[Federal Register Volume 75, Number 45 (Tuesday, March 9, 2010)]
[Rules and Regulations]
[Pages 10950-10971]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-3841]



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Part III





Department of Energy





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10 CFR Part 431



 Energy Conservation Program for Certain Commercial and Industrial 
Equipment: Test Procedure for Metal Halide Lamp Ballasts (Active and 
Standby Modes) and Proposed Information Collection, et al.; Final Rule 
and Notice

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

[[Page 10950]]


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DEPARTMENT OF ENERGY

10 CFR Part 431

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


Energy Conservation Program for Certain Commercial and Industrial 
Equipment: Test Procedure for Metal Halide Lamp Ballasts (Active and 
Standby Modes) and Proposed Information Collection; Comment Request; 
Certification, Compliance, and Enforcement Requirements for Consumer 
Products and Certain Commercial and Industrial Equipment; Final Rule 
and Notice

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

ACTION: Final rule.

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SUMMARY: The U.S. Department of Energy (DOE) is establishing metal 
halide lamp ballast test procedures in today's final rule by which 
manufacturers will demonstrate compliance with the metal halide lamp 
fixture energy conservation standards mandated by the Energy Policy and 
Conservation Act (EPCA), as amended. These test procedures are based 
primarily on and incorporate by reference provisions of American 
National Standards Institute (ANSI) Standard C82.6-2005, ``Ballasts for 
High-Intensity Discharge Lamps--Methods of Measurement.'' As further 
required by EPCA, DOE is establishing a test method for measuring 
standby mode power consumption and explaining why off mode power 
consumption does not apply to metal halide lamp ballasts. The test 
procedures' standby mode provisions are based on the International 
Electrotechnical Commission (IEC) Standard 62301, ``Household 
electrical appliances--Measurement of standby power.'' This rule also 
adopts a number of definitions for key terms.

DATES: These test procedures are effective on April 8, 2010. The 
incorporation by reference of a certain publication listed in this rule 
is approved by the Director of the Federal Register as of April 8, 
2010.

ADDRESSES: You may review copies of all materials related to this 
rulemaking at the U.S. Department of Energy, Resource Room of the 
Building Technologies Program, 950 L'Enfant Plaza, SW., Suite 600, 
Washington, DC, (202) 586-2945, between 9 a.m. and 4 p.m., Monday 
through Friday, except Federal Holidays. Please call Ms. Brenda Edwards 
at the above telephone number for additional information regarding 
visiting the Resource Room.

FOR FURTHER INFORMATION CONTACT: Ms. Linda Graves, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121. Telephone: (202) 586-1851. E-mail: 
[email protected].
    For legal issues, contact Mr. Eric Stas, U.S. Department of Energy, 
Office of the General Counsel, GC-71, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121. Telephone: (202) 586-9507. E-mail: 
[email protected].

SUPPLEMENTARY INFORMATION: This rule includes language that refers to 
the following standard that has been previously approved for 
incorporation by reference:
    ANSI C82.6-2005, Proposed Revision of ANSI C82.6-1985 (ANSI C82.6), 
American National Standard for lamp ballasts--Ballasts for High-
Intensity Discharge Lamps--Methods of Measurement, approved February 
14, 2005.
    Copies of this standard are available from: American National 
Standards Institute (ANSI), 25 W. 43rd Street, 4th Floor, New York, NY 
10036, 212-642-4900, or go to http://www.ansi.org.

Table of Contents

I. Authority and Background
II. Summary of the Final Rule
III. Discussion
    A. Definitions
    B. Test Method for Measuring Energy Efficiency of Metal Halide 
Lamp Ballasts
    1. Test Setup and Conditions
    a. Lamp Orientation
    b. Power Supply, Ambient Test Temperatures, and Instrumentation
    c. Lamp Stabilization
    2. Test Measurements
    3. Ballast Efficiency Calculation
    C. Test Method for Measuring Standby Power of Metal Halide Lamp 
Ballasts
    1. Overview of Test Method
    2. Test Method and Measurements
    3. Combining Measurements and Burden
    D. Scope of Applicability of Standby Power Test Procedure
    E. Effective Date of Standby Mode Test Method
    F. Units To Be Tested
    G. Submission of Data
    H. Enforcement Provisions
    I. Provisions for Compliance, Certification, and Enforcement
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Congressional Notification
V. Approval of the Office of the Secretary

I. Authority and Background

    Title III of the Energy Policy and Conservation Act (42 United 
States Code (U.S.C.) 6291 et seq.; EPCA) sets forth provisions to 
improve energy efficiency. Part A \1\ (42 U.S.C. 6291-6309) establishes 
the Energy Conservation Program for Consumer Products Other Than 
Automobiles (Program), which covers consumer products and certain 
commercial equipment, including metal halide lamp fixtures. (42 U.S.C. 
6292(a)(19)) Metal halide lamp fixtures contain metal halide lamp 
ballasts. Because the metal halide lamp fixture energy conservation 
standards in EPCA establish a minimum efficiency for the ballasts 
incorporated into those fixtures, this test procedure addresses 
measurement of metal halide lamp ballast efficiency. (42 U.S.C. 
6295(hh)(1)(A)).
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    \1\ This part was originally titled Part B. It was redesignated 
Part A in the United States Code for editorial reasons.
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    The program generally includes testing, labeling, and Federal 
energy conservation standards. The testing requirements consist of test 
procedures prescribed under EPCA, that manufacturers of covered 
equipment must use: (a) As the basis for certifying to DOE that their 
products comply with energy conservation standards promulgated under 
EPCA; and (b) for representing the energy efficiency of their products. 
Similarly, DOE must use these test procedures when determining whether 
the equipment complies with energy conservation standards adopted 
pursuant to EPCA.
    EPCA established generally applicable criteria and procedures for 
DOE's adoption and amendment of such test procedures (42 U.S.C. 6293), 
and provided that ``[a]ny test procedures prescribed or amended under 
this section shall be reasonably designed to produce test results which 
measure energy efficiency, energy use, * * * or estimated annual 
operating cost of a covered product during a representative average use 
cycle or period of use, as determined by the Secretary [of Energy],

[[Page 10951]]

and shall not be unduly burdensome to conduct.'' (42 U.S.C. 
6293(b)(3)).
    For metal halide lamp ballasts, section 324(c) of the Energy 
Independence and Security Act of 2007 (Public Law (Pub. L.) 110-140; 
EISA 2007) amended EPCA and required DOE to establish test procedures 
for metal halide lamp ballasts--a newly covered equipment type under 
the statute--as follows: ``(18) Metal halide lamp ballasts.--Test 
procedures for metal halide lamp ballasts shall be based on ANSI 
Standard C82.6-2005, titled `Ballasts for High-Intensity Discharge 
Lamps--Method of Measurement.' '' (42 U.S.C. 6293(b)(18)).
    Section 324(e) of EISA 2007 also prescribed mandatory minimum 
efficiency levels for pulse-start metal halide lamp ballasts, magnetic 
probe-start lamp ballasts, and nonpulse-start electronic lamp ballasts 
that operate [metal halide] lamps rated greater than or equal to 150 
watts (W) but less than or equal to 500 W. (42 U.S.C. 6295(hh)(1)(A)) 
Excluded from these energy conservation standards are regulated lag 
ballasts,\2\ electronic ballasts that operate at 480 volts, or ballasts 
in fixtures that are: (1) Rated only for 150 W lamps; (2) rated for use 
in wet locations, as specified by the National Electrical Code 2002, 
section 410.4(A); and (3) contain a ballast that is rated to operate at 
ambient air temperatures above 50 degrees Celsius ([deg]C), as 
specified in UL 1029-2001 by Underwriters Laboratories, Inc. (42 U.S.C. 
6295(hh)(1)(B)) These statutory standards apply to metal halide lamp 
fixtures manufactured on or after January 1, 2009. (42 U.S.C. 
6295(hh)(1)(C)).
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    \2\ A ``regulated lag ballast'' is the industry term for a lag 
ballast with a third coil for improved lamp power regulation.
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    DOE again notes that because of the codification of the metal 
halide lamp fixture provisions in 42 U.S.C. 6295, a rulemaking for 
metal halide lamp fixture energy conservation standards and any 
associated test procedures are subject to the requirements of the 
consumer products provisions of Part A of Title III. However, because 
metal halide lamp fixtures (and their ballasts) are generally 
considered to be commercial equipment and consistent with DOE's 
previous action to incorporate requirements of the Energy Policy Act of 
2005 (EPACT 2005) for commercial equipment into 10 CFR part 431 
(``Energy Efficiency Program for Certain Commercial and Industrial 
Equipment''), DOE intends to place the new requirements for metal 
halide lamp fixtures (and ballasts) in 10 CFR part 431 for ease of 
reference. DOE notes that the location of the provisions within the CFR 
does not affect either the substance or applicable procedure for metal 
halide lamp ballasts; as such, DOE is placing them in the appropriate 
CFR part based upon the nature or type of those products. Based upon 
their placement into 10 CFR 431, metal halide lamp ballasts will be 
referred to as ``equipment'' throughout this notice.
    EISA 2007 further amended EPCA. In relevant part here, section 310 
of EISA 2007 includes a requirement that DOE amend its test procedures, 
if technically infeasible, to include standby mode and off mode energy 
consumption in the overall energy efficiency, energy consumption, or 
other energy descriptor for each covered product for which DOE's 
current test procedures do not fully account for standby mode and off 
mode energy consumption. If such combined measure is technically 
infeasible, DOE must prescribe a separate standby mode and off mode 
energy use test procedure, if technically feasible. (42 U.S.C. 
6295(gg)(2)(A)) Any such amendment must consider the most current 
versions of IEC Standards 62301, ``Household electrical appliances--
Measurement of standby power,'' and 62087, ``Methods of measurement for 
the power consumption of audio, video and related equipment.'' Id. 
Further, section 310 of EISA 2007 provides that any final rule 
establishing or revising energy conservation standards adopted on or 
after July 1, 2010, must incorporate standby mode and off mode energy 
use. (42 U.S.C. 6295(gg)(3)(A)) DOE notes here that EPCA, as amended, 
requires DOE to determine whether the energy conservation standards for 
metal halide lamp fixtures should be amended, and if so, DOE must 
publish a final rule with amended standards by January 1, 2012. (42 
U.S.C. 6295(hh)(2)).
    Accordingly, pursuant to section 310 of EISA 2007 and given the 
potential for amended energy conservation standards for metal halide 
lamp fixtures that address standby mode and off mode, DOE has concluded 
that its metal halide lamp ballast test procedure must account for 
standby mode and off mode energy consumption. (42 U.S.C. 6295(gg)(2)) A 
DOE test procedure is needed that accounts for standby mode and off 
mode energy use, in order to permit manufacturers to measure and 
certify compliance with energy conservation standards for metal halide 
lamp fixtures that address those modes. Today's final rule will also 
provide DOE a means for determining compliance with any standard 
adopted for metal halide lamp fixtures that includes such energy 
consumption.

II. Summary of the Final Rule

    As noted above, EPCA, as amended by EISA 2007, states that test 
procedures for metal halide lamp ballasts shall be based on ANSI 
Standard C82.6-2005 (ANSI C82.6-2005), ``Ballasts for High Intensity 
Discharge Lamps--Methods of Measurement.'' (42 U.S.C. 6293(b)(18)) DOE 
found ANSI C82.6-2005 suitable for testing metal halide lamp ballasts 
because it contained all of the required major elements to adequately 
measure the efficiency of metal halide lamp ballasts, as discussed in 
section III.B. Accordingly, DOE has drawn on relevant portions of ANSI 
C82.6-2005 in developing its metal halide lamp ballast test procedure. 
Specifically, today's final rule references the ballast power loss 
measurement method (section 6.10) of ANSI C82.6-2005 as the means of 
determining the efficiency of metal halide lamp ballasts, and 
references other applicable sections of ANSI C82.6-2005 for test 
conditions and setup. The test procedure currently applies to metal 
halide lamp ballasts that operate lamps rated greater than or equal to 
150 W but less than or equal to 500 W (although it is capable of 
measuring ballasts operating lamps of both higher and lower wattage 
ranges), and the final rule establishes test methodologies for 
measuring standby mode power consumption, based on relevant portions of 
IEC 62301 and ANSI C82.6-2005. Finally, the final rule establishes the 
sampling and efficiency calculations to be used.
    DOE reviewed the definitions of ``standby mode'' and ``off mode'' 
contained in EPCA section 325(gg)(1) in the context of metal halide 
lamp ballasts. (42 USC 6295(gg)(1)) DOE found that, while it is 
possible for metal halide lamp ballasts to operate in standby mode, the 
off mode condition does not apply because it addresses a mode of energy 
use in which metal halide lamp ballasts do not operate. For this 
reason, today's final rule prescribes a test method for measuring power 
consumption in standby mode (section III.C), but it does not prescribe 
an off mode test method. The prescribed standby mode test will enable 
DOE to consider and address standby mode energy consumption in the next 
metal halide lamp fixture energy conservation standards rulemaking.
    The ``standby mode'' definition established by EISA 2007 does not 
apply to all ballasts. 74 Federal Register (FR) 33171, 33174 (July 10, 
2009). There are two types of ballasts (i.e., magnetic and electronic), 
but only electronic

[[Page 10952]]

ballasts or magnetic ballasts operating with an auxiliary control 
device can operate in standby mode. DOE determined that standby mode 
applies only to certain ballasts under certain operating conditions. 
See sections III.A. and III.C for a detailed discussion of the 
definitions for ``standby mode'' and ``off mode,'' as well as test 
methods for standby mode.
    As provided by EPCA, amendments to the test procedures to include 
standby mode and off mode energy consumption shall not be used to 
determine compliance with previously established standards. (42 U.S.C. 
6295(gg)(2)(C)) The inclusion of a standby mode test method in this 
final rule will not affect a manufacturer's ability to demonstrate 
compliance with the energy conservation standards for metal halide lamp 
fixtures that took effect January 1, 2009. (42 U.S.C. 
6295(hh)(1)(C)(i)) The standby mode test need not be performed to 
determine compliance with the current energy conservation standards for 
metal halide lamp fixtures because the standards do not account for 
standby mode energy consumption.
    Today's final rule, which includes provisions for measuring standby 
mode, will become effective, in terms of adoption into the Code of 
Federal Regulations (CFR), 30 days after the date of publication in the 
Federal Register. Manufacturers will be required to use this test 
procedure's standby mode provisions to demonstrate compliance with any 
future energy conservation standards for metal halide lamp fixtures as 
of the effective date of a final rule establishing amended energy 
conservation standards for metal halide lamp fixtures that address 
standby mode energy consumption. The introductory sentence in section 
431.324(c) reads as follows: ``The measurement of standby mode need not 
be performed to determine compliance with energy conservation standards 
for metal halide lamp fixtures at this time. The above statement will 
be removed as part of the rulemaking to amend the energy conservation 
standards for metal halide lamp fixtures to account for standby mode 
energy consumption, and the following shall apply on the compliance 
date for such requirements.'' The quoted language will be removed in 
the rulemaking to amend the EISA 2007 energy conservation standards for 
metal halide lamp fixtures to address standby mode power consumption. A 
statement has also been added at 10 CFR 431.324(c) to clarify that on 
or after a date 180 days after the date of publication on this final 
rule, any representations pertaining to standby mode energy consumption 
must be based upon testing under the relevant provisions of this test 
procedure. Although this is a statutory requirement under 42 U.S.C. 
6293(c)(2), DOE has concluded that it would be useful to explicitly 
state this requirement in DOE's regulations.

III. Discussion

    Before addressing specific technical comments on the metal halide 
lamp ballast test procedure notice of proposed rulemaking (NOPR), DOE 
would first summarize its general approach to this rulemaking and 
address one related comment. In the July 10, 2009 NOPR, DOE proposed 
that only the active mode and standby mode applied to metal halide lamp 
ballasts, and tentatively concluded that off mode is not applicable. 74 
FR 33171, 33172-73 (July 10, 2009). For the NOPR, DOE also reviewed 
ANSI C82.6-2005 to determine whether any additional elements would be 
needed to provide a complete test procedure, and tentatively concluded 
that all elements required for conducting efficiency measurements of 
metal halide lamp ballasts are present in ANSI C82.6-2005, including 
lamp orientation, power supply characteristics, operational test 
temperatures, instrumentation requirements, setup connections, and lamp 
stabilization. In the NOPR, DOE also discussed the ANSI standards 
development process. Id. at 33173. DOE affirms these tentative 
conclusions in today's final rule. Accordingly, after carefully 
considering and addressing comments on the NOPR, DOE is adopting the 
applicable requirements and methods of ANSI C82.6-2005 into the DOE 
test procedure for metal halide lamp ballasts. In addition, DOE adopts 
a statistically meaningful method for determining sample size as part 
of the metal halide lamp ballast test procedure, consistent with the 
sampling plans used in other DOE test procedures.
    The National Electrical Manufacturers Association (NEMA) informed 
DOE that ANSI C82.6-2005 is in the process of being revised, and 
suggested that DOE or its contractors participate in the standards 
development process. (NEMA, Public Meeting Transcript, No. 11 at p. 8) 
DOE appreciates this comment and understands the context for NEMA's 
suggestion. Although DOE is supportive of the ANSI standard-setting 
process and DOE (or its contractor) may consider participation in that 
standards process, DOE is unable to use a different version of C82.6-
2005 at this time for two reasons: (1) DOE is directed by the statute 
to base its test procedure on the 2005 edition of ANSI C82.6 for 
determining the efficiency of metal halide lamp ballasts used in metal 
halide lamp fixtures (42 U.S.C. 6293(b)(18)); and (2) DOE needs to 
adopt a test procedure for metal halide lamp ballasts to address the 
current, statutorily-prescribed standards for ballasts contained in 
metal halide lamp fixtures. DOE further notes that ANSI C82.6-2005 is 
still active and is the most current version of this test procedure. 
DOE is concerned that postponing this test procedure rulemaking to wait 
for the updated version of ANSI C82.6 to be issued could cause a 
significant delay in adoption of a test procedure for metal halide lamp 
ballasts. If industry does issue an revised version of ANSI C82.6, DOE 
may update today's adopted test procedure when it considers amendments 
as required by section 323(b)(1)(A) of EPCA. (42 U.S.C. 6293(b)(1)(A))

A. Definitions

    DOE reviewed the relevant portions of EISA 2007 and 10 CFR part 431 
for applicable existing definitions for use in developing and applying 
the metal halide lamp ballast test procedure. EISA 2007 amends EPCA, in 
part, by adding definitions of key terms that are applicable to the 
metal halide lamp ballast test procedure, including ``ballast,'' 
``ballast efficiency,'' ``electronic ballast,'' ``metal halide lamp 
ballast,'' ``metal halide lamp,'' ``metal halide lamp fixture,'' 
``probe-start metal halide lamp ballast,'' and ``pulse-start metal 
halide lamp ballast.'' (42 U.S.C. 6291) These definitions were set 
forth in the July 10, 2009 NOPR. 74 FR 33171, 33173-74. DOE discusses 
the terms ``ballast,'' ``ballast efficiency,'' and ``electronic 
ballast'' below, for which it codifies new or revised definitions in 
today's final rule. The other terms, including ``metal halide lamp 
ballast,'' ``metal halide lamp,'' ``metal halide lamp fixture,'' 
``probe-start metal halide lamp ballast,'' and ``pulse-start metal 
halide lamp ballast'' were previously inserted into the CFR by the 
Technical Amendment Final Rule and remain unchanged. 74 FR 12058, 
12075-76 (March 23, 2009)).
``Ballast''
    EISA 2007 provides a new definition for the term ``ballast'' which 
is relevant to metal halide lamp fixtures. This term is defined as 
follows: ``a device used with an electric discharge lamp to obtain 
necessary circuit conditions (voltage, current, and waveform) for 
starting and operating. (42 U.S.C. 6291(58)) This definition was 
already adopted into DOE's regulations for both consumer products (10 
CFR 430.2) and

[[Page 10953]]

commercial equipment (10 CFR 431.282) in the Technical Amendment Final 
Rule. 74 FR 12058, 12064 (March 23, 2009). However, DOE is adopting 
this definition into 10 CFR 431.322 without modifications in today's 
final rule.
``Ballast Efficiency''
    EISA 2007 also provides a definition for the term ``ballast 
efficiency'' which is relevant to metal halide lamp fixtures. (42 
U.S.C. 6291(59)) This term was adopted by DOE in the Technical 
Amendment Final Rule (74 FR 12058, 12075 (March 23, 2009)) as follows: 
``in the case of a high-intensity discharge fixture, the efficiency of 
a lamp and ballast combination, expressed as a percentage.'' Ballast 
efficiency is calculated in accordance with the formula presented with 
the definition for the term ``ballast efficiency'' in the Technical 
Amendment Final Rule (74 FR 12075, March 23, 2009).
    In its comments on the NOPR, NEMA recommended that the frequency 
referenced in the definition of ``ballast efficiency'' be increased 
from 2 kHz to 2.4 kHz, which includes the 40th order of the total 
harmonic for frequencies greater than 60 Hz. (NEMA, No. 21 at p. 4) DOE 
considered this comment, and reviewed other related similar test 
methods for related lighting products. DOE found that ANSI C82.77-2002, 
``American National Standard for Harmonic Emission Limits-Related 
Quality Requirements for Lighting Equipment,'' requires harmonic 
measurements up to the 40th harmonic. DOE also recognizes that to 
increase the frequency and include the 40th harmonic will improve the 
accuracy and repeatability of the test method adopted for metal halide 
lamp ballasts, thereby resulting in an improvement in the test 
procedure overall. For all of these reasons, DOE accepts NEMA's 
recommendation to extend ballast efficiency measurement to 2.4 kHz, and 
has amended the definition adopted in today's final rule accordingly.
``Electronic Ballast''
    EISA 2007 provides a definition for the term ``electronic ballast'' 
which is relevant to metal halide lamp fixtures. This term is defined 
as follows: ``a device that uses semiconductors as the primary means to 
control lamp starting and operation.'' (42 U.S.C. 6291(60)) This 
definition was already adopted into DOE's regulations for consumer 
products (10 CFR 430.2) in the Technical Amendment Final Rule. 74 FR 
12058, 12065 (March 23, 2009). However, DOE is adopting this definition 
into 10 CFR 431.322 without modification in today's final rule. As 
stated in its NOPR, DOE notes that it interprets this definition to 
include equipment commonly referred to as ``nonpulse-start electronic 
ballasts.'' 74 FR 33171, 33173 (July 10, 2009). DOE notes that this 
interpretation is by no means limited to such ballasts, and that other 
types of electronic ballasts such as ``pulse-start electronic 
ballasts'' would fall under this statutory definition.
``Basic Model''
    In addition to the terms discussed above, in today's final rule, 
DOE is amending 10 CFR 431.322, ``Definitions concerning metal halide 
lamp ballasts and fixtures,'' by adding a definition for ``basic 
model'' as it relates to metal halide lamp ballasts. DOE is also 
inserting definitions for terms associated with the measurement of 
standby mode power consumption for metal halide lamp ballasts. These 
terms are ``active mode,'' ``standby mode,'' ``off mode,'' 
``alternating current (AC) control signal,'' ``direct current (DC) 
control signal,'' ``power line carrier (PLC) control signal,'' and 
``wireless control signal.'' It should be noted that the statute 
provides definitions for three modes of energy consumption (i.e., 
active, standby, and off modes) that are applicable to a broad set of 
consumer products and commercial equipment, including metal halide lamp 
ballasts. (42 U.S.C. 6295(gg)(1)(A)) DOE adopts definitions for the 
terms ``active mode,'' ``standby mode,'' and ``off mode'' in today's 
final rule.
    In the NOPR, DOE proposed a definition for a metal halide lamp 
ballast ``basic model'' at 10 CFR 431.322 based on the existing ``basic 
model'' definition for a fluorescent lamp ballast at 10 CFR 430.2. 74 
FR 33171, 33174 (July 10, 2009). The proposed definition of the term 
``basic model'' reads as follows: ``with respect to metal halide [lamp] 
ballasts, as all units of a given type of metal halide [lamp] ballast 
(or class thereof) that: (1) Are rated to operate a given lamp type and 
wattage; (2) Have essentially identical electrical characteristics; and 
(3) Have no differing electrical, physical, or functional 
characteristics that affect energy consumption.'' Id. at 33184. DOE did 
not receive any comments on this proposed definition, and, therefore, 
is adopting it in today's final rule without substantive modification.
``Active Mode''
    In the NOPR, DOE proposed to adopt the statutory definition for 
``active mode'' as it applies to metal halide lamp ballasts. EPCA 
defines ``active mode'' as ``the condition in which an energy-using 
product--(I) is connected to a main power source; (II) has been 
activated; and (III) provides 1 or more main functions.'' (42 U.S.C. 
6295(gg)(1)(A)(i)) In the NOPR, DOE stated that the main function of 
the metal halide lamp ballast is to operate one or more metal halide 
lamps (i.e., starting the lamp and regulating the current, voltage, or 
power of the lamp). DOE also stated that there are many different types 
of ballasts that could be considered ``metal halide lamp ballasts,'' 
but the main function common to all of them is that they are designed 
to operate metal halide lamps. DOE did not discriminate between non-
dimmable \3\ and dimmable \4\ ballasts when considering active mode; 
rather, DOE interprets active mode as being applicable to any amount of 
rated system light output (i.e., greater than zero percent of the rated 
system light output). 74 FR 33171, 33174 (July 10, 2009). DOE received 
a comment from NEMA on this initial interpretation. NEMA requested that 
the term ``active mode'' be defined as operation of a metal halide lamp 
ballast at 100 percent of rated power. (NEMA, No. 21 at p. 4) DOE 
considered this comment, but is unable to adopt NEMA's proposed 
revision to the definition of ``active mode.'' DOE's view that active 
mode applies to a functioning ballast operating with any amount of 
rated system light output (i.e., greater than zero percent) has not 
changed (however, see the ``fault load'' discussion immediately below), 
and no new information has been introduced by the commenter that would 
cause DOE to adopt the commenter's suggested interpretation of ``active 
mode.'' If a ballast is dimming (operating the light source greater 
than zero percent, but less than 100 percent) the lamp and the ballast 
are both still in active mode.
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    \3\ Non-dimmable ballasts would operate the lamp or lamps in 
active mode at 100 percent of the rated system light output.
    \4\ Dimmable ballasts may vary the system light output from 100 
percent to some lower level of light output, either in steps or 
continuously.
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    Although DOE did not address this condition in the NOPR, DOE wishes 
to clarify that a ballast connected to a fault load (i.e., a lamp that 
is no longer working) is considered by DOE to be in active mode. In 
this mode, the ballast meets all three criteria for active mode 
function. The ballast is: (1) Connected to a main power source; (2) 
activated; and (3) providing its main function, which is to apply a 
voltage across the sockets in an attempt to start and operate a lamp. 
Therefore, active mode for metal halide lamp ballasts is considered to 
be the condition in which the ballast provides either: (1) A regulated 
current

[[Page 10954]]

to a properly-installed functional lamp; or (2) a voltage to the 
sockets to start and operate a lamp if a functional lamp were properly 
installed. DOE no longer believes that a ballast is in active mode only 
when the light output is any percentage greater than zero of the rated 
system light output because such a definition presupposes that a 
functional lamp is properly installed. Although, DOE is changing its 
interpretation of active mode, DOE's interpretation of standby mode and 
off mode remain the same as in the January 2009 NOPR. 74 FR 33171, 
33174-75 (July 10, 2009). Furthermore, the interpretation of active 
mode in this final rule is consistent with other DOE interpretations 
for similar types of equipment and products (i.e., ballasts). DOE had 
this same interpretation in the fluorescent lamp ballast standby test 
procedure 74 FR 54445, 54447 (Oct. 22, 2009).
``Standby Mode''
    ``Standby mode'' is defined under EPCA as ``the condition in which 
an energy-using product--(I) is connected to a main power source; and 
(II) offers 1 or more of the following user-oriented or protective 
functions: (aa) To facilitate the activation or deactivation of other 
functions (including active mode) by remote switch (including remote 
control), internal sensor, or timer. (bb) Continuous functions, 
including information or status displays (including clocks) or sensor-
based functions.'' (42 U.S.C. 6295(gg)(1)(A)(iii)) As discussed below, 
two key aspects of this definition relate to metal halide lamp 
ballasts: (1) Connected to a main power source; and (2) offering the 
activation or deactivation of other functions by remote switch or 
internal sensor.
    The definition of ``standby mode'' in part requires that ballasts 
be connected to their main power source. (42 U.S.C. 
6295(gg)(1)(A)(iii)(I)) This ``connected'' requirement effectively 
precludes the majority of ballasts from having standby mode energy 
consumption, because most ballasts are operated with on-off switches, 
circuit breakers, or other relays that disconnect the ballast from the 
main power source. Although further consideration of such ballasts is 
unnecessary because their operational design falls outside the 
statutory definition of ``standby mode,'' DOE would characterize their 
operation in such situations as follows: Once the ballast is 
disconnected from the main power source, the ballast ceases to operate 
the lamp, and the ballast consumes no energy. The vast majority of 
metal halide lamp ballasts do not consume power when they are switched 
off. Based on the statutory definition of ``standby mode,'' ballasts 
controlled by disconnecting the ballast from the main power source do 
not operate in standby mode.
    The ``standby mode'' definition further states that it applies to 
energy-using products that facilitate the activation or deactivation of 
other functions by remote switch, internal sensor, or timer. (42 U.S.C. 
6295(gg)(1)(A)(iii)(II)(aa)) DOE interprets this condition as applying 
to ballasts that are designed to operate in or function as a lighting 
control system where auxiliary control devices send signals. An example 
of this type of ballast would be one that incorporates a digital 
addressable lighting interface (DALI) capability. Regardless of 
dimming, these ballasts incorporate an electronic circuit that enables 
the ballast to communicate with, and receive orders from, the DALI 
system. These instructions could tell the ballast to go into active 
mode or to adjust the light output to zero percent output. In this 
latter condition, the ballast no longer provides current to the metal 
halide lamp (i.e., no longer in active mode). Thus, at zero light 
output, the ballast is standing by, connected to a main power source 
while it awaits instructions from the lighting control system to 
initiate an arc so the metal halide lamp can produce light again. 
Another example would be a metal halide lamp ballast that incorporates 
a lighting control circuit connected to a photosensor. This ballast and 
sensor function as a miniature lighting controls system, where the 
sensor provides input to the ballast control circuit, which determines 
whether the lamp should be operational. When the lamp is not 
operational (i.e., when the photosensor indicates that it is bright 
outside), the ballast will consume power to enable the photosensor 
circuit to monitor the ambient conditions. When the circuit determines 
that the ambient conditions are sufficiently dark to start the lamp, it 
will instruct the ballast to initiate an arc in the lamp.
    In its comments on the NOPR, NEMA accepted DOE's interpretation and 
application of standby mode to metal halide lamp ballasts that 
incorporate a circuit to enable the ballast to communicate with 
lighting control systems. (NEMA, No. 21 at p. 4) However, NEMA 
requested that the term ``standby mode'' be further defined to clarify 
that a stand-alone magnetic metal halide lamp ballast that does not 
incorporate any auxiliary electronic control devices be exempt from any 
energy consumption measurements in standby mode. (NEMA, No. 21 at p. 4) 
DOE considered this comment, but has not made any change to the 
definition of ``standby mode'' for two principal reasons. First, as DOE 
stated in the NOPR and again reiterates in this final rule, it is 
interpreting standby mode as only being applicable to ballasts that 
connect to lighting control systems via circuits that allow for 
communication with the control system. This interpretation is valid, 
regardless of the type of ballast (e.g., magnetic, electronic). If the 
magnetic ballast does not have the circuit (in this case, an auxiliary 
electronic control device), then the ballast would not be considered 
capable of operating in standby mode. Second, DOE does not understand 
why one type of ballast should be singled out in the definition of the 
term ``standby mode,'' to the exclusion of others, in order to 
establish that ballast type as exempt. Inserting language like this 
into the definition could be interpreted as providing uneven treatment 
of the various types of ballasts with respect to the definition of 
``standby mode.'' Given that there are other types of metal halide lamp 
ballasts in addition to the magnetic type, this explicit mention might 
confuse interested parties as to the applicability of standby mode for 
metal halide lamp ballasts overall.
``Off Mode''
    As DOE discussed in the NOPR, ``off mode'' is defined by EPCA as 
``the condition in which an energy-using product--(I) is connected to a 
main power source; and (II) is not providing any standby or active mode 
function.'' (42 U.S.C. 6295(gg)(1)(A)(ii)) In the NOPR, DOE considered 
this definition in the context of metal halide lamp ballasts and stated 
that it believes that off mode does not apply to any metal halide lamp 
ballast, dimmable or non-dimmable, because off mode describes a 
condition that commercially-available ballasts do not attain. 74 FR 
33171, 33174-75 (July 10, 2009). The definition of ``off mode'' 
requires that ballasts be connected to a main power source and not 
provide any standby mode or active mode function. (42 U.S.C. 
6295(gg)(1)(A)(ii)) It is not possible for ballasts to meet these 
criteria, because there is no condition in which the ballast is 
connected to the main power source and is not in a mode already 
accounted for in either active mode or standby mode (as defined 
previously). Thus, ballasts never meet the second requirement of the 
EPCA definition of ``off mode.'' (42 U.S.C. 6295(gg)(1)(A)(ii)(II)) 
NEMA commented that they accept the DOE approach for assessing metal 
halide lamp ballast operation in active mode and standby

[[Page 10955]]

mode. NEMA also agreed that ``off mode'' does not apply to metal halide 
lamp ballasts and should not be included as part of the proposed test 
procedure. (NEMA, No. 21 at p. 4) Therefore, for the reasons above, 
DOE's interpretation of ``off mode'' remains the same as in the NOPR, 
namely, DOE has concluded that off mode is not applicable to metal 
halide lamp ballasts. 74 FR 33171, 33175 (July 10, 2009). Should 
circumstances change, DOE may revisit this interpretation and propose a 
test method in a future rulemaking for measuring off mode in metal 
halide lamp ballasts.
``AC Control Signal''
    In the NOPR, DOE proposed a definition for the term ``AC control 
signal.'' 74 FR 33171, 33175 (July 10, 2009). In its study of the 
market, DOE found that some lighting control systems operate by 
communicating with (i.e., providing a control signal to) lamp ballasts 
over a separate wiring system using AC voltage. DOE was unable to 
locate a definition for ``AC control signal'' in International 
Electrotechnical Commission (IEC) 62301 or ANSI C82.6-2005. Therefore, 
DOE proposed a definition for an ``AC control signal'' in its NOPR to 
enhance the clarity and understanding of its test procedure. 74 FR 
33171, 33175 (July 10, 2009). NEMA commented that they accepted the 
proposed definition by DOE for ``AC control signal.'' (NEMA, No. 21 at 
p.4) Given the absence of negative comment, DOE is adopting a 
definition for ``AC control signal'' as follows: ``an alternating 
current (AC) signal that is supplied to the ballast using additional 
wiring for the purpose of controlling the ballast and putting the 
ballast in standby mode.''
``DC Control Signal''
    In the NOPR, DOE proposed a definition for the term ``DC control 
signal.'' 74 FR 33171, 33175 (July 10, 2009). In its study of the 
market, DOE found that some lighting control systems operate by 
communicating with (i.e., providing a control signal to) the lamp 
ballasts over a separate wiring system using DC voltage. DOE was unable 
to locate a definition for ``DC control signal'' in IEC 62301 or ANSI 
C82.6-2005. Therefore, DOE proposed a definition for a ``DC control 
signal'' in its NOPR to enhance the clarity and understanding of its 
test procedure. 74 FR 33171, 33175 (July 10, 2009). NEMA commented that 
it accepted DOE's proposed definition for ``DC control signal.'' (NEMA, 
No. 21 at p.4) DOE received no dissenting comments to its proposed 
definition, and, therefore, is adopting the following definition for 
``DC control signal'' as ``a direct current (DC) signal that is 
supplied to the ballast using additional wiring for the purpose of 
controlling the ballast and putting the ballast in standby mode.''
``Power Line Carrier (PLC) Control Signal''
    In the NOPR, DOE proposed a definition for the term ``power line 
carrier (PLC) control signal.'' 74 FR 33171, 33175 (July 10, 2009). In 
its study of the market, DOE found that some lighting control systems 
operate by communicating with (i.e., providing a control signal to) the 
lamp ballasts over the existing power lines that provide the main power 
connection to the ballast. DOE was unable to locate a definition for 
``PLC control signal'' in IEC 62301 or ANSI C82.6-2005. Therefore, DOE 
proposed a definition for a ``PLC control signal'' in its NOPR to 
enhance the clarity and understanding of its test procedure. 74 FR 
33171, 33175 (July 10, 2009). NEMA commented that it accepted DOE's 
proposed definition for ``PLC control signal.'' (NEMA, No. 21 at p. 4) 
DOE received no dissenting comments to its proposed definition, and, 
therefore, is adopting the following definition for ``PLC control 
signal'' as ``a power line carrier (PLC) signal that is supplied to the 
ballast using the input ballast wiring for the purpose of controlling 
the ballast and putting the ballast in standby mode.''
``Wireless Control Signal''
    In the NOPR, DOE proposed a definition for the term ``wireless 
control signal.'' 74 FR 33171, 33175 (July 10, 2009). In its study of 
the market, DOE found that some lighting control systems operate by 
communicating with (i.e., providing a control signal to) the lamp 
ballasts over a wireless system, much like a wireless computer network. 
DOE was unable to locate a definition for a ``wireless control signal'' 
in IEC 62301 or ANSI C82.6-2005. Therefore, DOE proposed a definition 
for a ``wireless control signal'' in the July 2009 NOPR to enhance the 
clarity and understanding of its test procedure. 74 FR 33171, 33175 
(July 10, 2009). NEMA commented that it accepted DOE's proposed 
definition for ``wireless control signal.'' (NEMA, No. 21 at p. 4) DOE 
received no dissenting comments to its proposed definition, and, 
therefore, is adopting the following definition for ``wireless control 
signal'' as ``a wireless signal that is radiated to and received by the 
ballast for the purpose of controlling the ballast and putting the 
ballast in standby mode.'' In today's final rule, DOE is not requiring 
measurement of the power consumed by the ballast through the wireless 
control signal, because the quantity of power contained in the signal 
is extremely small (on the order of milliwatts), would be difficult to 
measure, and is unlikely to appreciably affect ballast power 
consumption.

B. Test Method for Measuring Energy Efficiency of Metal Halide Lamp 
Ballasts

1. Test Setup and Conditions
a. Lamp Orientation
    In the NOPR, DOE proposed to require that lamp orientation for 
testing be as specified in section 4.3 of ANSI C82.6-2005, which 
requires vertical, base-up orientation, unless the manufacturer 
specifies another orientation for that ballast and associated lamp 
combination. 74 FR 33171, 33176 (July 10, 2009). DOE proposed the base-
up orientation, unless the manufacturer specifies another orientation 
approach for two reasons: (1) Vertical, base-up lamp orientation is the 
most common in the industry; and (2) the natural stability of the 
vertical operating position would produce the most repeatable and 
accurate testing results. PG&E commented during the public meeting that 
in response to efforts to advocate for improved efficiency for 
horizontal-burned lamps in California, the industry argued that 
horizontally-oriented lamps are significantly different products than 
vertically-oriented products and, thus, need to be treated differently. 
PG&E raised concerns about measuring the ballast efficiency of ballasts 
operating horizontally-oriented lamps as compared to more common 
vertically-oriented lamps. (PG&E, Public Meeting Transcript, No. 11, at 
p. 11) NEMA also commented on lamp orientation during the public 
meeting, stating that a uniform test set-up is important. However, NEMA 
argued that; the ballast is the key to measuring ballast efficiency, 
not lamp orientation. (NEMA, Public Meeting Transcript, No. 11 at p. 
12)
    NEMA agreed with using section 4.3 of ANSI C82.6-2005 that 
specifies vertical, base-up orientation unless specifically designed 
for another position. (NEMA, No. 21at p. 3) PG&E was supportive after 
learning that the default lamp orientation is vertical but if the lamp 
is designed to be operated in a non-vertical position, it shall be 
tested in this orientation. (NEMA, Public Meeting Transcript, No. 11 at 
p. 12) With the support of comments from these two interested parties, 
DOE

[[Page 10956]]

maintains that operating the lamp in a vertical, base-up orientation is 
the most stable in terms of operation of the lamp, and that the lamp 
operation directly corresponds to the power input of the lamp (power 
output of the ballast). Therefore, operating the lamp in the most 
stable orientation is essential for repeatable and reliable measurement 
of metal halide lamp ballast efficiency. DOE adopts the requirement 
that ballast efficiency tests be conducted with metal halide lamps in a 
vertical, base-up orientation unless the manufacturer specifies another 
orientation for that ballast and associated lamp combination.
b. Power Supply, Ambient Test Temperatures, and Instrumentation
    In the NOPR, DOE proposed that power supply characteristics, 
ambient test temperatures, and instrumentation requirements would all 
be as specified in section 4.0 of ANSI C82.6-2005. 74 FR 33171, 33176 
(July 10, 2009). DOE recognizes that specification of objective test 
setup characteristics is an important consideration in terms of 
producing reliable, repeatable, and consistent test results. These 
aspects of DOE's NOPR and interested party response to them are 
discussed below.
    Section 4.1 of ANSI C82.6-2005 requires that the root mean square 
(RMS) summation of harmonic components in the power supply be no more 
than 3 percent of the fundamental voltage and frequency components. 
Section 4.1 also requires that: (1) The impedance of the power source 
be no more than 3 percent of the specified ballast impedance; and (2) 
power supply devices used in the test circuits have a power rating at 
least five times the wattage of the lamp intended to operate on the 
ballast under test. These requirements provide reasonable stringency in 
terms of power quality because they are consistent with other 
comprehensive industry standards that regulate harmonic content and 
power supply impedance (e.g., ANSI C78.389-2004). Furthermore, these 
requirements would be readily achievable and would likely ensure 
repeatable and consistent measurements. During the December 2008 public 
meeting, NEMA commented that the requirement for impedance to the power 
source proposed by the test procedure of no more than 3 percent was too 
high. (NEMA, Public Meeting Transcript, No. 11 at p. 12) However, NEMA 
did not provide any rationale to explain its opinion, nor did it 
provide any supporting data. No additional information was received on 
this topic during the comment period. Therefore, DOE has not changed 
its position with respect to the impedance of the power source. 
Consequently, DOE is adopting the requirement as proposed in the NOPR.
    Section 4.2 in ANSI C82.6-2005 requires maintenance of an ambient 
temperature of 25 [deg]C 5 [deg]C to reduce potential 
ballast operating variances caused by large shifts in ambient 
temperature. Although ambient temperature is not considered critical to 
metal halide lamp operation and light output, it can affect lamp and 
ballast system electrical performance. Therefore, temperatures must be 
controlled for ballast efficiency testing to ensure repeatability and 
consistency of test results. In the NOPR, DOE also proposed to require 
that testing be performed in a draft-free environment. 74 FR 33171, 
33176 (July 10, 2009). DOE's proposed requirement acknowledged common 
industry practices whereby airflow is minimized near photometric 
testing equipment (e.g., through vent and air return locations, 
baffling of vents, and/or control of blower speed) in order to minimize 
forced convection cooling that could affect measured photometric and 
electrical data. NEMA noted that some movement of air is needed to 
prevent thermal stratification near the testing equipment, but 
acknowledged that airflow should be minimized. (NEMA, Public Meeting 
Transcript, No. 11 at p. 14) In response to DOE's proposal, NEMA stated 
that because current industry standards specify no requirement for 
draft-free conditions, DOE needs to provide a suitable reference on the 
conditions of a draft-free environment. NEMA commented further that if 
no definition is available, then the thermal test methods of C82.6-2005 
should be strictly applied, and this reference to a draft-free 
environment should be removed from the document. (NEMA, No. 21 at p. 1) 
DOE considered these comments and again reviewed the technical 
literature on this topic, finding that:
    1. Section 4.2, Ballast Conditions, of ANSI C82.6-2005 states, 
``For normal operational tests, the ambient temperature and the 
temperature of the ballast under test shall be 25 [deg]C 5 
[deg]C.'' DOE acknowledges that ANSI C82.6-2005 sets the temperature 
requirement, but not the air movement requirement. However, ANSI C82.6-
2005 lists 12 references in section 2.0 Normative References that, by 
their inclusion, are considered indispensable for application of the 
ANSI standard. DOE reviewed all of the normative references contained 
in ANSI C82.6-2005 and identified the references that are applicable to 
metal halide ballasts and lamps, as listed below by ANSI citation and 
not chronologically by date of publication.
    a. ANSI C78.43-2004, ``Single-Ended Metal-Halide Lamps,'' is 
applicable to this test procedure since it relates to metal halide 
lamps. Section 5.6.2, Warm-up Time, states, ``A bare lamp operating in 
still air at an ambient temperature 25 [deg]C 5 [deg]C (77 
[deg]C 9 [deg]C) under the conditions described in ANSI 
C78.389 shall reach the minimum voltage within the time period 
specified on the relevant data sheet.'' Other temperature and air 
conditions are considered in section 6.7, Lamp Operating Wattage, which 
states ``The operating wattage of a bare lamp, measured in its 
designated operating position on a ballast throughout its range of 
rated supply voltages in a still air ambient temperature of 25 [deg]C 
5 [deg]C (77 [deg]C 9 [deg]C), shall remain 
within the wattage limits of the relevant lamp data sheet. Lamps shall 
operate within these limits throughout the full range of lamp voltage 
tolerance.'' (It is noted that in 2007, ANSI C78.43 was updated; 
however, the temperature and airflow provisions at issue here did not 
change in ANSI C78.43-2007.)
    b. ANSI C78.389-2004, ``High-Intensity Discharge--Methods of 
Measuring Characteristics,'' section 3.3, Ambient Condition, states, 
``The ambient [condition] in which the lamp is operated shall be 
maintained at 25 [deg]C 5 [deg]C and shall be draft-free.''
    c. ANSI C82.4-2002, ``Ballasts for High-Intensity Discharge and Low 
Pressure Sodium Lamps,'' does not include any information regarding 
airflow.
    d. ANSI C82.9-1996, ``Definitions for High-Intensity Discharge and 
Low Pressure Sodium Lamps, Ballasts, and Transformer,'' does not 
mention and, therefore, does not define ``still air'' or ``draft 
free.''
    2. Section 4.2, Test Room, of IEC 62301 states that, ``The tests 
shall be carried out in a room that has an air speed close to the 
appliance under test of <= 0.5 m/s. The ambient temperature shall be 
maintained at (235) [deg]C throughout the test. Note: The 
measured power for some products and modes may be affected by the 
ambient conditions (e.g., illuminance, temperature).''
    3. DOE examined different Illuminating Engineering Society of North 
America's (IESNA) Lighting Measurement (LM) documents that focus on 
photometric and electrical measurements of either HID lamps or HID 
luminaires. DOE's review of applicable IESNA documents is listed

[[Page 10957]]

below by LM citation and not chronologically by date of publication.
    a. IESNA LM-31-95, ``Photometric Testing of Roadway Luminaires 
Using Incandescent Filament and High Intensity Discharge Lamps,'' 
states in section 4.1.3, Special Photometer Calibration, ``Calibration 
of HID lamps shall be performed in relatively draft free air at ambient 
temperature of 25 [deg]C (77 [deg]F) 5 [deg]C (9 [deg]F).''
    b. IESNA LM-35-02, ``IESNA Approved Method for Photometric Testing 
of Floodlights Using High Intensity Discharge or Incandescent Filament 
Lamps,'' states in section 3.2, Ambient Temperatures, ``The ambient 
temperature of the photometric laboratory shall be maintained at 25 
[deg]C 5 [deg]C (77 [deg]F 9 [deg]F).'' There 
is no mention of airflow in LM-35-02.
    c. IESNA LM-46-04, ``IESNA Approved Method for Photometric Testing 
of Indoor Luminaires Using High Intensity Discharge or Incandescent 
Filament Lamps,'' states in section 4.2, Ambient Temperature, ``For 
precise measurement of photometric and electric characteristics of 
luminaires with HID and incandescent lamps, the ambient temperature 
should be maintained at 25 [deg]C 5 [deg]C (77 [deg]F 
9 [deg]F). This temperature shall be measured at a point 
not more than 1.5 meters (5 feet) from the lamp or luminaire and at the 
same height as the lamp or luminaire. The temperature-sensing device 
shall be shielded from direct radiation of the light source.'' LM-46-04 
also includes requirements about air movement. Section 4.3, Air 
Movement, states, ``The luminaire (or test lamp during calibration) 
shall be tested in relatively still air. A maximum airflow of 0.08 
meters/second (15 ft./minute) is suggested.''
    d. IESNA LM-47-01, ``IESNA Approved Method for Life Testing of High 
Intensity Discharge (HID) Lamps,'' states in section 2.3 Temperature, 
``Ambient temperature should be controlled within the limits set by the 
lamp manufacturer and ballast manufacturer. When the recommended 
testing temperature range is exceeded, life testing should be 
suspended.'' LM-47-01 also includes information about airflow. Section 
2.4, Airflow, states, ``Airflow does not normally impact the 
performance of HID lamps. However, special test conditions such as 
unjacketed lamps operating in open areas may require consideration of 
this effect.''
    e. IESNA LM-51-00, ``IESNA Approved Method for the Electrical and 
Photometric Measurements of High Intensity Discharge Lamps,'' states in 
section 2.3, Air Movement, ``No special precautions against normal room 
air movements are necessary.''
    f. IESNA LM-73-04, ``IESNA Guide for Photometric Testing of 
Entertainment Lighting Luminaires Using Incandescent Filament Lamps or 
High Intensity Discharge Lamps,'' states in section 2.2, Ambient 
Temperatures, ``The ambient temperature of the photometric laboratory 
shall be maintained at 25 [deg]C 5 [deg]C (77 [deg]F 9 [deg]F).'' There is no mention of airflow in LM-73-04.
    DOE did not receive any negative comments regarding its proposed 
ambient temperature requirement. Although the ambient temperature 
requirements differ in IEC 62301 compared to ANSI C82.6 by 2 [deg]C, 
DOE is adopting the proposed temperature requirements in the NOPR. DOE 
believes that its ambient temperature requirement is largely consistent 
with the IEC standard, and furthermore, 25 [deg]C 5 [deg]C 
is the standard temperature for lighting measurements for a variety of 
light sources including HID, fluorescent, and light-emitting diodes.
    In summary, DOE found that airflow requirements vary across the 
technical literature. IEC 62301 sets an airflow of <= 0.5 m/s 
regardless of the technology. Neither ANSI C82.6-2005 nor the normative 
references listed in ANSI C82.6-2005 define either of the terms ``draft 
free'' or ``still air.'' IESNA LM-51-00, published in 2000, 
specifically states that no precautions for air movement are necessary. 
ANSI C78.389, published in 2004, requires ``draft-free,'' yet it does 
not define the term. LM-46-04, published in 2004, uses the term 
``relatively still air'' and provides the quantitative metric of ``0.08 
meters/second (15 ft./minute).'' DOE continues to believe that it is 
important to specify a maximum airflow requirement as part of the test 
conditions, as an acknowledgement of industry practices intended to 
minimize forced convection cooling that could affect measured 
photometric and electrical data. NEMA agreed that airflow should be 
minimized when conducting testing under the test procedure. Although 
DOE found conflicting information regarding airflow in the context of 
testing HID lamps and luminaires, DOE has decided to adopt the airflow 
metric from IEC 62301 (i.e., the airflow shall be <= 0.5 m/s) in 
today's final rule. DOE believes not only that this airflow value will 
achieve its intended purpose, but also that it is consistent with IEC 
62301 (the standard which DOE was directed to consider when developing 
this test procedure) and is in the range of differing airflow values 
and definitions DOE observed in its review of ANSI standards and IESNA 
test methods relevant to this type of equipment.
    Section 4.2, Ballast Conditions, of ANSI C82.6-2005 requires 
maintenance of ambient temperature but does not discuss ballast 
equilibrium. In the NOPR, DOE did not propose to require operation of 
the ballast until it reached equilibrium. However, NEMA commented that 
in a proposed revision to sections 4.2 and 4.4 of ANSI C82.6, the 
ballast would be required to reach equilibrium. (NEMA, No. 21 at p. 1) 
In response, DOE has considered this issue and concluded that operating 
the ballast until it reaches equilibrium will produce more reliable 
results. Therefore, in the final rule, DOE is adopting the language 
consistent with the following language supplied by NEMA: ``The ballast 
should be operated until it reaches equilibrium.'' (NEMA, No. 21 at p. 
2)
    In the NOPR, DOE proposed to adopt the instrumentation requirements 
prescribed in sections 4.5.1 and 4.5.3 of ANSI C82.6-2005 in order to 
ensure repeatability and consistency of test measurements. The ANSI 
requirements for digital voltmeters, ammeters, and wattmeters include a 
resolution of three and one-half digits and minimum basic 
instrumentation accuracy of 0.50 percent (i.e., one-half of 1 percent) 
of the reading from actual with true RMS capability. For analog 
instruments, the ANSI standard specifies that analog ammeters and 
voltmeters must have accuracies of  0.50 percent up to 800 
Hertz (Hz), and that analog wattmeters must have accuracies of  0.75 percent up to 1000 Hz for power factors of 50 percent to 
100 percent and  0.50 percent up to 125 Hz for ballasts 
with power factors between 0 and 20 percent. In the NOPR, to ensure a 
full range of coverage, DOE proposed to require all analog wattmeters 
used on ballasts with power factors less than 50 percent to same 
accuracy as those for ballasts with power factors less than 20 percent 
(i.e.,  0.50 percent up to 125 Hz). 74 FR 33171, 33176 
(July 10, 2009).
    NEMA agreed in general with the proposed instrumentation and 
requirements; however, the commenter argued that the DOE test procedure 
should only permit the use of digital instruments, because digital 
equipment offers improved repeatability and accuracy of measurement. 
(NEMA, No. 21 at p. 2) PG&E commented during the public meeting that 
ANSI allows both digital and analog instrumentation, but finds that 
digital instruments are the standard industry instrumentation and that 
analog instruments with low impedance and high accuracy are not common. 
(PG&E, Public Meeting

[[Page 10958]]

Transcript, No. 11, at pp. 19-20) No comments were received 
specifically addressing the instrument accuracies for any ballasts with 
power factors between 20 and 50 percent.
    DOE agrees that digital equipment offers improved repeatability and 
accuracy of measurement over analog equipment. However, DOE is 
concerned about the burden on manufacturers of requiring the use of 
only digital meters. Furthermore, DOE believes that although the 
digital meters do provide inherent benefits, analog meters are still 
able to provide sufficient accuracy and precision when used under the 
DOE the test procedure. Therefore, this final rule does not require use 
of measurement equipment that is limited to digital meters exclusively. 
Instead, the test procedure adopted today allows the flexibility of 
allowing interested parties to test using either a digital or an analog 
meter, as long as the device meets the precision requirements of this 
test procedure. Furthermore, in light of the absence of adverse 
comment, DOE is adopting the proposed instrument accuracies for 
ballasts with power factors between 20 percent and 50 percent in this 
final rule.
    Finally, section 4.5.1 instructs that only one analog instrument 
may be connected to the test circuit at one time to reduce impedance 
effects on the testing. As set forth in ANSI C82.6-2005, all these 
instrumentation requirements would facilitate repeatable and consistent 
testing and measurement. NEMA agreed with the proposed test connection 
requirements. (NEMA, No. 21 at p. 2) Since DOE did not receive any 
other comments on this issue and the only comment received agreed with 
the connection procedure proposed in the July 2009 NOPR, DOE is 
adopting the proposed connection requirements in this final rule.
c. Lamp Stabilization
    A 100-hour seasoning period is commonly used by manufacturers of 
high-intensity discharge lamp technologies to ensure that the initial, 
more-rapid depreciation in output caused by impurities has been 
surpassed.\5\ In the NOPR, DOE proposed to adopt the section 4.4 of 
ANSI C82.6-2005, which requires a 100-hour seasoning period (74 FR 
33171, 33177 (July 10, 2009)), and requested comments on whether a 
preferred alternative lamp seasoning lamp stabilization approach exists 
within the industry. Id. NEMA commented on lamp and ballast equilibrium 
and stabilization, but did not provide any comments specifically 
addressing lamp seasoning. Because DOE did not receive any comments to 
the contrary and because a 100-hour seasoning period is the industry 
standard, DOE is adopting this requirement in today's final rule.
---------------------------------------------------------------------------

    \5\ IESNA LM-54-99, ``Lamp Seasoning,'' is the lighting 
measurement (LM) document to which the industry refers for seasoning 
requirements for lamp and ballast photometric and electrical 
testing. Available at: http://www.ies.org/shop/.
---------------------------------------------------------------------------

    In the NOPR, DOE evaluated the requirements of the basic 
stabilization method prescribed in section 4.4.2 of ANSI C82.6-2005. 
Id. NEMA commented on basic stabilization and recommended that DOE 
adopt the revised ANSI C82.6 text regarding basic stabilization. (NEMA, 
No. 21 at p. 1) In order to respond to the comment, DOE compared the 
text of ANSI C82.6-2005 section 4.4.2 with the text supplied by NEMA of 
the expected revised ANSI C82.6 section 4.4.2. The text supplied by 
NEMA states that fast-acting or make-before-break switches are 
recommended. DOE finds this test procedure clarification helpful, and, 
therefore, as part of today's final rule, DOE is adopting the revised 
language suggested by NEMA regarding recommendations of switches to 
prevent the lamps from extinguishing during switchover.
    Operational stability has been defined as the lamp operating in a 
power equilibrium determined by three consecutive measurements, 5 
minutes apart, of the lamp power where the three readings are within 
2.5 percent. (NEMA, No. 21 at p. 2) In the NOPR, DOE proposed that the 
lamp and ballast system be considered stable for testing purposes when 
the lamp's electrical characteristics vary by no more than 3 percent in 
three consecutive 10- to 15-minute intervals measured after the minimum 
30-minute warm-up period specified in section 4.4.2 of ANSI C82.6-2005. 
74 FR 33171, 33177 (July 10, 2009). NEMA suggested language for an 
alternative stabilization method for electronic ballasts, which 
provided that the same lamp will be driven by the ballast under test 
until the ballast reaches operational stability. (NEMA, No. 21 at p. 2) 
DOE agrees with NEMA's suggestion above for revision of section 4.4.3.2 
of ANSI C82.6 because this provides more specificity for determining 
stability. DOE is adopting NEMA's suggested revision because this 
provides more specificity for determining stability. Rather than simply 
assuming that 15 minutes is sufficient to determine stability, the 
testing agent will take 3 measurements 5 minutes apart (3 times 5 
minutes = 15 minutes), and as long as the three readings are within the 
2.5-percent tolerance, then the testing agent can determine the ballast 
is operationally stable. Thus, DOE is adopting the requirement 
pertaining to operational stability in order to add more accuracy to 
the test procedure.
    In the NOPR, DOE proposed that electrical measurements should be 
taken within 2 minutes after the stabilization period. 74 FR 33171, 
33177 (July 10, 2009). NEMA commented that the current revised 
requirements of section 4.4.3.3 of ANSI C82.6 provide that the 
electrical measurements should be taken within 5 minutes after the 
stabilization period. (NEMA, No. 21 at p. 2) DOE agrees with NEMA's 
suggestion for revision of section 4.4.3.3 of ANSI C82.6. DOE believes 
that given the more technically rigorous definition of stability (as 
discussed in section III.B.1.c above), the measurements no longer need 
to be taken within 2 minutes after stabilization. Under the basic 
stabilization method, the measurements are taken within 5 minutes. DOE 
has concluded that further consistency would be provided by also 
requiring measurements to be taken within 5 minutes for the alternate 
stabilization method. Measurements will be taken within the same amount 
of time under either stabilization method. Moreover, DOE does not 
expect accuracy to be affected by changing the time period for the 
required measurements from 2 minutes to 5 minutes. This change in 
response to NEMA's comment is expected to maintain test accuracy, while 
reducing test burden. Therefore, in today's final rule, DOE is 
requiring measurements to be taken within 5 minutes after 
stabilization.
2. Test Measurements
    DOE requires that test measurements of metal halide lamp ballast 
operation be used in the calculation of ballast efficiency, as 
discussed in section III.B.3, ``Ballast Efficiency Calculation,'' of 
this document. This calculated ballast efficiency is an integral part 
of the metal halide lamp ballast test procedures established under 42 
U.S.C. 6293.
    In the NOPR, DOE proposed test measurements for metal halide lamp 
ballasts to require that ballast operation testing be conducted 
according to the same requirements set forth in section 6.10, ``Ballast 
Power Loss,'' of ANSI C82.6-2005. 74 FR 33171, 33177 (July 10, 2009). 
NEMA commented that measurements of ballast power losses should be 
based on the latest draft of ANSI C82.6 (now being revised by ANSI), 
but NEMA did not specify what aspects of the draft standard should be 
incorporated into DOE's test method. (NEMA, No. 21 at p. 3)

[[Page 10959]]

    DOE tried to find a current (as of winter 2009) draft of revised 
ANSI C82.6, but was unable to obtain a copy. Repeatedly, DOE was told 
by members of NEMA and the ANSI committee revising the document that 
the 2005 version of ANSI C82.6 is the latest draft. DOE learned that a 
revised version would not be published until at least March 2010. DOE 
received a copy of Draft 8 (dated April 15, 2009) in May 2009. 
DOE compared the text of section 6.10, Ballast Power Loss, in ANSI 
C82.6-2005 to the text in section 6.13, Ballast Power Loss, in ANSI 
C82.6 Draft-April 15, 2009. DOE found a total of 14 words different 
between the two versions of the text. More specifically, the 2005 
version uses the term ``potential coil'' in two places, as shown below 
in the 2009 draft text, with the bracketed language indicating the use 
in the 2005 version. The 2009 draft version also added the following 
text: ``The meters must measure using ranges that minimize these 
differences.'' With that introductory explanation, section 6.13, 
Ballast Power Loss, of ANSI C82.6 Draft-April 15, 2009 reads as 
follows:

    ``The power loss should be determined by the wattmeter (power 
analyzer) difference method, in which the output power is subtracted 
from the input power. If the instruments are connected as shown in 
Figure 2, either the voltmeter should be disconnected when the 
reading of input wattage is taken or a correction should be made to 
compensate for the power consumed by the voltmeter. It should also 
be noted that with the connections shown in Figure 2, the wattmeter 
reading will include the power consumed by the wattmeter itself 
[potential coil]. This power in the wattmeter [potential coil]; 
therefore, must be calculated and subtracted to obtain the actual 
input power. To minimize deviations in power loss calculations, it 
is recommended that where feasible the same wattmeter and the same 
potential and current ranges be used to measure both input and lamp 
watts. Note that in determining ballast losses, it must be kept in 
mind that when one accurate number is subtracted from a nearly equal 
accurate number, the percent error of difference may be very great. 
The deviation in watts loss figures may be as high as  
10%-15% when wattmeters with a stated accuracy of  0.5% 
are employed. The meters must measure using ranges that minimize 
these differences.''

    Thus, the ballast power loss section specifies measurements of 
output power to the lamp and input power to the ballast using a 
wattmeter, and it specifies the proper instrument connections. The 
section also provides the necessary guidance and methods for 
eliminating or compensating for the power consumption of a voltmeter 
(when connected) and the wattmeter. In summary, the ballast power loss 
section of ANSI C82.6-2005 provides a measurement of power using a 
well-defined, common electrical industry standard test with dedicated 
equipment.
    In general, DOE has decided to adopt the test measurement 
provisions proposed in the July 2009 NOPR in today's final rule. Based 
on the comparison between the published ANSI C82.6-2005 and the draft 
of the revision dated April 15, 2009, DOE found little substantive 
change between the ballast power loss sections. If new or more 
substantive changes occur in a later published revision of ANSI C82.6, 
DOE will consider revising the test procedure in the future. Other, 
specific comments on the proposed test measurement provisions are 
addressed immediately below.
    In the NOPR, DOE proposed using a wattmeter to measure ballast 
power. 74 FR 33171, 33177 (July 10, 2009). In its comments, NEMA 
indicated a preference for the use of a multi-channel wattmeter in 
order to minimize measurement uncertainty. (NEMA, No. 21 at p. 3) In 
response, DOE acknowledges that the use of a multi-channel wattmeter is 
one way to minimize measurement uncertainty, and notes that today's 
test procedure does allow for the use of multi-channel wattmeters. 
However, there are other ways of reducing uncertainty such as taking 
sequential measurements using the meter. Therefore, DOE does not find 
it necessary to require the use of a multi-channel wattmeter in the 
final rule.
    In the NOPR, DOE proposed that the wattmeter used when testing be a 
``true RMS wattmeter.'' 74 FR 33171, 33177 (July 10, 2009). NEMA 
objected to the use of the term ``true RMS wattmeter,'' arguing that 
there is no such thing as a ``true RMS wattmeter.'' NEMA stated that 
``[v]oltage and current measuring devices can provide true RMS values, 
but the power consumed is the time average of the instantaneous voltage 
and current waveforms, by definition, for any waveform.'' As a more 
technically-accurate alternative, NEMA suggested that DOE use the term 
``'wattmeter' capable of indicating true RMS power in watts''' could be 
used. (NEMA, No. 21 at p. 3) DOE acknowledges that a ``true RMS 
wattmeter'' does not exist and cannot require the use of a meter that 
does not exist. Therefore, DOE has adopted use of the expression 
``wattmeter capable of indicating true RMS power in watts'' in the 
final rule.
    In the NOPR, DOE proposed adopting the test circuit connection 
requirements of sections 4.5 and 6.10 of ANSI C82.6-2005 in the test 
procedure. 74 FR 33171, 33181 (July 10, 2009). NEMA expressed agreement 
with the proposed connection requirement in the July 2009 NOPR. (NEMA, 
No. 21 at p. 2) Because DOE received no other comments regarding 
connection requirements, DOE is adopting the requirements for 
connections proposed in the July 2009 NOPR in this final rule.
3. Ballast Efficiency Calculation
    In the NOPR, DOE proposed that ballast efficiency be calculated as 
the measured output power to the lamp divided by the measured input 
power to the ballast (Pout/Pin). DOE also 
proposed that the Pout and Pin terms be 
determined according to the Ballast Power Loss method described in 
section III.C.2, ``Test Measurements,'' of the NOPR, with both output 
and input power measured in accordance with section 6.10 of ANSI C82.6-
2005. 74 FR 33171, 33177 (July 10, 2009). DOE did not receive any 
comments on the ballast efficiency calculation. It is further noted 
that this measure of efficiency represents the metric used in the 
energy conservation standard prescribed by the statute. (42 U.S.C. 
6295(hh)(1)) This is a standard method of calculating efficiency. 
Therefore, for the above reasons; DOE is adopting Pout/
Pin as the ballast efficiency calculation in today's final 
rule.

C. Test Method for Measuring Standby Power of Metal Halide Lamp 
Ballasts

1. Overview of Test Method
    In relevant part, EPCA directs DOE to establish test procedures to 
include standby mode, ``taking into consideration the most current 
versions of Standards 62301 and 62087 of the International 
Electrotechnical Commission.'' (42 U.S.C. 6295(gg)(2)(A)) IEC Standard 
62087 applies to audio, video, and related equipment but not to 
lighting equipment. Thus, DOE has determined that IEC Standard 62087 is 
not suitable to be applied to this rulemaking. Instead, DOE developed 
today's test procedure to be consistent with IEC Standard 62301. In 
addition, to develop a test method that would be familiar to metal 
halide lamp ballast manufacturers, DOE also referenced language and 
methodologies presented in ANSI C82.6-2005, ``Ballasts for High-
Intensity Discharge Lamps--Methods of Measurement.''
    Generally, today's final rule adopts test procedure provisions for 
measuring standby power that include the following steps: (1) A signal 
is sent to the ballast instructing it to reduce light output to zero 
percent; (2) The main input power to the ballast is measured; and (3) 
The power from the control signal path is measured in one of three

[[Page 10960]]

ways, depending on how the signal from the control system is delivered 
to the ballast. Further detail on DOE's adopted methodology for 
measuring standby power of metal halide lamp ballasts is presented 
below. DOE did not receive any adverse comments on the test procedure's 
standby provisions as a whole, but it did receive comments on this 
topic pertaining to specific sections of the test procedure. These 
detailed comments will be addressed in the following sections.
2. Test Method and Measurements
    In the portion of the metal halide lamp ballast test procedure 
dealing with standby power measurement, the test procedure requires 
that a signal be sent to the ballast under test, instructing the 
ballast to have zero percent light output using the appropriate 
communication protocol or system for that unit. Next, the input power 
(in watts) to the ballast is measured in accordance with ANSI C82.6-
2005. Finally, the power from the ballast control signal path is 
measured using a method for an AC, DC, or PLC control signal path, 
consistent with the type of path that the ballast employs.
    The measurement of input power to the ballast from the main 
electricity supply during standby mode is based on the approach in ANSI 
C82.6-2005, section 6. This measurement parallels the approach DOE is 
requiring for measuring the active mode power consumption for input 
power (watts) to the ballast in accordance with ANSI C82.6-2005. Thus, 
test measurements of ballast input power are conducted in accordance 
with the appropriate sections of the industry test standard.
    As adopted in today's final rule at 10 CFR 431.324(c), 
manufacturers must measure the ballast's control signal power. DOE 
understands there are four possible ways of delivering a control signal 
to a metal halide lamp ballast: (1) A dedicated AC control signal wire; 
(2) a dedicated DC control signal wire; (3) a PLC control signal over 
the main supply input wires; and (4) a wireless control signal. DOE is 
interested in measuring the power consumed by the lighting control 
signal and is providing three methods for measuring that power, 
depending on which type of system is being used. As explained above, 
DOE did not propose in the NOPR to measure the power supplied to a 
ballast using a wireless control signal because DOE estimates that the 
power supplied to a ballast using a wireless signal would be very small 
(in milliwatts), difficult to measure, and unlikely to appreciably 
affect ballast power consumption. The three circuit diagrams in the 
final rule require measurement of the control signal power using either 
a wattmeter (for the AC control signal wiring and the PLC control 
signal) or a voltmeter and ammeter (for the DC control signal). DOE is 
incorporating three circuit diagrams at 10 CFR 431.324(c) in today's 
final rule to present clearly the intended methods of measurement for 
each type of control system communication protocol.
    The test procedure proposed in the July 2009 NOPR characterized 
metal halide lamp ballasts featuring standby mode as utilizing only one 
type of control signal connection. However, it is technically feasible 
for one metal halide lamp ballast to feature more than one type of 
control signal connection. Therefore, DOE has revised the language 
proposed in the NOPR for 10 CFR 431.324(c)(3) of the test procedure and 
is instead adopting the following clarified provision as part of 
today's final rule: ``The power from the control signal path will be 
measured using all applicable methods described'' in subsections 
(c)(3)(i)-(iii) of the test procedure (i.e., AC control signal, DC 
control signal, and PLC control signal) so that the procedure is 
capable of determining the maximum energy consumption of a metal halide 
lamp ballast in standby mode.
    DOE recognizes that measuring the power input into a ballast 
utilizing a PLC control signal will involve measurement of both the 
power being used by the ballast and the control signal power. During 
the public meeting, it was discussed that the PLC control signal would 
be a series of short bursts. These bursts would be expected to use less 
than a watt of power. (NEMA, Public Meeting Transcript, No. 11 at p. 
36) PG&E commented during the public meeting that it is not the PLC 
control signal that needs to be measured, but the standby power of the 
equipment receiving the signal. (PG&E, Public Meeting Transcript, No. 
11 at p. 36) However, DOE stated in response to PG&E that DOE wanted to 
make sure that there would not be a lost opportunity to account for it, 
to the extent a significant amount of energy is consumed by the control 
signal. (DOE, Public Meeting Transcript, No. 11 at p. 37)
    Therefore, in order to measure each of these powers, the equipment 
used must be able to measure the appropriate frequencies (i.e., 60 
hertz for the power used by the ballast and higher frequency for the 
control signal power). During the public meeting, DOE reasoned that in 
order to measure the control signal power and isolate the high-
frequency signal from the 60 hertz-signal, one would have to use a 
high-pass filter. (DOE, Public Meeting Transcript, No. 11 at p. 43) 
Therefore, the July 2009 NOPR required that ``[t]he wattmeter must have 
a frequency response that is at least 10 times higher than the PLC 
being measured to measure the PLC signal correctly. The wattmeter must 
also be high-pass filtered to filter out power a 60 Hz.'' 74 FR 33171, 
33185 (July 10, 2009). DOE received no comments regarding this filter 
during the comment period. However, as part of the fluorescent lamp 
ballast standby test procedure rulemaking, DOE did receive a comment 
from NEMA regarding PLC signals and proper equipment. In that comment, 
NEMA stated that equipment used to measure PLC power must be capable of 
measuring the appropriate frequencies, as the power distributed over 
the input ballast wiring would also include the PLC power. 74 FR 54445, 
54451 (Oct. 22, 2009). DOE's statement during the metal halide lamp 
ballast public meeting (December 2008) was consistent with the comment 
NEMA provided on the fluorescent ballast standby test procedure, and 
DOE believes that the situations regarding PLC signals are analogous 
for both types of ballasts. Thus, in order to account for PLC signal 
energy use, DOE has adopted the wattmeter requirements as proposed in 
the NOPR for PLC measurements in this final rule.
    The People's Republic of China (``P.R. China'') commented that DOE 
did not consider issues with electromagnetic compatibility associated 
with the PLC signal in the July 2009 NOPR. P.R. China is concerned that 
electromagnetic interference from the PLC signal could significantly 
affect the measurement of standby power. (P.R. China, No. 20 at p. 3) 
DOE understands that if the PLC signal were a very high-frequency 
signal (e.g., with a frequency in the megahertz (MHz) range), then the 
electromagnetic interference from the signal could affect the standby 
power measurement significantly (i.e., cause variances in the input 
power measurement by more than a watt). A similar comment was submitted 
by P.R. China regarding the fluorescent lamp ballast standby test 
procedure. DOE determined that PLC signals to fluorescent ballasts are 
on the order of 20 kilohertz (kHz). 74 FR 54445, 54451-52 (Oct. 22, 
2009). DOE notes that the Federal Communications Commission only 
regulates PLC measurements from 150 kHz to 30 MHz so that conducted 
emissions in this frequency range do not interfere with nearby radio 
receivers. (47 CFR 15 subpart B) At this time, DOE does not know of any 
metal halide lamp ballasts with PLC controls. Because shielding

[[Page 10961]]

PLC measurements from electromagnetic interference for ballasts is 
unnecessary for the reasons explained above, DOE has not modified the 
test procedure to include shielding in today's final rule. However, in 
the future, DOE will monitor the situation in the event a manufacturer 
develops a metal halide lamp ballast utilizing a PLC control signal.
3. Combining Measurements and Burden
    In the NOPR, DOE proposed to require equipment manufacturers 
subject to this rulemaking to take the two required measurements (i.e., 
the main input power and the control signal power in standby mode), but 
did not tell manufacturers how to combine these values or use them in 
equations pertaining to energy efficiency. 74 FR 33171, 33178 (July 10, 
2009). DOE received no comments regarding these measurements. DOE will 
study how best to use these measurements of standby mode power 
consumption in a separate rulemaking to review and possibly amend the 
energy conservation standards for metal halide lamp ballasts, which DOE 
is required to complete by January 1, 2012, pursuant to EISA 2007. (42 
U.S.C. 6295)(hh)(2)).
    DOE further notes that today's final rule is designed to produce 
results that measure standby power consumption in an accurate and 
repeatable manner, and should not be unduly burdensome on manufacturers 
to conduct. These objectives are expected to be met by the final rule, 
particularly given that it is based upon IEC 62301 and follows testing 
approaches used in ANSI C82.6-2005. Commenters raised a number of 
issues which could have bearing on the accuracy and repeatability of 
the results generated under the metal halide lamp ballast test 
procedure, but these issues have been fully addressed in today's final 
rule.

D. Scope of Applicability of Standby Power Test Procedure

    This rulemaking broadly addresses ballasts that operate metal 
halide lamp fixtures, but as explained below and in the July 2009 NOPR, 
the scope of applicability of the test procedure's standby provisions 
is expected to be more limited. 74 FR 33171, 33178 (July 10, 2009). 
After studying the market of commercially-available metal halide lamp 
ballasts and the statutory definition of ``standby mode,'' DOE is 
interpreting this mode as only applying to certain ballasts under 
certain operating conditions. Standby mode only applies to ballasts 
that incorporate some kind of lighting control system interface, 
because these ballasts appear to be the only ones that satisfy the EPCA 
definition of ``standby mode'' (which DOE is codifying into its 
regulations). Specifically, DOE found that only metal halide lamp 
ballasts with a lighting-control system interface can be ``connected to 
a main power source'' and ``facilitate the activation or deactivation 
of other functions (including active mode) by remote switch (including 
remote control), internal sensor, or timer.'' (42 U.S.C. 
6295(gg)(1)(A)(iii)) Many of these ballasts are designed with advanced 
circuitry that adds features, including intelligent operation.\6\ As 
discussed in section III.A above, one example of these ballasts would 
be a DALI-enabled ballast. DALI-enabled ballasts have internal 
circuitry that is fundamentally part of the ballast design that remains 
active and consumes energy, even when the ballast is not operating any 
lamps. DOE is unaware of any types of ballasts, other than those with a 
lighting-control system interface that would perform standby functions.
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    \6\ ``Intelligent operation'' means a device which is able to 
receive information, evaluate that information, and take appropriate 
action based upon that information. For example, certain ballasts 
contain a circuit which, when it receives a signal, then takes 
action to dim light output to a certain level or to switch off the 
lamp (or other action).
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    As explained above, not all metal halide lamp ballasts need to be 
tested for standby mode power, because many ballast designs do not meet 
the statutory definition for operation in standby mode. In fact, most 
metal halide lamp ballasts sold today are not capable of operating in 
standby mode, rendering the standby provisions of the test procedure 
inapposite in terms of those units. Generally, these excluded ballasts 
are ones that are not active components of a lighting control system; 
instead, they are controlled simply by having the active power 
disconnected through use of a manual switch, occupancy sensor, or other 
system. For these ballasts, light output is reduced to zero percent by 
disconnecting the main power. However, the ballast would not be in 
standby mode, as defined by EPCA, because it is no longer connected to 
a main power source. Thus, the metal halide lamp ballasts subject to 
standby mode power measurements are those that incorporate some 
electronic circuit or auxiliary device enabling the ballast to 
communicate with and be part of a lighting control system (e.g., stand-
alone photosensor and ballast or a centralized system). NEMA accepted 
the DOE approach to apply the standby mode test procedure to metal 
halide lamp ballasts that incorporate a circuit to enable the ballast 
to communicate with lighting control systems. (NEMA, No. 21. at. p. 4) 
In light of the above, DOE is adopting this approach as part of today's 
final rule.

E. Effective Date of Standby Mode Test Method

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

[[Page 10962]]

would remove the limitation in 10 CFR 431.324(c)). However, DOE notes 
that on or after a date 180 days after the date of publication of this 
final rule, for any representations made about standby mode energy 
consumption for these products, the standby provisions of this test 
procedure must be used to measure standby power. (42 U.S.C. 6293(b)(18) 
and (c)(2))

F. Units To Be Tested

    Accurate testing of metal halide lamp ballasts requires a 
statistically meaningful sample of test units to certify that the true 
mean efficiency of a basic model meets or exceeds the applicable energy 
conservation standard. In an effort to meet this testing need and to 
reduce the testing burden on manufacturers, DOE considered four factors 
in developing sample size requirements for the approach proposed in its 
July 2009 NOPR: (1) Providing a highly statistically valid probability 
that a basic model tested meets applicable energy conservation 
standards; (2) providing a highly statistically valid probability that 
a manufacturer preliminarily found to be in noncompliance will actually 
be in noncompliance; (3) assuring compatibility with other sampling 
plans DOE has promulgated; and (4) minimizing manufacturers' testing 
time and costs. 74 FR 33171, 33179 (July 10, 2009).
    In the July NOPR, DOE proposed a sampling method similar to the 
method established for fluorescent ballasts (see 56 FR 18677, 18682 
(April 24, 1991)). At least four ballasts randomly selected would be 
tested, and a 99-percent confidence limit would be applied. DOE 
received few comments regarding the units to be tested; therefore, DOE 
is adopting the proposed language with minor modifications. Comments on 
this topic and related modifications are discussed below.
    In the NOPR, DOE proposed using coefficients of 0.99 for the lower 
percent confidence limit and 1.01 for the upper confidence limit. 74 FR 
33171, 33179 (July 10, 2009). No comments were received regarding the 
coefficients. The coefficients are intended to reasonably reflect 
variations in material and in the manufacturing and testing processes. 
This statistical process applies an industry standard 99-percent 
confidence level commonly used for evaluation of large populations and 
is the confidence level applied to other DOE test procedures for 
products and equipment subject to energy conservation standards, such 
as compact fluorescent lamps and external power supplies. Therefore, in 
today's final rule DOE adopts the coefficients presented in the NOPR.
    DOE received two comments from interested parties on the 
measurement of units to be tested. First, NEMA stated that it accepts 
the proposed sampling procedure consistent with the approach DOE 
adopted for fluorescent lamp ballasts. This sampling procedure includes 
randomly selected ballast samples, not less than four, to calculate the 
represented value of energy efficiency and to apply the 99-percent 
confidence limits as proposed. Additionally, NEMA suggested replacing 
the term ``calculated value of energy efficiency'' with use of 
``represented value of energy efficiency'' throughout the test 
procedure. (NEMA, No. 21 at p. 6) DOE notes that in the NOPR, it had 
used the phrase ``calculated value of energy efficiency'' in the 
preamble section of the NOPR, and the phrase ``represented value of 
energy efficiency'' in the regulatory text. DOE also notes that for 
fluorescent lamp ballasts, the phrase ``represented value of energy 
efficiency'' is used throughout; therefore, DOE is adopting this phrase 
and will use it consistently in today's final rule, as suggested by the 
commenter.
    Second, P.R. China commented that the sampling procedure proposed 
for metal halide lamp ballasts is based on the current sampling 
procedure used by DOE for fluorescent lamp ballasts. Because there are 
some differences between a fluorescent lamp ballast and a metal halide 
lamp ballast, P.R. China requested that DOE provide further comment on 
the applicability of the sampling procedure for fluorescent lamp 
ballasts to metal halide lamp ballasts. (P.R. China, No. 20 at p. 3) In 
response, DOE acknowledges that the sampling procedure is consistent 
with the approach DOE has used for fluorescent lamp ballasts. The 
sample size that DOE is adopting in this final rule is a minimum of 
four. The number of tests must increase until the results meet this 
rule's requirements, meaning that if the first four samples tested do 
not have a represented value of energy efficiency within the mean of 
the sample divided by the applicable coefficient, the manufacturer must 
continue testing samples until the represented value of energy 
efficiency is satisfied or the manufacturer cannot submit the data for 
compliance and certification. DOE believes that any differences between 
metal halide lamp ballasts and fluorescent lamp ballasts will be 
alleviated by the degree of the confidence limit (i.e., 99-percent).
    Accordingly, in light of the above considerations and comments, DOE 
is adopting the sampling procedure below for testing metal halide lamp 
ballast energy efficiency. The adopted procedure for metal halide lamp 
ballasts is consistent with the approach used for fluorescent lamp 
ballasts and requires randomly selecting and testing a sample of 
production units (not fewer than four) of a representative basic model. 
A simple average of the values would be calculated, which would be the 
actual mean value of the sample. For each representative model, a 
sample of sufficient size (no less than four) would be selected at 
random and tested to ensure that:
    1. The represented value of energy efficiency is no less than the 
higher of the mean of the sample or the upper 99-percent confidence 
limit of the true mean divided by 1.01.
    2. The represented value of energy efficiency is no greater than 
the lower of the mean of the sample or the lower 99-percent confidence 
limit of the true mean divided by 0.99.

G. Submission of Data

    Metal halide lamp fixture manufacturers have been required to 
comply with the statutory standards in EISA 2007 regarding ballast 
efficiency since January 1, 2009. However, since a final test procedure 
has not been published until this final rule, manufacturers could not 
submit data demonstrating compliance. In the NOPR, DOE proposed that 
the manufacturer, or other entity performing the test on behalf of the 
manufacturer, would be required to provide certification in a report 
submitted before a date one year after publication of the test 
procedure final rule, which would include for each basic model: (1) The 
equipment type; (2) manufacturer's name; (3) private labeler's name(s) 
(if applicable); and (4) manufacturer's model number(s). 74 FR 33171, 
33180 (July 10, 2009). NEMA accepted the DOE proposal for data 
submission by certification report. (NEMA, No. 21 at p. 6) Given the 
absence of any adverse comment, DOE is adopting the submission of data 
requirements proposed in the NOPR as part of this final rule.
    Specifically, in submitting the report, manufacturers certify that 
the testing was completed in accordance with the applicable test 
requirements prescribed pursuant to 42 U.S.C. 6293(b) of EPCA, as 
amended. Any change to a basic model that changes energy consumption 
constitutes a new basic model. If such a change reduces consumption, 
the new model would be considered in compliance with the standard 
without any additional testing. However, if such

[[Page 10963]]

a change increases consumption while meeting the standard, then all 
certification information applicable to testing of the new basic model 
would be required to be submitted.

H. Enforcement Provisions

    A Federal energy conservation standard became effective for metal 
halide lamp ballasts on January 1, 2009; therefore, use of the 
appropriate application of the testing procedure for this equipment for 
purposes of compliance with and enforcement of the efficiency 
requirements is required upon the effective date of this final rule. In 
the NOPR, DOE proposed applying to metal halide lamp ballasts the same 
basic requirements for enforcement currently in place for other 
lighting equipment. 74 FR 33171, 33180 (July 10, 2009). NEMA commented 
that it recognized and supported the need for inclusion of enforcement 
provisions for verification of energy efficiency claims. (NEMA, No. 21 
at p. 6) As part of today's final rule, DOE is adopting the proposed 
testing certification as presented in the NOPR.
    If DOE receives written information about the performance of metal 
halide lamp ballasts indicating that one or more basic models may not 
be in compliance with the energy conservation standard, DOE may conduct 
independent testing of those basic models. The results of this testing 
would serve as the basis for any enforcement actions related to the 
application of these metal halide lamp ballast test procedures.

I. Provisions for Compliance, Certification, and Enforcement

    The purpose of establishing compliance, certification, and 
enforcement regulations is to provide reasonable assurance that 
manufacturers appropriately test and accurately represent the 
performance characteristics of covered equipment. Accordingly, today's 
final rule specifies certification, compliance, and enforcement 
requirements for ballasts that are part of metal halide lamp fixtures. 
It is noted that DOE plans to address certification, compliance, and 
enforcement provisions for all consumer products and commercial and 
industrial equipment covered by EISA 2007 in a separate proceeding, a 
rulemaking which would not only provide a centralized location for 
those provisions but which would also promote consistency of such 
requirements. At that time, DOE will consider moving the certification, 
compliance, and enforcement provisions being adopted in today's final 
rule to a different section in the CFR dedicated to compliance, 
certification, and enforcement.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

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

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq., as amended by 
the Small Business Regulatory Enforcement Fairness Act of 1996) 
requires preparation of an initial regulatory flexibility analysis for 
any rule that, by law, must be proposed for public comment, unless the 
agency certifies that the proposed rule, if promulgated, will not have 
a significant economic impact on a substantial number of small 
entities. A regulatory flexibility analysis examines the impact of the 
rule on small entities and considers alternative ways of reducing 
negative effects. Also, as required by Executive Order 13272, ``Proper 
Consideration of Small Entities in Agency Rulemaking,'' 67 FR 53461 
(August 16, 2002), DOE published procedures and policies on February 
19, 2003, to ensure that the potential impact of its rules on small 
entities are properly considered during the DOE rulemaking process. 68 
FR 7990. DOE made its procedures and policies available on the Office 
of the General Counsel's Web site at http://www.gc.doe.gov.
    Today's final rule adopts test procedures that are to be used to 
determine compliance with the energy conservation standard for certain 
metal halide lamp fixtures. DOE reviewed today's final rule under the 
provisions of the Regulatory Flexibility Act and the policies and 
procedures published on February 19, 2003. For the reasons explained in 
the July 2009 NOPR, DOE certified that the proposed rule would not have 
a significant economic impact on a substantial number of small entities 
manufacturing the equipment that are the subject of this rulemaking. 74 
FR 33171, 33182 (July 10, 2009).
    The test procedure incorporates by reference provisions from ANSI 
Standard C82.6-2005 for the measurement of ballast efficiency. ANSI 
Standard C82.6-2005 is the current and active industry testing standard 
for metal halide lamp ballasts. In referencing this industry test 
method, DOE anticipates that there would be no incremental increase in 
testing cost or burden for covered equipment. Manufacturers are 
familiar with the application of ANSI Standard C82.6-2005 and should 
have the equipment necessary to conduct the performance measurements. 
Furthermore, DOE understands that manufacturers of covered equipment 
are using this industry test method when they make any representation 
of their product's efficiency in the public domain.
    Today's final rule also establishes a methodology for the 
measurement of standby mode power consumption for certain metal halide 
lamp fixtures. DOE based its method on techniques and approaches in 
ANSI Standard C82.6-2005 and IEC Standard 62301. DOE uses the same test 
equipment, accuracy requirements, and test conditions from ANSI 
Standard C82.6-2005. Although DOE is unaware of any metal halide lamp 
ballasts commercially available today that are capable of operating in 
standby mode, ballasts incorporating features that may encounter 
standby mode may enter the market as they have for fluorescent lamp 
ballasts. Due to the fact that DOE's method is based on the industry 
standards and does not exceed the equipment and accuracy 
recommendations in NEMA's comments (see III.A, in the discussion of 
``ballast efficiency''), DOE does not believe the standby mode test 
procedure will add significant costs. Of the two measurements required 
in the standby mode test procedure, the Pin measurement is 
common to both the active mode and the standby mode test procedure. 
Measurement of the control signal is a minimal additional test, but one 
that technicians can conduct with measurement equipment readily 
available.
    Accordingly, DOE has not prepared a regulatory flexibility analysis 
for this rulemaking. DOE's certification and supporting statement of 
factual basis was provided to the Chief Counsel for Advocacy of the 
Small Business Administration for review under 5 U.S.C. 605(b). DOE did 
not receive any comments regarding the impact on small business 
manufacturers of metal halide lamp fixtures. Thus, DOE reaffirms and 
certifies that this rule will have no significant economic impact on a 
substantial number of small entities.

C. Review Under the Paperwork Reduction Act of 1995

    Today's final rule would require each manufacturer of metal halide 
lamp

[[Page 10964]]

fixtures (i.e., fixtures that incorporate metal halide lamp ballasts), 
or entity performing tests on behalf of the manufacturer, to maintain 
records about how they determined the energy efficiency measurement--
and on the date of any amended standards incorporating standby power 
usage, standby power mode energy consumption measurement--of their 
equipment (see regulatory language at 10 CFR Part 431 subpart S). The 
rule also requires each manufacturer to make a one-time submission to 
DOE, stating that it is complying with the applicable energy 
conservation standards and test procedures, in addition to 
certification reports that set forth the energy performance of each 
basic model that it manufactures. The certification reports to DOE are 
submitted one time for each basic model, either when the requirements 
go into effect or when the manufacturer begins distribution of a new 
basic model. The collection of information is necessary for 
implementing and monitoring compliance with the efficiency standards 
and testing requirements for metal halide lamp fixtures, as mandated by 
EPCA. Manufacturers would become subject to these reporting and 
certification requirements once both a final rule for the metal halide 
lamp ballast test procedure and a standard for the metal halide lamp 
fixture energy conservation standard are effective. The metal halide 
lamp fixture energy conservation standard referenced earlier is already 
effective (EISA 2007). Upon the effective date of this final rule, 
manufacturers would become subject to these reporting and certification 
requirements.
    DOE estimates the total annual reporting and recordkeeping burden 
imposed on manufacturers of metal halide lamp fixtures by today's 
proposed rule would be 23,680 hours per year. DOE estimates that the 
number of covered manufacturing firms would be approximately 148, and 
the total annual recordkeeping burden from compliance with the proposed 
rule would be 160 hours per company. Thus, 148 firms x 160 hours per 
firm = 23,680 hours per year. In developing this burden estimate, DOE 
considered that each manufacturer is required to comply with the energy 
conservation standards for metal halide lamp fixtures set by the 
statute for ballasts manufactured on or after the effective date of the 
relevant statutory provisions (i.e., January 1, 2009). DOE understands 
that manufacturers already maintain the types of records the final rule 
would require them to keep, and believes the collection of information 
required by this final rule is the least burdensome method of meeting 
the statutory requirements and achieving the program objectives of the 
compliance certification program for these products and equipment.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid OMB control number. DOE will submit this information 
collection request to OMB for review and approval. Notice of OMB 
approval and the control number will be published in the Federal 
Register.

D. Review Under the National Environmental Policy Act

    DOE is establishing a final rule for metal halide lamp ballast test 
procedure that it expects will not only be used to test under current 
standards, but which would also be used to develop and implement future 
energy conservation standards for metal halide lamp ballasts. DOE has 
determined that this final rule falls into a class of actions that are 
categorically excluded from review under the National Environmental 
Policy Act of 1969 (Pub. L. 91-190, codified at 42 U.S.C. 4321 et 
seq.), and DOE's implementing regulations at 10 CFR part 1021. 
Specifically, this final rule would adopt existing industry ballast 
test procedures, so it would not affect the amount, quality, or 
distribution of energy usage, and, therefore would not result in any 
significant effect on the human environment. Thus, this rulemaking is 
covered by Categorical Exclusion A6 under 10 CFR part 1021, subpart 
D.\7\ Accordingly, neither an environmental assessment nor an 
environmental impact statement is required.
---------------------------------------------------------------------------

    \7\ Categorical Exclusion A6 provides, ``Rulemakings that are 
strictly procedural, such as rulemaking (under 48 CFR part 9) 
establishing procedures for technical and pricing proposals and 
establishing contract clauses and contracting practices for the 
purchase of goods and services, and rulemaking (under 10 CFR part 
600) establishing application and review procedures for, and 
administration, audit, and closeout of, grants and cooperative 
agreements.''
---------------------------------------------------------------------------

E. Review Under Executive Order 13132

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

F. Review Under Executive Order 12988

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

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) (Pub. 
L. 104-4, codified at 2 U.S.C. 1501 et seq.) requires each Federal 
agency to assess the effects of Federal regulatory actions on State, 
local, and Tribal governments

[[Page 10965]]

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

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

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

I. Review Under Executive Order 12630

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

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

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

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated a final rule or is expected to lead to 
promulgation of a final rule, and that: (1) Is a significant regulatory 
action under Executive Order 12866, or any successor order; and (2) is 
likely to have a significant adverse effect on the supply, 
distribution, or use of energy; or (3) is designated by the 
Administrator of OIRA as a significant energy action. For any proposed 
significant energy action, the agency must give a detailed statement of 
any adverse effects on energy supply, distribution, or use if the 
proposal is implemented, and of reasonable alternatives to the action 
and their expected benefits on energy supply, distribution, and use. 
Today's final rule is not a significant regulatory action under 
Executive Order 12866. Moreover, it would not have a significant 
adverse effect on the supply, distribution, or use of energy and has 
not been designated a significant energy action by the Administrator of 
OIRA. Therefore, DOE determined that this rule is not a significant 
energy action. Accordingly, DOE has not prepared a Statement of Energy 
Effects for this rulemaking.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101, et seq.), DOE must comply with section 
32 of the Federal Energy Administration Act of 1974 (Pub. L. 93-275), 
as amended by the Federal Energy Administration Authorization Act of 
1977 (Pub. L. 95-70). (15 U.S.C. 788) Section 32 provides that, where a 
proposed rule authorizes or requires use of commercial standards, the 
NOPR must inform the public of the use and background of such 
standards. In addition, section 32(c) requires DOE to consult with the 
Attorney General and the Federal Trade Commission (FTC) about the 
effect of the commercial or industry standards on competition.
    Today's final rule incorporates testing methods contained in the 
following commercial standards: ANSI C82.6-2005, ``American National 
Standard for Lamp Ballasts--Ballasts for High-Intensity Discharge 
Lamps--Methods of Measurement, 2005.'' DOE has evaluated these revised 
standards and is unable to conclude whether they fully comply with the 
requirements of section 32(b) of the Federal Energy Administration Act 
(i.e., that they were developed in a manner that fully provides for 
public participation, comment, and review). DOE has consulted with the 
Attorney General and the Chairman of the FTC concerning the affect on 
competition of requiring manufacturers to use the test methods 
contained in these standards, and neither recommended against 
incorporation of these standards.

M. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of today's rule before its effective date. The report will 
state that it has been determined that the rule is not a ``major rule'' 
as defined by 5 U.S.C. 801(2).

V. Approval of the Office of the Secretary

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

List of Subjects in 10 CFR Part 431

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

    Issued in Washington, DC, on February 19, 2010.
Cathy Zoi,
Assistant Secretary, Energy Efficiency and Renewable Energy.

0
For the reasons stated in the preamble, DOE amends part 431 of chapter 
II of title 10, of the Code of Federal Regulations, to read as set 
forth below.

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

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

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


[[Page 10966]]



0
2. Section 431.321 is revised to read as follows:

Subpart S--Metal Halide Lamp Ballasts and Fixtures


Sec.  431.321  Purpose and scope.

    This subpart contains energy conservation requirements for metal 
halide lamp ballasts and fixtures, pursuant to Part A of Title III of 
the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-
6309.


0
3. Section 431.322 is amended by:
0
a. Removing from paragraph 5 of the definition of ``Ballast 
Efficiency'' ``2 kHz'' and adding ``2.4 kHz'' in its place, and
0
b. Adding, in alphabetical order, definitions for ``AC control 
signal,'' ``Active mode,'' ``Ballast,'' ``Basic model,'' ``DC control 
signal,'' ``Electronic ballast,'' ``Off mode,'' ``PLC control signal,'' 
``Standby mode,'' and ``Wireless control signal'' to read as follows:


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

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


Sec.  431.323  [Amended]

0
4. Section 431.323 is amended by adding to the end of paragraph (b)(2) 
``and Sec.  431.324''.

0
5. Section 431.324 is amended by revising the section heading, revising 
paragraph (b), and adding paragraph (c) to read as follows:


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

* * * * *
    (b) Testing and Calculations Active Mode. (1)(i) Test Conditions. 
The power supply, ballast test conditions, lamp position, lamp 
stabilization, and test instrumentation shall all conform to the 
requirements specified in section 4.0, ``General Conditions for 
Electrical Performance Tests,'' of ANSI C82.6 (incorporated by 
reference; see Sec.  431.323). Ambient temperatures for the testing 
period shall be maintained at 25 [deg]C  5 [deg]C. Airflow 
in the room for the testing period shall be <=0.5 meters/second. The 
ballast shall be operated until equilibrium. Lamps used in the test 
shall conform to the general requirements in section 4.4.1 of ANSI 
C82.6 and be seasoned for a minimum of 100 hour prior to use in ballast 
tests. Basic lamp stabilization shall conform to the general 
requirements in section 4.4.2 of ANSI C82.6, and stabilization shall be 
reached when the lamp's electrical characteristics vary by no more than 
3-percent in three consecutive 10- to 15-minute intervals measured 
after the minimum burning time of 30 minutes. After the stabilization 
process has begun, the lamp shall not be moved or repositioned until 
after the testing is complete. In order to avoid heating up the test 
ballast during lamp stabilization, which could cause resistance changes 
and result in unrepeatable data, it is necessary to warm up the lamp on 
a standby ballast. This standby ballast should be a commercial ballast 
of a type similar to the test ballast in order to be able to switch a 
stabilized lamp to the test ballast without extinguishing the lamp. 
Fast-acting or make-before-break switches are recommended to prevent 
the lamps from extinguishing during switchover.
    (ii) Alternative Stabilization Method. In cases where switching 
without extinguishing the lamp is impossible or for low-frequency 
electronic ballasts, the following alternative stabilization method 
shall be used. The lamp characteristics are determined using a 
reference ballast and recorded for future comparison. The same lamp is 
to be driven by the ballast under test until the ballast reaches 
operational stability. Operational stability is defined by three 
consecutive measurements, 5 minutes apart, of the lamp power where the 
three readings are within 2.5 percent. The electrical measurements are 
to be taken within 5 minutes after conclusion of the stabilization 
period.
    (2) Test Measurement. The ballast input power and lamp output power 
during operating conditions shall be measured in accordance with the 
methods specified in section 6.0, ``Ballast Measurements (Multiple-
Supply Type Ballasts)'' of the ANSI C82.6 (incorporated by reference; 
see Sec.  431.323).
    (3) Efficiency Calculation. The measured lamp output power shall be 
divided by the ballast input power to determine the percent efficiency 
of the ballast under test.
    (c) Testing and Calculations-Standby Mode. The measurement of 
standby mode need not be performed to determine compliance with energy 
conservation standards for metal halide lamp fixtures at this time. The 
above statement will be removed as part of the rulemaking to amend the 
energy conservation standards for metal halide lamp fixtures to account 
for standby mode energy consumption, and the following shall apply on 
the compliance date for such requirements. However, all representations 
related to standby mode energy consumption of these products made after 
September 7, 2010, must be

[[Page 10967]]

based upon results generated under this test procedure.
    (1) Test Conditions. The power supply, ballast test conditions, and 
test instrumentation shall all conform to the requirements specified in 
section 4.0, ``General Conditions for Electrical Performance Tests,'' 
of the ANSI C82.6 (incorporated by reference; see Sec.  431.323) 
Ambient temperatures for the testing period shall be maintained at 25 
[deg]C  5 [deg]C. Send a signal to the ballast instructing 
it to have zero light output using the appropriate ballast 
communication protocol or system for the ballast being tested.
    (2) Measurement of Main Input Power. Measure the input power 
(watts) to the ballast in accordance with the methods specified in 
section 6.0, ``Ballast Measurements (Multiple-Supply Type Ballasts)'' 
of the ANSI C82.6 (incorporated by reference; see Sec.  431.323).
    (3) Measurement of Control Signal Power. The power from the control 
signal path is measured using all applicable methods described below:
    (i) DC Control Signal. Measure the DC control signal voltage, using 
a voltmeter (V), and current, using an ammeter (A) connected to the 
ballast in accordance with the circuit shown in Figure 1. The DC 
control signal power is calculated by multiplying the DC control signal 
voltage by the DC control signal current.
[GRAPHIC] [TIFF OMITTED] TR09MR10.005

    (ii) AC Control Signal. Measure the AC control signal power 
(watts), using a wattmeter capable of indicating true RMS power in 
watts (W), connected to the ballast in accordance with the circuit 
shown in Figure 2.
[GRAPHIC] [TIFF OMITTED] TR09MR10.006

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

[[Page 10968]]

[GRAPHIC] [TIFF OMITTED] TR09MR10.007


0
6. Section 431.325 is added to subpart S to read as follows:


Sec.  431.325  Units to be tested.

    For each basic model of metal halide lamp ballast selected for 
testing, a sample of sufficient size, no less than four, shall be 
selected at random and tested to ensure that:
    (a) Any represented value of estimated energy efficiency calculated 
as the measured output power to the lamp divided by the measured input 
power to the ballast (Pout/Pin), of a basic model 
is no less than the higher of:
    (1) The mean of the sample, or
    (2) The upper 99-percent confidence limit of the true mean divided 
by 1.01. (b) Any represented value of the energy efficiency of a basic 
model is no greater than the lower of:
    (1) The mean of the sample, or
    (2) The lower 99-percent confidence limit of the true mean divided 
by 0.99.


0
7. Sections 431.327, 431.328, 431.329 and Appendices A, B, and C are 
added to Subpart S to read as follows:


Sec.  431.327  Submission of data.

    (a) Certification. (1) Except as provided in paragraph (a)(2) of 
this section, each manufacturer or private labeler, before distributing 
in commerce any basic model of equipment covered by this subpart and 
subject to an energy conservation standard set forth in this part, 
shall certify by means of a compliance statement and a certification 
report that each basic model meets the applicable energy conservation 
standard.
    (2) Each manufacturer or private labeler of a basic model of metal 
halide lamp ballast shall file a compliance statement and its first 
certification report with DOE on or before March 9, 2011.
    (3) Amendment of information. If information in a compliance 
statement or certification report previously submitted to the 
Department under this section is found to be incorrect, each 
manufacturer or private labeler (or an authorized representative) must 
submit the corrected information to the Department at the address and 
in the manner described in this section.
    (4) Third-party representatives. Each manufacturer or private 
labeler shall notify the Department when designating a third-party 
representative and shall notify the Department of any changes of third-
party representatives which is to be sent to the Department at the 
address and in the manner described in this section.
    (5) Compliance statement. Each manufacturer or private labeler need 
submit its compliance statement once. Such statement shall include all 
required information specified in the format set forth in Appendix A of 
this subpart and shall certify, with respect to each basic model 
currently produced by the manufacturer and all new basic models it 
introduces in the future, that:
    (i) Each basic model complies and will comply with the applicable 
energy conservation standard;
    (ii) All representations as to efficiency in the manufacturer's 
certification report(s) are and will be based on testing conducted in 
accordance with the applicable test requirements prescribed in this 
subpart;
    (iii) All information reported in the certification report(s) is 
and will be true, accurate, and complete; and
    (iv) The manufacturer or private labeler is aware of the penalties 
associated with violations of the Act, the regulations thereunder, and 
18 U.S.C. 1001, which prohibits knowingly making false statements to 
the Federal Government.
    (6) Certification report. Each manufacturer must submit to DOE a 
certification report for each of its metal halide lamp ballast basic 
models. The certification report (for which a suggested format is set 
forth in Appendix B of this subpart) shall include for each basic model 
the product type, product class, manufacturer's name, private labeler's 
name(s) (if applicable), the manufacturer's model number(s), and the 
ballast efficiency in percent. A single certification report may be 
used to report required information for multiple basic models.
    (7) Copies of reports to the Federal Trade Commission that include 
the information specified in paragraph (a)(6) of this section could 
serve in lieu of the certification report.
    (b) Model modifications. Any change to a basic model that affects 
energy consumption constitutes the addition of a new basic model. If 
such a change reduces energy consumption, the new model shall be 
considered in compliance with the standard without any additional 
testing. If, however, such a change increases energy consumption while 
meeting the standard, then the manufacturer must submit all information 
required by paragraph (a)(6) of this section for the new basic model.
    (c) Discontinued models. A manufacturer shall report to the 
Department a basic model whose production has ceased and is no longer 
being distributed. For each basic model, the report shall include: 
equipment type, equipment class, the manufacturer's name, the private 
labeler's name(s) (if applicable), and the manufacturer's model number. 
If the reporting of discontinued models coincides with the submittal of 
a certification report, such information can be included in the 
certification report.
    (d) Third-party representation. A manufacturer or private labeler 
may elect to use a third party (such as a trade association or other 
authorized representative) to submit the certification report to DOE. 
Such certification reports shall include all the information specified 
in paragraph (a)(6) of this section. Third parties submitting 
certification reports shall include the names of the manufacturers or 
private labelers who authorized the submittal of the certification 
reports to DOE on their behalf. The third-party representative also may 
submit model modification information, as specified in paragraph (b) of 
this section, and discontinued model information, as specified in 
paragraph (c) of this section, on behalf

[[Page 10969]]

of an authorizing manufacturer or private labeler.
    (e) Submission instructions. All reports and notices required by 
this section shall be sent by certified mail to: U.S. Department of 
Energy, Building Technologies Program, Mailstop EE-2J, 1000 
Independence Avenue, SW., Washington, DC 20585-0121, or by e-mail to 
the Department at: [email protected]. If submitting by e-
mail, the compliance statement must be provided in PDF format (which 
shows the original signature).


Sec.  431.328  Sampling.

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


Sec.  431.329  Enforcement.

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

[[Page 10970]]

    (ii) All units tested under this paragraph shall be selected and 
tested in accordance with paragraphs (a)(1)(v) and (a)(2) through (5) 
of this section.
    (iii) The manufacturer shall bear the cost of all testing conducted 
under this paragraph.
    (iv) The Department will advise the manufacturer of the method for 
selecting the additional units for testing under the sampling plan, the 
date and time at which testing is scheduled to begin, the date by which 
testing is scheduled to be completed, and the facility at which the 
testing will occur.
    (v) The manufacturer shall cease distribution of the basic model 
tested under the provisions of this paragraph from the time the 
manufacturer elects to exercise the option provided in this paragraph 
until the basic model is determined to be in compliance. The Department 
may seek civil penalties for all units distributed during such period.
    (vi) If the additional testing results in a determination of 
compliance, the Department will issue a notice of allowance to resume 
distribution.
    (b) Cessation of distribution of a basic model of commercial 
equipment other than electric motors. (1) In the event the Department 
determines, in accordance with enforcement provisions set forth in this 
subpart, that a model of covered equipment is noncompliant, or if a 
manufacturer or private labeler determines one of its models to be in 
noncompliance, the manufacturer or private labeler shall:
    (i) Immediately cease distribution in commerce of all units of the 
basic model in question;
    (ii) Give immediate written notification of the determination of 
noncompliance to all persons to whom the manufacturer has distributed 
units of the basic model manufactured since the date of the last 
determination of compliance; and
    (iii) If requested by the Secretary, provide DOE, within 30 days of 
the request, records, reports and other documentation pertaining to the 
acquisition, ordering, storage, shipment, or sale of a basic model 
determined to be in noncompliance.
    (2) The manufacturer may modify the noncompliant basic model in 
such manner as to make it comply with the applicable performance 
standard. The manufacturer or private labeler must treat such a 
modified basic model as a new basic model and certify it in accordance 
with the provisions of this subpart. In addition to satisfying all 
requirements of this subpart, the manufacturer must also maintain 
records that demonstrate that modifications have been made to all units 
of the new basic model before its distribution in commerce.
    (3) If a manufacturer or private labeler has a basic model that is 
not properly certified in accordance with the requirements of this 
subpart, the Secretary may seek, among other remedies, injunctive 
action to prohibit distribution in commerce of the basic model.

Appendix A to Subpart S of Part 431--Compliance Statement for Metal 
Halide Lamp Ballasts

Equipment: Metal Halide Lamp Ballasts

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

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

Name of Company Official:----------------------------------------------
Signature of Company Official:-----------------------------------------
Title:-----------------------------------------------------------------
Firm or Organization:--------------------------------------------------
Date:------------------------------------------------------------------

Name of Person to Contact for Further Information:

Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
Email:-----------------------------------------------------------------

Third-Party Representation (if applicable)

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

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

The third-party organization authorized to act as representative:

Third-Party Organization:----------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
Email:-----------------------------------------------------------------

Submit by Certified Mail to: U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW, 
Washington, DC 20585-0121. Submit by e-mail in PDF format (which 
shows original signature) to the U.S. Department of Energy, 
Buildings Technologies Program at: [email protected].

Appendix B to Subpart S to Part 431--Certification Report for Metal 
Halide Lamp Ballasts

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

Name of Company Official or Third-Party Representative:
-----------------------------------------------------------------------

Signature of Company Official or Third-Party Representative:
-----------------------------------------------------------------------

Title:-----------------------------------------------------------------
Date:------------------------------------------------------------------
Equipment Type:--------------------------------------------------------
Manufacturer:----------------------------------------------------------

Name of Person to Contact for Further Information:
-----------------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
E-mail:----------------------------------------------------------------

For Existing, New, or Modified Models: [Provide specific equipment 
information including, for each basic model, the product class, the 
manufacturer's model number(s), and the other information required 
in 431.327(a)(6)(i).]

For Discontinued Models: [Provide manufacturer's model number(s).]

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

Appendix C to Subpart S of Part 431--Enforcement for Performance 
Standards; Compliance Determination Procedure for Metal Halide Lamp 
Ballasts

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

[[Page 10971]]



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

     (b) Compute the mean of the measured energy performance 
(x1) for all tests as follows:
[GRAPHIC] [TIFF OMITTED] TR09MR10.008

    Where xi is the measured energy efficiency or 
consumption from test i, and n1 is the total number of 
tests.
    (c) Compute the standard deviation (S1) of the 
measured energy performance from the n1 tests as follows:
[GRAPHIC] [TIFF OMITTED] TR09MR10.009

    (d) Compute the standard error (Sx1) of the measured 
energy performance from the n1 tests as follows:
[GRAPHIC] [TIFF OMITTED] TR09MR10.010

    (e)(1) For an energy efficiency standard, compute the lower 
control limit (LCL1) according to:
[GRAPHIC] [TIFF OMITTED] TR09MR10.011

or
[GRAPHIC] [TIFF OMITTED] TR09MR10.012

(whichever is greater)

    (2) For an energy use standard, compute the upper control limit 
(UCL1) according to:
[GRAPHIC] [TIFF OMITTED] TR09MR10.013

or
(whichever is less)

[GRAPHIC] [TIFF OMITTED] TR09MR10.014

    Where EPS is the energy performance standard and t is a 
statistic based on a 99-percent, one-sided confidence limit and a 
sample size of n1.
    (f)(1) Compare the sample mean to the control limit. The basic 
model is in compliance and testing is at an end if, for an energy 
efficiency standard, the sample mean is equal to or greater than the 
lower control limit or, for an energy consumption standard, the 
sample mean is equal to or less than the upper control limit. If, 
for an energy efficiency standard, the sample mean is less than the 
lower control limit or, for an energy consumption standard, the 
sample mean is greater than the upper control limit, compliance has 
not been demonstrated. Unless the manufacturer requests 
manufacturer-option testing and provides the additional units for 
such testing, the basic model is in noncompliance, and the testing 
is at an end.
    (2) If the manufacturer does request additional testing and 
provides the necessary additional units, DOE will test each unit the 
same number of times it tested previous units. DOE will then compute 
a combined sample mean, standard deviation, and standard error as 
described above. (The ``combined sample'' refers to the units DOE 
initially tested plus the additional units DOE has tested at the 
manufacturer's request.) DOE will determine compliance or 
noncompliance from the mean and the new lower or upper control limit 
of the combined sample. If, for an energy efficiency standard, the 
combined sample mean is equal to or greater than the new lower 
control limit or, for an energy consumption standard, the sample 
mean is equal to or less than the upper control limit, the basic 
model is in compliance and testing is at an end. If the combined 
sample mean does not satisfy one of these two conditions, the basic 
model is not in compliance.

[FR Doc. 2010-3841 Filed 3-8-10; 8:45 am]
BILLING CODE 6450-01-P