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


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

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

[[Page 37069]]



DEPARTMENT OF ENERGY

10 CFR Part 431

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


Energy Conservation Program: Test Procedure for Metal Halide Lamp 
Fixtures

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

ACTION: Notice of proposed rulemaking and request for comment.

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

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

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

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

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

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

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

Table of Contents

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

[[Page 37070]]

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

I. Authority and Background

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

A. Authority

    The Energy Policy and Conservation Act, as amended (``EPCA''),\1\ 
authorizes DOE to regulate the energy efficiency of a number of 
consumer products and certain industrial equipment. (42 U.S.C. 6311-
6317) Title III, Part B \2\ of EPCA established the Energy Conservation 
Program for Consumer Products Other Than Automobiles, which sets forth 
a variety of provisions designed to improve energy efficiency. These 
products include metal halide lamp fixtures, the subject of this 
document.\3\ (42 U.S.C. 6292(a)(19)) MHLFs contain metal halide lamp 
ballasts. Because the MHLF energy conservation standards in EPCA 
established a minimum efficiency for the ballasts incorporated into 
those fixtures, this test procedure requires measurement of metal 
halide lamp ballast efficiency. (42 U.S.C. 6295(hh)(1)(A))
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    \1\ All references to EPCA in this document refer to the statute 
as amended through the Energy Act of 2020, Public Law 116-260 (Dec. 
27, 2020).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part B was re-designated Part A.
    \3\ Because of its placement in Part A of Title III of EPCA, the 
rulemaking for MHLFs is bound by the requirements of 42 U.S.C. 6292. 
However, because MHLFs are generally considered commercial 
equipment, as a matter of administrative convenience and to minimize 
confusion among interested parties, DOE adopted MHLF provisions into 
subpart S of 10 CFR part 431. 74 FR 12058, 12062 (Mar. 23, 2009). 
Therefore, DOE will refer to MHLFs as ``equipment'' throughout the 
NOPR because of their placement in 10 CFR part 431. When the NOPR 
refers to specific provisions in Part A of EPCA, the term 
``product'' is used. The location of provisions within the CFR does 
not affect either their substance or applicable procedure.
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    The energy conservation program under EPCA consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. Relevant 
provisions of the EPCA specifically include definitions (42 U.S.C. 
6291), energy conservation standards (42 U.S.C. 6295), test procedures 
(42 U.S.C. 6293), labeling provisions (42 U.S.C. 6294), and the 
authority to require information and reports from manufacturers (42 
U.S.C. 6296).
    The Federal testing requirements consist of test procedures that 
manufacturers of covered products must use as the basis for: (1) 
Certifying to DOE that their products comply with the applicable energy 
conservation standards adopted pursuant to EPCA (42 U.S.C. 6295(s)), 
and (2) making representations about the efficiency of those products 
(42 U.S.C. 6293(c)). Similarly, DOE must use these test procedures for 
testing to determine whether the products comply with any relevant 
standards promulgated under EPCA. (42 U.S.C. 6295(s))
    Federal energy efficiency requirements for covered products 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6297) DOE may, however, grant waivers of Federal preemption for 
particular State laws or regulations, in accordance with the procedures 
and other provisions of EPCA. (42 U.S.C. 6297(d))
    Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered products. EPCA requires that any test procedures prescribed or 
amended under this section shall be reasonably designed to produce test 
results which measure energy efficiency, energy use or estimated annual 
operating cost of a covered product during a representative average use 
cycle or period of use and shall not be unduly burdensome to conduct. 
(42 U.S.C. 6293(b)(3))
    In addition, EPCA requires that DOE amend its test procedures for 
all covered products to integrate measures of standby mode and off mode 
energy consumption. (42 U.S.C. 6295(gg)(2)(A)) Standby mode and off 
mode energy consumption must be incorporated into the overall energy 
efficiency, energy consumption, or other energy descriptor for each 
covered product unless the current test procedures already account for 
and incorporate standby and off mode energy consumption or such 
integration is technically infeasible. If an integrated test procedure 
is technically infeasible, DOE must prescribe a separate standby mode 
and off mode energy use test procedure for the covered product, if 
technically feasible. (42 U.S.C. 6295(gg)(2)(A)(ii)) Any such amendment 
must consider the most current versions of the International 
Electrotechnical Commission (``IEC'') Standard 62301 \4\ and IEC 
Standard 62087,\5\ as applicable. (42 U.S.C. 6295(gg)(2)(A))
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    \4\ IEC 62301, Household electrical appliances--Measurement of 
standby power (Edition 2.0, 2011-01). Published January 27, 2011.
    \5\ IEC 62087, Methods of measurement for the power consumption 
of audio, video, and related equipment (Edition 3.0). Published 
April 13, 2011.
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    EPCA also requires that, at least once every 7 years, DOE evaluate 
test procedures for each type of covered products, including MHLFs, to 
determine whether amended test procedures would more accurately or 
fully comply with the requirements for the test procedures to not be 
unduly burdensome to conduct and be reasonably designed to produce test

[[Page 37071]]

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

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

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

[[Page 37072]]



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

III. Discussion

A. Overall

    In response to the May 2018 RFI, NEMA commented that DOE should not 
update the MHLF test procedure. NEMA argued that further investment in 
MHLF technology is not warranted, as the market for these products is 
declining rapidly. NEMA provided multiple data sources illustrating the 
low installed stock of high intensity discharge (``HID'') light sources 
(which include metal halide lamps) and the continued reduction in metal 
halide usage expected due to increased LED penetration. (NEMA, No. 2 at 
pp. 2-3) \10\ NEMA also provided metal halide ballast shipment indices 
which showed that metal halide ballast shipments have been declining 
since 2014. (NEMA, No. 3 at p. 1) NEMA added that the replacement of 
traditional luminaires, including metal halide, with LED luminaires has 
already led to substantial energy savings and a drop in overall energy 
consumption, and that this market shift will continue to decrease 
energy consumption without government regulation. NEMA concluded that 
DOE should not update the MHLF test procedure or related energy 
conservation standards due to diminishing returns on potential energy 
savings; the expected burden of implementing new standards and test 
procedures; and the resulting costs which would be passed on to the 
consumer. (NEMA, No. 2 at pp. 4-5)
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    \10\ A notation in this form provides a reference for 
information that is in the docket of DOE's rulemaking to review test 
procedures for metal halide lamp fixtures (Docket No. EERE-2017-BT-
TP-0053). This notation indicates that the statement preceding the 
reference is included in document number 2 in the docket for the 
MHLF test procedure rulemaking, at pages 2 through 3.
---------------------------------------------------------------------------

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

B. Scope

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

[[Page 37073]]

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

C. References to Industry Standards

    The MHLF test procedure currently incorporates by reference the 
2005 version of ANSI C82.6 (``ANSI C82.6-2005'') and the 2004 version 
of ANSI C78.43 (``ANSI C78.43-2004'').\11\ Industry periodically 
updates its test procedure standards to account for changes in 
technology and/or developments in test methodology and equipment. In 
reviewing the current test procedure, DOE noted that updated versions 
of the referenced industry standards are available. DOE compared these 
updated versions to those versions currently referenced by DOE's test 
procedure to determine to what extent, if any, incorporating by 
reference the latest industry standards would alter the measured energy 
efficiency or measured energy use, as determined under the existing 
test procedure, as required by EPCA. (42 U.S.C. 6293(e)(1)) 
Specifically, DOE reviewed the 2020 version of ANSI C82.6 (``ANSI 
C82.6-2015 (R2020)'') \12\ and the 2017 version of ANSI C78.43 (``ANSI 
C78.43-2017'') \13\ for this purpose. In its review of the updated 
versions of industry standards, DOE tentatively determined that the 
changes would not result in a change in measured values or test burden. 
(See sections III.C.1 and III.C.2 for further details.)
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    \11\ American National Standards Institute. American National 
Standard for electric lamps--Single-Ended Metal Halide Lamps. 
Approved May 5, 2004.
    \12\ American National Standards Institute. American National 
Standard for Lamp Ballasts--Ballasts for High-Intensity Discharge 
Lamps--Methods of Measurement. Approved March 30, 2020.
    \13\ American National Standards Institute. American National 
Standard for electric lamps--Single-Ended Metal Halide Lamps. 
Approved December 21, 2017.
---------------------------------------------------------------------------

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

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

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

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

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

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

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

[[Page 37074]]

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

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

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

[[Page 37075]]

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

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

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

[[Page 37076]]

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

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

D. Proposed Amendments to Active Mode Test Method

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

[[Page 37077]]

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

    \21\ U.S. Department of Energy-Office of Energy Efficiency and 
Renewable Energy. Energy Conservation Program for Consumer 
Equipment: Final Determination: High-Intensity Discharge Lamps. 
2015. Washington, DC Available at: https://www.regulations.gov/docket?D=EERE-2010-BT-STD-0043.
---------------------------------------------------------------------------

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

[[Page 37078]]

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

E. Proposed Amendments to Standby Mode Test Method

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

[[Page 37079]]

but notes that the measurement methodology could be applied to other 
products. Metal halide ballasts are electrical products that operate at 
voltages that fall within the scope of IEC 62301:2011. Further DOE has 
determined that instructions and criteria specified in IEC 62301:2011 
for stabilization and subsequent measurement of standby mode power 
consumption are applicable to metal halide lamp ballasts.
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    \22\ Information regarding IEC TC 59--Performance of household 
and similar electrical appliances, can be found at https://www.iec.ch/dyn/www/f?p=103:7:10591261086280::::FSP_ORG_ID,FSP_LANG_ID:1275,25.
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    NEMA also commented that metal halide lamp ballasts capable of 
operating in standby mode are uncommon, and thus, modifications to the 
standby mode test method are unnecessary. (NEMA, No. 2 at p. 6) DOE 
conducted a survey of the market and agrees that metal halide ballasts 
capable of operating in standby mode are uncommon. As discussed in 
section III.C.4, DOE is required by EPCA to incorporate a measure of 
standby and off mode energy consumption in accordance with IEC 62301 
and IEC 62087, if technically feasible. (42 U.S.C. 6295(gg)(2)) 
Therefore, because DOE deems it to be technically feasible, DOE is 
proposing to incorporate by reference specific sections of IEC 
62301:2011 for measuring the energy consumption of MHLFs capable of 
operating in standby mode. DOE notes that the proposed revisions to the 
existing standby test method will improve clarity by replacing the 
currently referenced industry standard (ANSI C82.6-2005) with one that 
addresses standby mode power consumption (IEC 62301:2011) and better 
align with the requirements of EPCA and the standby mode test methods 
for other lighting products.
    In addition, as a result of DOE's proposed amendments to the 
standby mode test method discussed in the preceding paragraphs, DOE is 
proposing modifications to the organization and wording of paragraph 
(c) in 10 CFR 431.324 to improve readability. Specifically, DOE 
proposes to modify the general instructions of the standby mode test 
method found in existing paragraph (c) to clarify that standby mode 
energy consumption need only be measured for ballasts capable of 
operating in standby mode. DOE also proposes to state that the language 
in 10 CFR 431.324 would take precedence if there is a conflict between 
IEC 62301:2011 and the language in the revised DOE test procedure. DOE 
requests comment on the proposed modifications to the organization and 
the general instructions of the standby mode test method in 10 CFR 
431.324(c). DOE discusses the proposed amendments to the standby mode 
test method in greater detail in the sections that follow.
1. Test Conditions and Setup
    Both the active mode and standby mode test procedures measure input 
power of the ballast. As such, for consistency within the test 
procedure and to reduce the test burden, DOE proposes requiring similar 
general test conditions and setup for both tests. To align the test 
conditions and setup requirements for the active and standby modes, DOE 
proposes to modify the test conditions and setup paragraph in the 
standby mode test procedure with the following directions: (1) Test 
conditions and setup must be in accordance with the active mode test 
procedure and (2) each ballast must be operated with a lamp as 
specified in the active mode test procedure, except that the use of a 
reference lamp is not required. Because lamps are not turned on during 
the measurement of standby mode power consumption, DOE has tentatively 
determined that whether the lamp to which the ballast is connected is a 
reference lamp does not impact standby mode energy consumption 
measurements. In addition, DOE proposes to revise the heading ``Test 
Conditions'' of paragraph (c)(1) of existing 10 CFR 431.324 to ``Test 
Conditions and Setup'' to reflect these changes.
    DOE requests comment on referencing the active mode test method 
section in the test conditions and setup requirements for the standby 
mode test method and for the connection of lamps (with the exception of 
reference lamp requirements).
2. Test Method and Measurement
    DOE also proposes to replace the paragraphs of existing 10 CFR 
431.324 pertaining to standby mode measurements. DOE proposes to add a 
new paragraph with the heading ``Test Method and Measurement,'' 
containing specific instructions related to the measurement of standby 
mode energy consumption. DOE proposes to: (1) Add instructions to turn 
on, at full light output, the lamp to which the ballast is connected to 
ensure the ballast is not defective and (2) require ballast 
stabilization and that subsequent measurement of standby mode energy 
consumption be conducted according to the measurements section of IEC 
62301:2011 (i.e., section 5). DOE has tentatively determined that the 
instructions and criteria specified for stabilization and measurement 
of standby mode power consumption in section 5 of IEC 62301:2011 are 
appropriate for MHLFs. DOE requests comment on referencing section 5 of 
IEC 62301:2011 for stabilization and standby mode energy consumption 
measurements. In addition, DOE requests comments on proposed 
instructions regarding turning on the lamp to ensure the ballast is not 
defective. Finally, DOE requests comment on the test burden and impact 
on the energy use measurement during a representative average use cycle 
or period of use associated with the proposed modifications to the 
measurement of standby mode power in the DOE test procedure.

F. Definitions

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

G. Compliance Dates and Waivers

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

[[Page 37080]]

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

H. Test Procedure Costs, Harmonization, and Other Topics

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

[[Page 37081]]

for testing personnel. Therefore, DOE has tentatively determined the 
costs associated with training existing personnel to be minimal and the 
need to hire additional personnel to be unlikely.
    NEMA also commented that there are significant costs associated 
with acquiring instrumentation for the testing of HFE metal halide 
ballasts, which is an added burden on manufacturers and especially 
small businesses. NEMA noted that a high frequency power analyzer may 
cost around $45,000 and the manufacture or procurement of HFE reference 
ballasts may be $5,000. (NEMA, No. 2 at pp. 7-8) As discussed in 
section III.D.2.d, DOE is not considering a test method for HFE metal 
halide ballasts, which eliminates the additional costs cited by NEMA 
for the testing of HFE metal halide ballasts.
    NEMA noted in comments made in response to the December 2011 HID 
lamps test procedure NOPR (HID TP NOPR; 76 FR 77914 (Dec. 15, 2011) 
that the cost to test high wattage products is not trivial due to heat 
output, electricity costs, and personnel safety considerations.\24\ 
NEMA commented that although the duration of metal halide ballast 
testing is shorter than the HID lamp lumen maintenance testing 
considered in the HID TP NOPR,\25\ the energy consumption remains 
significant. NEMA concluded that a complete revision of the metal 
halide ballast test procedure would result in these non-trivial testing 
costs being added to the product costs in a declining market. (NEMA, 
No. 2 at p. 8)
---------------------------------------------------------------------------

    \24\ See https://www.regulations.gov/document?D=EERE-2010-BT-TP-0044-0006.
    \25\ U.S. Department of Energy-Office of Energy Efficiency and 
Renewable Energy. Energy Conservation Program for Consumer 
Equipment: Notice of Proposed Rulemaking: Test Procedures for High-
Intensity Discharge Lamps. 2011. Washington, DC Available at: 
https://www.regulations.gov/document?D=EERE-2010-BT-TP-0044-0001.
---------------------------------------------------------------------------

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

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

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

B. Review Under the Regulatory Flexibility Act

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

[[Page 37082]]

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

C. Review Under the Paperwork Reduction Act of 1995

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

D. Review Under the National Environmental Policy Act of 1969

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

E. Review Under Executive Order 13132

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

F. Review Under Executive Order 12988

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

[[Page 37083]]

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

G. Review Under the Unfunded Mandates Reform Act of 1995

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

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

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

I. Review Under Executive Order 12630

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

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

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

K. Review Under Executive Order 13211

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

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

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

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

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

[[Page 37084]]

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

M. Description of Materials Incorporated by Reference

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

V. Public Participation

A. Participation in the Webinar

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

B. Submission of Comments

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

[[Page 37085]]

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

C. Issues on Which DOE Seeks Comment

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

VI. Approval of the Office of the Secretary

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

List of Subjects in 10 CFR Part 431

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

Signing Authority

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

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

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

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

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

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


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

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

Efficiency = Pout/Pin

Where:
(1) Pout equals the measured operating lamp wattage; and

[[Page 37086]]

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


Sec.  431.323  Materials incorporated by reference.

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


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

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

[[Page 37087]]

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

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