and ANSI C78.43 since
the test procedure in its entirety outlines the system requirements
when testing the ballast efficiency of a metal halide lamp ballast. See
section III.C.2 for more details. DOE also proposes to remove clauses 4
and 5 in the ``ballast efficiency'' definition which, respectively,
specify for 60 Hz and greater than 60 Hz, input power and output power
measurement specifications. DOE proposes to move these requirements to
the test procedure found in 10 CFR 431.324 because they describe the
test method.

G. Compliance Dates and Waivers

EPCA prescribes that all representations of energy efficiency and
energy use, including those made on marketing materials and product
labels, must be made in accordance with an amended test procedure,
beginning 180 days after publication of such a test procedure final
rule in the Federal Register. (42 U.S.C. 6293(c)(2)) If DOE were to
publish an amended test procedure, EPCA provides an allowance for
individual manufacturers to petition DOE for an extension of the 180-
day period if the manufacturer may experience undue hardship in meeting
the deadline. (42 U.S.C. 6293(c)(3)) To receive such an extension,
petitions

[[Page 37080]]

must be filed with DOE no later than 60 days before the end of the 180-
day period and must detail how the manufacturer will experience undue
hardship. (Id.)
Upon the compliance date of an amended test procedure, should DOE
issue such an amendment, any waivers that had been previously issued
and are in effect that pertain to issues addressed by the amended test
procedure are terminated. 10 CFR 430.27(h)(2). Recipients of any such
waivers would be required to test the equipment subject to the waiver
according to the amended test procedure as of the effective date of the
amended test procedure. At present there are no outstanding waivers
that address test procedure issues that would be addressed by the
amendments proposed in this document.

H. Test Procedure Costs, Harmonization, and Other Topics

1. Test Procedure Costs, Burdens and Impact
EPCA requires that test procedures proposed by DOE not be unduly
burdensome to conduct. (42 U.S.C. 6293(b)(3)) In this NOPR, DOE
proposes to amend the existing test procedure for metal halide lamp
ballasts by (1) updating references to industry standards; (2)
clarifying the selection of reference lamps to be tested with metal
halide lamp ballasts; (3) reorganizing the content of the test
procedure for better readability and clarity; and (4) revising the test
procedure for measuring standby mode energy consumption of metal halide
lamp ballasts. DOE has tentatively determined that these proposed
amendments to the MHLF test procedure would not be unduly burdensome to
conduct because they are mainly clarifications to existing
requirements.
Moreover, DOE's analysis of this proposal indicates that, if
finalized, it would result in neither a reduction of nor an increase in
future testing costs.
The proposed amendments would update references within the test
procedure to the latest versions of existing industry standards and
adding references to new industry standards. The current test procedure
for taking active mode measurements to determine ballast efficiency
references one industry standard, ANSI C82.6. The proposed amendments
update references to ANSI C82.6 from the 2005 version to the 2020
version. In addition, the NOPR proposes to reference three new
standards: ANSI C78.44-2016 to incorporate industry-approved lamp
characteristics for double-ended metal halide lamps; ANSI C82.9-2016 to
incorporate industry-approved definition for reference lamp; and IEC
62301:2011 to incorporate an industry standard that is specific to
standby mode power consumption measurement. In general, these updates
only clarify requirements, and do not add complexity to test
conditions/setup or add test steps. This NOPR also proposes
clarifications regarding the selection of reference lamps to address,
in particular, new equipment on the market (i.e., metal halide ballasts
that can operate multiple lamp wattages or lamp types). DOE expects
that these proposed amendments would provide greater specificity to the
test setup instructions.
The proposed revisions to the standby mode test procedure would
change the industry standard reference from ANSI C82.6 to IEC
62301:2011, Section 5. The latter industry reference provides more
detailed guidance on how to determine the final power consumption value
from power readings, but should not add additional steps to obtain
power measurements. Additionally, the proposed amendments to the
standby mode test procedure align the test setup and test conditions
for taking active mode and standby mode measurements. DOE notes that
IEC 62301 has already been incorporated in other DOE lighting test
procedures. IEC 62301:2011 does not require additional measurements or
new instrumentation, and therefore, DOE has tentatively determined its
incorporation would not increase test burden.
DOE has tentatively determined that the amendments to DOE's test
procedure for measuring ballast efficiency proposed in this NOPR would
not require the purchase or use of new or additional equipment or
require additional steps for testing measured values. Further, the
proposed revisions are not expected to change measured values. Hence,
DOE expects that manufacturers will be able to rely on data generated
under the previous test procedure. While manufacturers must submit a
report annually to certify a basic model's represented values, basic
models do not need to be retested annually. The initial test results
used to generate a certified rating for a basic model remain valid as
long as the basic model has not been modified from the tested design in
a way that makes it less efficient or more consumptive, which would
require a change to the certified rating. If a manufacturer has
modified a basic model in a way that makes it more efficient or less
consumptive, new testing is only required if the manufacturer wishes to
make claims of the new, more efficient rating.\23\
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\23\ See guidance issued by DOE at: <a href="https://www1.eere.energy.gov/buildings/appliance_standards/pdfs/cert_faq_2012-04-17.pdf">https://www1.eere.energy.gov/buildings/appliance_standards/pdfs/cert_faq_2012-04-17.pdf</a>.
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In the May 2018 RFI, DOE requested information that would help DOE
create procedures that would limit manufacturer test burden through
streamlining or simplifying testing requirements. DOE also requested
feedback on any potential amendments to the existing test procedure
that could be considered to address impacts on manufacturers, including
small businesses. 83 FR 24683.
NEMA commented that there is no benefit to updating the current
test procedures for MHLFs, which are well-implemented, well-understood,
and adequate to the needs of the environment. NEMA added that updating
the test procedures would result in increased burden due to test
process provisions, requalification of NVLAP, and training of
laboratory personnel. NEMA provided a breakdown of the costs associated
with certifying labs to new versions of industry standards and urged
DOE to consider these costs for each affected manufacturer laboratory
in its manufacturer impact analysis. Specifically, NEMA estimated the
NVLAP certification costs for each new standard to be $15,000; the
administrative costs to train personnel on a new DOE test procedure to
be $50,000; and the costs for additional personnel to support a new or
revised test procedure to be $100,000. (NEMA, No. 2 at pp. 7-8)
DOE considered the additional cost burden outlined by NEMA
specifically related to NVLAP accreditation costs; administrative
costs; and costs for additional personnel. DOE notes that a laboratory
gaining accreditation to test MHLFs according to the test procedure in
10 CFR 431.324 is doing so voluntarily or as required by an entity
other than DOE. Accreditation by NVLAP is not required by DOE under 10
CFR part 431 or 10 CFR part 429 for the testing of MHLFs, and therefore
does not factor into testing costs associated with DOE's test
procedure.
As stated in this NOPR, DOE has tentatively determined that the
proposed updates to the current test procedure are minimal and should
not result in a change of measured values. With regards to
administrative costs cited by NEMA to train personnel on a test
procedure, due to the minimal changes, DOE has tentatively determined
the proposed amendments will not result in additional workload

[[Page 37081]]

for testing personnel. Therefore, DOE has tentatively determined the
costs associated with training existing personnel to be minimal and the
need to hire additional personnel to be unlikely.
NEMA also commented that there are significant costs associated
with acquiring instrumentation for the testing of HFE metal halide
ballasts, which is an added burden on manufacturers and especially
small businesses. NEMA noted that a high frequency power analyzer may
cost around $45,000 and the manufacture or procurement of HFE reference
ballasts may be $5,000. (NEMA, No. 2 at pp. 7-8) As discussed in
section III.D.2.d, DOE is not considering a test method for HFE metal
halide ballasts, which eliminates the additional costs cited by NEMA
for the testing of HFE metal halide ballasts.
NEMA noted in comments made in response to the December 2011 HID
lamps test procedure NOPR (HID TP NOPR; 76 FR 77914 (Dec. 15, 2011)
that the cost to test high wattage products is not trivial due to heat
output, electricity costs, and personnel safety considerations.\24\
NEMA commented that although the duration of metal halide ballast
testing is shorter than the HID lamp lumen maintenance testing
considered in the HID TP NOPR,\25\ the energy consumption remains
significant. NEMA concluded that a complete revision of the metal
halide ballast test procedure would result in these non-trivial testing
costs being added to the product costs in a declining market. (NEMA,
No. 2 at p. 8)
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\24\ See <a href="https://www.regulations.gov/document?D=EERE-2010-BT-TP-0044-0006">https://www.regulations.gov/document?D=EERE-2010-BT-TP-0044-0006</a>.
\25\ U.S. Department of Energy-Office of Energy Efficiency and
Renewable Energy. Energy Conservation Program for Consumer
Equipment: Notice of Proposed Rulemaking: Test Procedures for High-
Intensity Discharge Lamps. 2011. Washington, DC Available at:
<a href="https://www.regulations.gov/document?D=EERE-2010-BT-TP-0044-0001">https://www.regulations.gov/document?D=EERE-2010-BT-TP-0044-0001</a>.
---------------------------------------------------------------------------

As stated, DOE has tentatively determined that the changes proposed
in this NOPR are minor updates to clarify and enhance the test
procedure, and would not result in a change in measured values.
Further, DOE is not proposing a test method for HFE metal halide
ballasts in this NOPR, so the proposed amendments would not change the
scope of the test procedure. For these reasons, the proposed updated
test procedure would not increase test costs for manufacturers.
2. Harmonization With Industry Standards
DOE's established practice is to adopt relevant industry standards
as DOE test procedures unless such methodology would be unduly
burdensome to conduct or would not produce test results that reflect
the energy efficiency, energy use, water use (as specified in EPCA), or
estimated operating costs of that product during a representative
average use cycle. Section 8(c) of appendix A to 10 CFR part 430
subpart C. In cases where the industry standard does not meet EPCA
statutory criteria for test procedures DOE will make modifications
through the rulemaking process to these standards as the DOE test
procedure.
The test procedure for metal halide lamp ballasts at Sec. 431.324
incorporates by reference several industry standards. DOE proposes to
incorporate by reference ANSI C78.43-2017, ANSI C78.44-2016, ANSI
C82.6-2015 (R2020), ANSI C82.9-2016, and IEC 62301:2011 in their
entirety. The industry standards DOE proposes to incorporate by
reference via amendments described in this NOPR are discussed in
further detail in section IV.M.
DOE requests comment on the benefits and burdens of adopting any
industry/voluntary consensus-based or other appropriate test procedure,
without modification. DOE also seeks comment on whether there are any
further changes to the Federal test method that would provide
additional benefits to the public.
3. Other Test Procedure Topics
In the May 2018 RFI, in addition to the issues identified earlier
in this document, DOE welcomed comment on any other aspect of the
existing test procedure for metal halide lamp ballasts not already
addressed by the specific areas identified in the document. In
particular, DOE requested information that would assist DOE in assuring
that the test procedure is reasonably designed to produce results that
measure the energy use or energy efficiency of the products during a
representative average use cycle or period of use. DOE also requested
information that would improve the repeatability and reproducibility of
the test procedure. 83 FR 24683. NEMA commented that incorporating ANSI
C82.6-2015 would ensure the repeatability and reproducibility of test
results, but noted that it was unaware of studies conducted regarding
the energy use or energy efficiency of MHLFs over time. (NEMA, No. 2 at
p. 7) DOE agrees that referencing ANSI C82.6-2015 (R2020), which is a
reaffirmation of ANSI C82.6-2015, helps to ensure repeatability and
reproducibility of the test procedure, and therefore proposes
incorporating this industry standard by reference. Further comment on
this topic is welcome.
DOE also requested comment on whether the existing test procedure
limits a manufacturer's ability to provide additional MHLF features to
customers. 83 FR 24683. NEMA reiterated the lack of growth and
development in this market and commented that, as a result, customers
are not seeking additional features for these products and therefore no
updates are needed to the test procedure to address new features.
(NEMA, No. 2 at p. 9) DOE appreciates NEMA's feedback that no updates
are currently necessary to the existing test procedure to support the
testing of new features. Further comment on this topic is welcome.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

The Office of Management and Budget (``OMB'') has determined that
test procedure rulemakings do not constitute ``significant regulatory
actions'' under section 3(f) of Executive Order 12866, ``Regulatory
Planning and Review.'' 58 FR 51735 (Oct. 4, 1993). Accordingly, this
action was not subject to review under the Executive Order by the
Office of Information and Regulatory Affairs (``OIRA'') in the OMB.

B. Review Under the Regulatory Flexibility Act

The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis (``IFRA'')
for any rule that by law must be proposed for public comment, unless
the agency certifies that the rule, if promulgated, will not have a
significant economic impact on a substantial number of small entities.
As required by Executive Order 13272, ``Proper Consideration of Small
Entities in Agency Rulemaking,'' 67 FR 53461 (Aug. 16, 2002), DOE
published procedures and policies on February 19, 2003, to ensure that
the potential impacts of its rules on small entities are properly
considered during the DOE rulemaking process. 68 FR 7990. DOE has made
its procedures and policies available on the Office of the General
Counsel's website: <a href="https://energy.gov/gc/office-general-counsel">https://energy.gov/gc/office-general-counsel</a>.
DOE reviewed this proposed rule under the provisions of the
Regulatory Flexibility Act and the procedures and policies published on
February 19, 2003. DOE tentatively concludes that the proposed rule, if
adopted, would not have significant economic impact on a substantial
number of small entities.

[[Page 37082]]

The factual basis of this certification is set forth in the following
paragraphs.
The Small Business Administration (``SBA'') considers a business
entity to be a small business, if, together, with its affiliates, it
employs less than a threshold number of workers specified in 13 CFR
part 121. These size standards and codes established by the North
American Industry Classification System (``NAICS'') and are available
at https://www.sba.gov/document/support--table-size-standards. Metal
halide lamp ballast manufacturing is classified under NAICS 335311,
``Power, Distribution, and Specialty Transformer Manufacturing.'' The
SBA sets a threshold of 750 employees or fewer for an entity to be
considered as a small business for this category. MHLF manufacturing is
classified under NAICS 335122, ``Commercial, Industrial, and
Institutional Electric Lighting Fixture Manufacturing.'' The SBA sets a
threshold of 500 employees or less for an entity to be considered as a
small business for this category.
To estimate the number of companies that could be small businesses
that manufacture these ballasts, DOE conducted a market survey using
publicly available information. DOE's research involved reviewing
information provided by trade associations (e.g., the National
Electrical Manufacturers' Association), information from individual
company websites, market research tools (i.e., Hoover's reports) and
DOE's certification and compliance database. DOE screened out companies
that do not meet the definition of a ``small business'' or are
completely foreign owned and operated. DOE identified five small
businesses that produce metal halide lamp ballasts sold in the United
States and can be considered small business manufacturers. For MHLFs,
DOE identified approximately 54 small businesses that produce MHLFs
sold in the United States and can be considered small business
manufacturers.
Because DOE has tentatively concluded that the proposed amendments
would not increase the industry cost of the existing test procedure
(see section III.H.1), DOE tentatively concludes that the impacts of
the test procedure amendments proposed in this NOPR would not have a
``significant economic impact on a substantial number of small
entities,'' and that the preparation of an IRFA is not warranted. DOE
will transmit the certification and supporting statement of factual
basis to the Chief Counsel for Advocacy of the Small Business
Administration for review under 5 U.S.C. 605(b). DOE requests comment
on the impacts of the test procedure amendments proposed in this NOPR
on small businesses.

C. Review Under the Paperwork Reduction Act of 1995

Manufacturers of MHLFs must certify to DOE that their equipment
complies with any applicable energy conservation standards. To certify
compliance, manufacturers must first obtain test data for their
equipment according to the DOE test procedures, including any
amendments adopted for those test procedures. DOE has established
regulations for the certification and recordkeeping requirements for
all covered consumer products and commercial equipment, including
MHLFs. (See generally 10 CFR part 429.) The collection-of-information
requirement for the certification and recordkeeping is subject to
review and approval by OMB under the Paperwork Reduction Act (``PRA'').
This requirement has been approved by OMB under OMB Control Number
1910-1400. Public reporting burden for the certification is estimated
to average 35 hours per response, including the time for reviewing
instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

DOE is analyzing this proposed regulation in accordance with the
National Environmental Policy Act of 1969 (``NEPA'') and DOE's NEPA
implementing regulations (10 CFR part 1021). DOE's regulations include
a categorical exclusion for rulemakings interpreting or amending an
existing rule or regulation that does not change the environmental
effect of the rule or regulation being amended. 10 CFR part 1021,
subpart D, Appendix A5. DOE anticipates that this rulemaking qualifies
for categorical exclusion A5 because it is an interpretive rulemaking
that does not change the environmental effect of the rule and otherwise
meets the requirements for application of a categorical exclusion. See
10 CFR 1021.410. DOE will complete its NEPA review before issuing the
final rule.

E. Review Under Executive Order 13132

Executive Order 13132, ``Federalism,'' 64 FR 43255 (Aug. 4, 1999),
imposes certain requirements on agencies formulating and implementing
policies or regulations that preempt State law or that have Federalism
implications. The Executive Order requires agencies to examine the
constitutional and statutory authority supporting any action that would
limit the policymaking discretion of the States and to carefully assess
the necessity for such actions. The Executive Order also requires
agencies to have an accountable process to ensure meaningful and timely
input by State and local officials in the development of regulatory
policies that have Federalism implications. On March 14, 2000, DOE
published a statement of policy describing the intergovernmental
consultation process it will follow in developing such regulations. 65
FR 13735. DOE has examined this proposed rule and has determined that
it would not have a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. EPCA governs and prescribes Federal preemption of State
regulations as to energy conservation for the products that are the
subject of this proposed rule. States can petition DOE for exemption
from such preemption to the extent, and based on criteria, set forth in
EPCA. (42 U.S.C. 6297(d)) No further action is required by Executive
Order 13132.

F. Review Under Executive Order 12988

Regarding the review of existing regulations and the promulgation
of new regulations, section 3(a) of Executive Order 12988, ``Civil
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal
agencies the general duty to adhere to the following requirements: (1)
Eliminate drafting errors and ambiguity; (2) write regulations to
minimize litigation; (3) provide a clear legal standard for affected
conduct rather than a general standard; and (4) promote simplification
and burden reduction. Section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation: (1) clearly specifies the
preemptive effect, if any; (2) clearly specifies any effect on existing
Federal law or regulation; (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction;
(4) specifies the retroactive effect, if any; (5) adequately

[[Page 37083]]

defines key terms; and (6) addresses other important issues affecting
clarity and general draftsmanship under any guidelines issued by the
Attorney General. Section 3(c) of Executive Order 12988 requires
Executive agencies to review regulations in light of applicable
standards in sections 3(a) and 3(b) to determine whether they are met
or it is unreasonable to meet one or more of them. DOE has completed
the required review and determined that, to the extent permitted by
law, the proposed rule meets the relevant standards of Executive Order
12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'')
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments and the
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a proposed regulatory action likely to result in a rule that may
cause the expenditure by State, local, and Tribal governments, in the
aggregate, or by the private sector of $100 million or more in any one
year (adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under UMRA. 62 FR 12820; also available
at <a href="https://energy.gov/gc/office-general-counsel">https://energy.gov/gc/office-general-counsel</a>. DOE examined this
proposed rule according to UMRA and its statement of policy and
determined that because the rule contains neither an intergovernmental
mandate nor a mandate that may result in the expenditure of $100
million or more in any year, these requirements do not apply.

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

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

I. Review Under Executive Order 12630

DOE has determined, under Executive Order 12630, ``Governmental
Actions and Interference with Constitutionally Protected Property
Rights,'' 53 FR 8859 (Mar. 18, 1988), that this proposed regulation
would not result in any takings that might require compensation under
the Fifth Amendment to the U.S. Constitution.

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

Section 515 of the Treasury and General Government Appropriations
Act, 2001, (44 U.S.C. 3516 note) provides for agencies to review most
disseminations of information to the public under guidelines
established by each agency pursuant to general guidelines issued by
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). Pursuant
to OMB Memorandum M-19-15, Improving Implementation of the Information
Quality Act (April 24, 2019), DOE published updated guidelines which
are available at <a href="https://www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf">https://www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf</a>. DOE has
reviewed this proposed rule under the OMB and DOE guidelines and has
concluded that it is consistent with applicable policies in those
guidelines.

K. Review Under Executive Order 13211

Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OMB,
a Statement of Energy Effects for any proposed significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgated or is expected to lead to promulgation of a
final rule, and that (1) is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any proposed significant energy action,
the agency must give a detailed statement of any adverse effects on
energy supply, distribution, or use should the proposal be implemented,
and of reasonable alternatives to the action and their expected
benefits on energy supply, distribution, and use.
This proposed regulatory action to amend the test procedure for
measuring the energy consumption of MHLFs is not a significant
regulatory action under Executive Order 12866. Moreover, it would not
have a significant adverse effect on the supply, distribution, or use
of energy, nor has it been designated as a significant energy action by
the Administrator of OIRA. Therefore, it is not a significant energy
action, and, accordingly, DOE has not prepared a Statement of Energy
Effects.

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

Under section 301 of the Department of Energy Organization Act
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the
Federal Energy Administration Act of 1974, as amended by the Federal
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA)
Section 32 essentially provides in relevant part that, where a proposed
rule authorizes or requires use of commercial standards, the notice of
proposed rulemaking must inform the public of the use and background of
such standards. In addition, section 32(c) requires DOE to consult with
the Attorney General and the Chairman of the Federal Trade Commission
(``FTC'') concerning the impact of the commercial or industry standards
on competition.
The proposed modifications to the test procedure for metal halide
lamp ballasts in this NOPR incorporates testing methods contained in
the following commercial standards:

(1) ANSI C78.43, ``American National Standard for Electric Lamps--
Single-Ended Metal Halide Lamps,'' 2017;
(2) ANSI C78.44, ``American National Standard for Electric Lamps--
Double-Ended Metal Halide Lamps,'' 2016;
(3) ANSI C82.6, ``American National Standard for Lamp Ballasts--
Ballasts for High-Intensity Discharge Lamps--Methods of
Measurement,'' 2020;
(4) ANSI C82.9, ``American National Standard for Electric Lamps--
High Intensity Discharge and Low-Pressure Sodium Lamps--
Definitions,'' 2016; and
(5) IEC Standard 62301, ``Household electrical appliances--
Measurement of standby power (Edition 2.0, January 2011),'' 2011.

DOE has evaluated these standards and is unable to conclude whether
they fully comply with the requirements of

[[Page 37084]]

section 32(b) of the FEAA (15 U.S.C. 775) (i.e., whether they were
developed in a manner that fully provides for public participation,
comment, and review). DOE will consult with both the Attorney General
and the Chairman of the FTC concerning the impact of these test
procedures on competition, prior to prescribing a final rule.

M. Description of Materials Incorporated by Reference

In this NOPR, DOE proposes to incorporate by reference the test
standard published by ANSI, titled ``American National Standard for
Electric Lamps--Single-Ended Metal Halide Lamps,'' ANSI C78.43-2017.
ANSI C78.43-2017 is an industry accepted test standard that specifies
the physical and electrical requirements for single-ended metal halide
lamps operated on 60 Hz ballasts. The test procedure proposed in this
NOPR references ANSI C78.43-2017 for characteristics of reference lamps
that must be used when testing metal halide lamp ballasts. ANSI C78.43-
2017 is readily available on ANSI's website at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
DOE also proposes to incorporate by reference the test standard
published by ANSI, titled ``American National Standard for Electric
Lamps--Double-Ended Metal Halide Lamps,'' ANSI C78.44-2016. ANSI
C78.44-2016 is an industry accepted test standard that sets forth the
physical and electrical requirements for double-ended metal halide
lamps operated on 60 Hz ballasts. The test procedure proposed in this
NOPR references ANSI C78.44-2016 for characteristics of reference lamps
that must be used when testing metal halide lamp ballasts. ANSI C78.44-
2016 is readily available on ANSI's website at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
DOE also proposes to incorporate by reference the test standard
published by ANSI, titled ``American National Standard for Lamp
Ballasts--Ballasts for High-Intensity Discharge Lamps--Methods of
Measurement,'' ANSI C82.6-2015 (R2020). ANSI C82.6-2015 (R2020) is an
industry accepted test standard that describes the procedures and the
precautions to be taken in measuring performance of low-frequency
ballasts (electromagnetic and electronic ballasts that operate at less
than 400 Hz) for HID lamps. The test procedure proposed in this NOPR
references sections of ANSI C82.6-2015 (R2020) for general testing
conditions and methods for the measurement of ballast operating
characteristics. ANSI C82.6-2015 (R2020) is readily available on ANSI's
website at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
DOE also proposes to incorporate by reference the test standard
published by ANSI, titled ``American National Standard for Electric
Lamps-- High Intensity Discharge and Low-Pressure Sodium Lamps--
Definitions,'' ANSI C82.9-2016. ANSI C82.9-2016 is an industry accepted
standard that provides definitions related to specific terms related to
HID lamps and ballasts. The test procedure proposed in this NOPR
references ANSI C82.9-2016 for defining reference lamps which are used
when testing metal halide lamp ballasts. ANSI C82.9-2016 is readily
available on ANSI's website at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
In this NOPR, DOE proposes to incorporate by reference the test
standard published by IEC, titled ``Household electrical appliances--
Measurement of standby power (Edition 2.0, January 2011),'' IEC
62301:2011. IEC 62301:2011 is an industry accepted test standard that
describes measurements of electrical power consumption in standby mode,
off mode, and network mode. The test procedure proposed in this NOPR
references sections of IEC Standard 62301:2011 for testing standby mode
power consumption of metal halide lamp ballasts. IEC 62301:2011 is
readily available on IEC's website at <a href="https://webstore.iec.ch/home">https://webstore.iec.ch/home</a>.

V. Public Participation

A. Participation in the Webinar

The time and date of the webinar are listed in the DATES section at
the beginning of this document. If no participants register for the
webinar, it will be cancelled. Webinar registration information,
participant instructions, and information about the capabilities
available to webinar participants will be published on DOE's website:
<a href="https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=14">https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=14</a>. Participants are responsible for ensuring
their systems are compatible with the webinar software.

B. Submission of Comments

DOE will accept comments, data, and information regarding this
proposed rule no later than the date provided in the DATES section at
the beginning of this proposed rule. Interested parties may submit
comments using any of the methods described in the ADDRESSES section at
the beginning of this document.
Submitting comments via <a href="https://www.regulations.gov">https://www.regulations.gov</a>. The <a href="https://www.regulations.gov">https://www.regulations.gov</a> web page will require you to provide your name and
contact information. Your contact information will be viewable to DOE
Building Technologies staff only. Your contact information will not be
publicly viewable except for your first and last names, organization
name (if any), and submitter representative name (if any). If your
comment is not processed properly because of technical difficulties,
DOE will use this information to contact you. If DOE cannot read your
comment due to technical difficulties and cannot contact you for
clarification, DOE may not be able to consider your comment.
However, your contact information will be publicly viewable if you
include it in the comment or in any documents attached to your comment.
Any information that you do not want to be publicly viewable should not
be included in your comment, nor in any document attached to your
comment. Persons viewing comments will see only first and last names,
organization names, correspondence containing comments, and any
documents submitted with the comments.
Do not submit to <a href="https://www.regulations.gov">https://www.regulations.gov</a> information for which
disclosure is restricted by statute, such as trade secrets and
commercial or financial information (hereinafter referred to as
Confidential Business Information (``CBI'')). Comments submitted
through <a href="https://www.regulations.gov">https://www.regulations.gov</a> cannot be claimed as CBI. Comments
received through the website will waive any CBI claims for the
information submitted. For information on submitting CBI, see the
Confidential Business Information section.
DOE processes submissions made through <a href="https://www.regulations.gov">https://www.regulations.gov</a>
before posting. Normally, comments will be posted within a few days of
being submitted. However, if large volumes of comments are being
processed simultaneously, your comment may not be viewable for up to
several weeks. Please keep the comment tracking number that <a href="https://www.regulations.gov">https://www.regulations.gov</a> provides after you have successfully uploaded your
comment.
Submitting comments via email. Comments and documents submitted via
email also will be posted to <a href="https://www.regulations.gov">https://www.regulations.gov</a>. If you do not
want your personal contact information to be publicly viewable, do not
include it in your comment or any accompanying documents. Instead,
provide your contact information on a cover letter. Include your first
and last names, email address, telephone number, and optional mailing
address. The cover letter will not be publicly viewable as

[[Page 37085]]

long as it does not include any comments.
Include contact information each time you submit comments, data,
documents, and other information to DOE. No facsimiles (faxes) will be
accepted.
Comments, data, and other information submitted to DOE
electronically should be provided in PDF (preferred), Microsoft Word or
Excel, WordPerfect, or text (ASCII) file format. Provide documents that
are not secured, written in English and free of any defects or viruses.
Documents should not contain special characters or any form of
encryption and, if possible, they should carry the electronic signature
of the author.
Campaign form letters. Please submit campaign form letters by the
originating organization in batches of between 50 to 500 form letters
per PDF or as one form letter with a list of supporters' names compiled
into one or more PDFs. This reduces comment processing and posting
time.
Confidential Business Information. According to 10 CFR 1004.11, any
person submitting information that he or she believes to be
confidential and exempt by law from public disclosure should submit via
email two well-marked copies: One copy of the document marked
confidential including all the information believed to be confidential,
and one copy of the document marked non-confidential with the
information believed to be confidential deleted. DOE will make its own
determination about the confidential status of the information and
treat it according to its determination.
It is DOE's policy that all comments may be included in the public
docket, without change and as received, including any personal
information provided in the comments (except information deemed to be
exempt from public disclosure).

C. Issues on Which DOE Seeks Comment

Although DOE welcomes comments on any aspect of this proposal, DOE
is particularly interested in receiving comments and views of
interested parties concerning the following issues:
(1) DOE requests comment on its proposal to incorporate by
reference ANSI C82.6-2015 (R2020), ANSI C78.43-2017, ANSI C78.44-2016,
ANSI C82.9-2016, and IEC 62301:2011.
(2) DOE requests comment on the proposal to specify that dimming
metal halide lamp ballasts be tested at maximum input power.
(3) DOE requests comment on the proposed requirements for selecting
reference lamps for ballasts capable of operating lamps of different
wattages or lamp types, and specifically the proposals to test ballasts
with lamps at the highest lamp wattage and to test with quartz metal
halide lamps.
(4) DOE requests comment on its proposal to directly reference the
basic stabilization method section and alternative stabilization method
section of ANSI C82.6-2015 (R2020). DOE also requests comment on its
proposal to retain the lamp stability criteria for the basic
stabilization method.
(5) DOE requests comment on referencing the active mode test method
section for the test conditions and setup of the standby mode test
method and for the connection of lamps (with the exception of reference
lamp requirements).
(6) DOE requests comment on proposed instructions requiring the
lamp be turned on to ensure the ballast is not defective prior to
measuring standby mode energy consumption.
(7) DOE requests comment on referencing section 5 of IEC 62301:2011
for stabilization and standby mode energy consumption measurements.
(8) DOE requests comment on DOE's tentative determination that the
proposed updates would not change measured values used for certifying
compliance with existing energy conservation standards.
(9) DOE seeks comment on whether the proposed test procedure, if
adopted, is reasonably designed to produce results that measure the
energy use or efficiency of MHLFs during a representative average use
cycle or period of use.
(10) DOE requests comments, data, and information regarding the
cost impact and test burden of the proposed amendments in this NOPR to
manufacturers.
(11) DOE requests comment on the impacts of the proposed test
procedure amendments on small businesses.
(12) DOE requests comments on any other aspect of the existing test
procedure for MHLFs not already addressed by the specific areas
identified in this document.

VI. Approval of the Office of the Secretary

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

List of Subjects in 10 CFR Part 431

Administrative practice and procedure, Confidential business
information, Energy conservation test procedures, Incorporation by
reference, Reporting and recordkeeping requirements, and Small
business.

Signing Authority

This document of the Department of Energy was signed on June 23,
2021, by Kelly Speakes-Backman, Principal Deputy Assistant Secretary
and Acting Assistant Secretary for Energy Efficiency and Renewable
Energy, pursuant to delegated authority from the Secretary of Energy.
That document with the original signature and date is maintained by
DOE. For administrative purposes only, and in compliance with
requirements of the Office of the Federal Register, the undersigned DOE
Federal Register Liaison Officer has been authorized to sign and submit
the document in electronic format for publication, as an official
document of the Department of Energy. This administrative process in no
way alters the legal effect of this document upon publication in the
Federal Register.

Signed in Washington, DC, on June 23, 2021.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

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

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

0
1. The authority citation for part 431 continues to read as follows:

Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.
0
2. Section 431.322 is amended by:
0
a. Removing the definitions for ``AC control signal'', ``DC control
signal'', and ``Wireless control signal'';
0
b. Revising the definition of ``Ballast efficiency''; and
0
c. Adding in alphabetical order, definitions for ``Ceramic metal halide
lamp'', ``Quartz metal halide lamp'', and ``Reference lamp''.
The revision and addition read as follows:

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

* * * * *
Ballast efficiency means, in the case of a high intensity discharge
fixture, the efficiency of a lamp and ballast combination, expressed as
a percentage, and calculated in accordance with the following formula:

Efficiency = P<INF>out</INF>/P<INF>in</INF>

Where:
(1) P<INF>out</INF> equals the measured operating lamp wattage; and

[[Page 37086]]

(2) P<INF>in</INF> equals the measured operating input wattage.
* * * * *
Ceramic metal halide lamp means a metal halide lamp with an arc
tube made of ceramic materials.
* * * * *
Quartz metal halide lamp means a metal halide lamp with an arc tube
made of quartz materials.
Reference lamp is a metal halide lamp that meets the operating
conditions of a reference lamp as defined by ANSI C82.9-2016
(incorporated by reference; see Sec. 431.323).
* * * * *
0
3. Section 431.323 is amended by:
0
a. Revising paragraphs (a) and (b)(1);
0
b. Redesignating paragraph (b)(2) as paragraph (b)(3);
0
c. Adding new paragraph (b)(2);
0
d. Revising newly redesignated paragraph (b)(3);
0
e. Adding paragraph (b)(4);
0
f. Redesignating paragraph (c) as paragraph (d); and
0
g. Adding new paragraph (c).
The revisions and additions read as follows:

Sec. 431.323 Materials incorporated by reference.

(a) Certain material is incorporated by reference into this subpart
with the approval of the Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, the DOE must publish a document in the
Federal Register and the material must be available to the public. All
approved material is available for inspection at the U.S. Department of
Energy, Office of Energy Efficiency and Renewable Energy, Building
Technologies Program, Sixth Floor, 950 L'Enfant Plaza SW, Washington,
DC 20024, (202) 586-2945, or go to <a href="https://www.energy.gov/eere/buildings/appliance-and-equipment-standards-">https://www.energy.gov/eere/buildings/appliance-and-equipment-standards-</a>program. It is also
available for inspection at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, email: <a href="/cdn-cgi/l/email-protection#57313233253230793b3230363b173936253679303821">[email&#160;protected]</a>, or go to:
<a href="http://www.archives.gov/federal-register/cfr/ibr-locations.html">www.archives.gov/federal-register/cfr/ibr-locations.html</a>.
(b) * * *
(1) ANSI C78.43 (``ANSI C78.43-2017''), American National Standard
for Electric Lamps--Single-Ended Metal Halide Lamps, approved December
21, 2017, IBR approved for Sec. 431.324.
(2) ANSI C78.44 (``ANSI C78.44-2016''), American National Standard
for Electric Lamps--Double-Ended Metal Halide Lamps, approved July 1,
2016, IBR approved for Sec. 431.324.
(3) ANSI C82.6 (``ANSI C82.6-2015 (R2020)''), American National
Standard for Lamp Ballasts--Ballasts for High-Intensity Discharge
Lamps--Methods of Measurement, approved March 30, 2020, IBR approved
for Sec. Sec. 431.322 and 431.324.
(4) ANSI C82.9 (``ANSI C82.9-2016''), American National Standard
for Electric Lamps--High Intensity Discharge and Low-Pressure Sodium
Lamps--Definitions, approved July 12, 2016, IBR approved for Sec. Sec.
431.322 and 431.324.
(c) IEC. International Electrotechnical Commission, available from
the American National Standards Institute, 25 W. 43rd Street, 4th
Floor, New York, NY 10036, (212) 642-4900, or go to <a href="https://webstore.ansi.org">https://webstore.ansi.org</a>.
(1) IEC 62301 (``IEC 62301''), Household electrical appliances--
Measurement of standby power, (Edition 2.0, 2011-01), IBR approved for
Sec. 431.324;
(2) [Reserved]
* * * * *
0
4. Section 431.324 is revised to read as follows:

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

(a) Scope. This section provides test procedures for measuring,
pursuant to EPCA, the energy efficiency of metal halide lamp ballasts.
After August 13, 2021 and prior to January 10, 2022 any representations
with respect to energy use or efficiency of metal halide lamp fixtures
must be in accordance with the results of testing pursuant to this
section or the test procedures as they appeared in Sec. 431.324
revised as of January 1, 2019. On or after January 10, 2022, any
representations, including certifications of compliance for metal
halide lamp fixtures subject to any energy conservation standard, made
with respect to the energy use or efficiency of metal halide lamp
fixtures must be made in accordance with the results of testing
pursuant to this section.
(b) Active Mode Procedure. (1) General Instructions. Specifications
in referenced standards that are recommended, that ``shall'' or
``should'' be met, or that are not clearly mandatory, are mandatory. In
cases where there is a conflict between any industry standard(s) and
this section, the language of the test procedure in this section takes
precedence over the industry standard(s).
(2) Test Conditions and Setup. (i) The power supply, ballast
conditions, lamp position, and instrumentation must all conform to the
requirements specified in section 4.0 of ANSI C82.6-2015 (R2020)
(incorporated by reference; see Sec. 431.323).
(ii) Airflow in the room for the testing period must be <=0.5
meters/second.
(iii) Test circuits must be in accordance with the circuit
connections specified in section 6.3 of ANSI C82.6-2015 (R2020).
(iv) For ballasts designed to operate lamps rated less than 150 W
that have 120 V as an available input voltage, testing must be
performed at 120 V. For ballasts designed to operate lamps rated less
than 150 W that do not have 120 V as an available voltage, testing must
be performed at the highest available input voltage. For ballasts
designed to operate lamps rated greater than or equal to 150 W that
have 277 V as an available input voltage, testing must be conducted at
277 V. For ballasts designed to operate lamps rated greater than or
equal to 150 W that do not have 277 V as an available input voltage,
testing must be conducted at the highest available input voltage.
(v) Operate dimming ballasts at maximum input power.
(vi) Select the metal halide lamp for testing as follows:
(A) The metal halide lamp used for testing must meet the
specifications of a reference lamp as defined by ANSI C82.9-2016
(incorporated by reference; see Sec. 431.323) and the rated values of
the corresponding lamp data sheet as specified in ANSI C78.43-2017
(incorporated by reference; see Sec. 431.323) for single-ended lamps
and ANSI C78.44-2016 (incorporated by reference; see Sec. 431.323) for
double-ended lamps.
(B) Ballasts designated with ANSI codes corresponding to more than
one lamp must be tested with the lamp having the highest nominal lamp
wattage as specified in ANSI C78.43-2017 or ANSI C78.44-2016, as
applicable.
(C) Ballasts designated with ANSI codes corresponding to both
ceramic metal halide lamps (code beginning with ``C'') and quartz metal
halide lamps (code beginning with ``M'') of the same nominal lamp
wattage must be tested with the quartz metal halide lamp.
(3) Test Method. (i) Stabilization Criteria. (A) General
Instruction. Lamp must be seasoned as prescribed in section 4.4.1 of
ANSI C82.6-2015 (R2020) (incorporated by reference; see Sec. 431.323).
(B) Basic Stabilization Method. Lamps using the basic stabilization
method must be stabilized in accordance with section 4.4.2 of ANSI
C82.6-2015 (R2020). Stabilization is reached when the lamp's electrical
characteristics vary by no more than 3-percent in three consecutive 10-
to 15-minute intervals

[[Page 37087]]

measured after the minimum burning time of 30 minutes.
(C) Alternative Stabilization Method. In cases where switching from
the reference ballast to test ballast without extinguishing the lamp is
impossible, such as for low-frequency electronic ballasts, the
alternative stabilization method must be used. Lamps using the
alternative stabilization method must be stabilized in accordance with
section 4.4.3 of ANSI C82.6-2015 (R2020).
(ii) Test Measurements. (A) The ballast input power during
operating conditions must be measured in accordance with the methods
specified in sections 6.1 and 6.8 of ANSI C82.6-2015 (R2020).
(B) The ballast output (lamp) power during operating conditions
must be measured in accordance with the methods specified in sections
6.2 and 6.10 of ANSI C82.6-2015 (R2020).
(C) For ballasts with a frequency of 60 Hz, the ballast input and
output power shall be measured after lamps have been stabilized
according to section 4.4 of ANSI C82.6-2015 (R2020) using a wattmeter
with accuracy specified in section 4.5 of ANSI C82.6-2015 (R2020); and
(D) For ballasts with a frequency greater than 60 Hz, the ballast
input and output power shall have a basic accuracy of <plus-minus>0.5
percent at the higher of either 3 times the output operating frequency
of the ballast or 2.4 kHz.
(iii) Calculations. (A) The measured ballast output (lamp) power,
as measured in paragraph (b)(3)(ii)(B) of this section, must be divided
by the measured ballast input power, as measured in paragraph
(b)(3)(ii)(A) of this section, to determine the percent efficiency of
the ballast under test to three significant figures.
(B) [Reserved]
(c) Standby Mode Procedure. (1) General Instructions. Measure
standby mode energy consumption only for a ballast that is capable of
operating in standby mode. Specifications in referenced standards that
are recommended, that ``shall'' or ``should'' be met, or that are not
clearly mandatory, are mandatory. When there is a conflict, the
language of the test procedure in this section takes precedence over
IEC 62301 (incorporated by reference; see Sec. 431.323).
(2) Test Conditions and Setup.
(i) Establish and maintain test conditions and setup in accordance
with paragraph (b)(1) of this section.
(ii) Connect each ballast to a lamp as specified in paragraph
(b)(2)(vii) of this section. Note: ballast operation with a reference
lamp is not required.
(3) Test Method and Measurement.
(i) Turn on all of the lamps at full light output. If any lamp is
not functional, replace the lamp and repeat the test procedure. If the
ballast will not operate any lamps, replace the unit under test.
(ii) Send a signal to the ballast instructing it to have zero light
output using the appropriate ballast communication protocol or system
for the ballast being tested.
(iii) Stabilize the ballast prior to measurement using one of the
methods as specified in section 5 of IEC 62301 (incorporated by
reference; see Sec. 431.323).
(iv) Measure the standby mode energy consumption in watts using one
of the methods as specified in section 5 of IEC 62301 (incorporated by
reference; see Sec. 431.323).

[FR Doc. 2021-13772 Filed 7-13-21; 8:45 am]
BILLING CODE 6450-01-P

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