[Federal Register Volume 87, Number 121 (Friday, June 24, 2022)]
[Rules and Regulations]
[Pages 37685-37700]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-13459]
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Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
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Federal Register / Vol. 87, No. 121 / Friday, June 24, 2022 / Rules
and Regulations
[[Page 37685]]
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: Final rule.
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SUMMARY: In this final rule, the U.S. Department of Energy (``DOE'') is
adopting amendments to its test procedure for metal halide lamp
fixtures (``MHLFs'') to incorporate by reference new relevant industry
standards as well as update to latest versions of existing references;
clarify the selection of reference lamps used for testing; specify the
light output level at which to test dimming ballasts; revise
definitions and reorganize the content of the test procedure for better
readability and clarity; and revise the standby mode test method for
MHLFs.
DATES: The effective date of this rule is July 25, 2022. The final rule
changes will be mandatory for product testing starting December 21,
2022. The incorporation by reference of certain material listed in this
rule is approved by the Director of the Federal Register on July 25,
2022.
ADDRESSES: The docket, which includes Federal Register documents,
public meeting attendee lists and transcripts, comments, and other
supporting documents/materials, is available for review at
www.regulations.gov. All documents in the docket are listed in the
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.
A link to the docket web page can be found at www.regulations.gov/docket/EERE-2017-BT-TP-0053. The docket web page contains instructions
on how to access all documents, including public comments, in the
docket.
For further information on how to review the docket contact the
Appliance and Equipment Standards Program staff at (202) 287-1445 or by
email: [email protected].
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].
Ms. Jennifer Tiedeman, U.S. Department of Energy, Office of the
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC,
20585-0121. Telephone: (202) 287-6111. Email:
[email protected].
SUPPLEMENTARY INFORMATION:
DOE maintains previously approved incorporations by reference and
incorporates 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 Lamp
Ballasts-- High-Intensity Discharge and Low-Pressure Sodium Lamps--
Definitions,'' approved July 12, 2016.
International Electrotechnical Commission (``IEC'') 63103 (IEC 63103),
``Lighting Equipment--Non-Active Mode Power Measurement'' (Edition 1.0,
2020-07).
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 63103:2020 are available on IEC's website
at http://webstore.ansi.org.
For a further discussion of these standards, see section IV.N of
this document.
Table of Contents
I. Authority and Background
A. Authority
B. Background
II. Synopsis of the Final Rule
III. Discussion
A. General Topics
B. Scope
C. Definitions
D. References to Industry Standards
E. Amendments to Active Mode Test Method
1. Test Conditions and Setup
2. Test Method
F. Amendments to Standby Mode Test Method
1. Test Conditions and Setup
2. Test Method and Measurement
G. Compliance Date
H. Test Procedure Costs and Impacts
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. Congressional Notification
N. Description of Materials Incorporated by Reference
V. Approval of the Office of the Secretary
I. Authority and Background
MHLFs are included in the list of ``covered products'' for which
the U.S. Department of Energy (``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 10 CFR 431.326 and 10 CFR
431.324, respectively. The
[[Page 37686]]
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. 6291-
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 MHLFs, 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, the 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, Pub. L. 116-260 (Dec. 27,
2020), which reflect the last statutory amendments that impact Parts
A and A-1 of EPCA.
\2\ For editorial reasons, upon codification in the U.S. Code,
Part B was redesignated 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 (March 23, 2009).
Therefore, DOE will refer to MHLFs as ``equipment'' throughout the
notice because of their placement in 10 CFR part 431. When the
notice 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 EPCA specifically include definitions (42 U.S.C. 6291),
test procedures (42 U.S.C. 6293), labeling provisions (42 U.S.C. 6294),
energy conservation standards (42 U.S.C. 6295), and the authority to
require information and reports from manufacturers (42 U.S.C. 6296).
The 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 under EPCA (42 U.S.C. 6295(s)), and (2)
making other representations about the efficiency of those products (42
U.S.C. 6293(c)). Similarly, DOE must use these test procedures 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 (as determined by the Secretary) or period of use and shall not
be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3))
EPCA sets forth that test procedures for metal halide lamp ballasts
shall be based on ANSI C82.6-2005.\4\ (42 U.S.C. 6293(b)(18))
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\4\ American National Standards Institute. ANSI C82.6-2005,
American National Standard for Lamp Ballasts--Ballasts for High-
Intensity Discharge Lamps--Methods of Measurement. Approved February
14, 2005.
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EPCA also requires that, at least once every 7 years, DOE evaluate
test procedures for each type of covered product, 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
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))
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. 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.
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 into the overall energy efficiency, energy
consumption, or other energy descriptor, unless the current test
procedure already incorporates the standby mode and off mode energy
consumption, or if such integration is technically infeasible. (42
U.S.C. 6295(gg)(2)(A)) If an integrated test procedure is technically
infeasible, DOE must prescribe separate standby mode and off mode
energy use test procedures for the covered product, if a separate test
is technically feasible. (Id.) Any such amendment must consider the
most current versions of the International Electrotechnical Commission
(``IEC'') Standard 62301 \5\ and IEC Standard 62087 \6\ as applicable.
(42 U.S.C. 6295(gg)(2)(A))
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\5\ IEC 62301, Household electrical appliances--Measurement of
standby power (Edition 2.0, 2011-01).
\6\ IEC 62087, Audio, video and related equipment--Methods of
measurement for power consumption (Edition 1.0, Parts 1-6: 2015,
Part 7: 2018).
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DOE is publishing this final rule in satisfaction of the 7-year
review requirement specified in EPCA. (42 U.S.C. 6293(b)(1)(A))
B. Background
DOE's existing test procedure for MHLFs is codified 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 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
[[Page 37687]]
methods for MHLFs based on measuring ballast efficiency in accordance
with ANSI C82.6-2005 (``March 2010 Final Rule''). 75 FR 10950. In the
March 2010 Final Rule, DOE determined that ``off mode'' as defined by
EPCA is not applicable to MHLFs because there is no condition in which
the components of a MHLF are connected to the main power source and are
not already in a mode accounted for in either active or standby mode.
Id. at 10954-10955.
On May 30, 2018, DOE published in the Federal Register a request
for information seeking comments on the current test procedure for
MHLFs. 83 FR 24680 (``May 2018 RFI''). On July 14, 2021, DOE published
in the Federal Register a notice of proposed rulemaking (``NOPR'')
proposing amendments to the current test procedure for MHLFs. 86 FR
37069 (``July 2021 NOPR''). DOE held a public meeting related to the
July 2021 NOPR on August 5, 2021.
DOE received comments in response to the July 2021 NOPR from the
interested parties listed in Table I.1.
Table I.1--List of Commenters With Written Submissions in Response to
the July 2021 NOPR
------------------------------------------------------------------------
Reference in this
Commenter(s) Final Rule Commenter type
------------------------------------------------------------------------
People's Republic of China.. China............... Nation.
Signify North America Signify............. Manufacturer.
Corporation.
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This document addresses information and comments received in
response to the July 2021 NOPR. A parenthetical reference at the end of
a comment quotation or paraphrase provides the location of the item in
the public record.\7\
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\7\ The parenthetical reference provides a reference for
information located in the docket of DOE's rulemaking to develop
test procedures for MHLFs. (Docket No. EERE-2017-BT-TP-0053, which
is maintained at www.regulations.gov). The references are arranged
as follows: (commenter name, comment docket ID number at page of
that document).
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II. Synopsis of the Final Rule
In this final rule, DOE amends 10 CFR 431.324, ``Uniform test
method for the measurement of energy efficiency and standby mode energy
consumption of metal halide lamp ballasts,'' as follows: (1)
incorporating by reference new relevant industry standards as well as
updating to latest versions of existing references; (2) revising
definitions and reorganizing the content of the test procedure for
better readability and clarity; (3) clarifying the selection of
reference lamps to be tested with metal halide lamp ballasts; (4)
specifying the light output level at which to test dimming ballasts in
active mode; and (5) referencing IEC 63103:2020 and clarifying
instructions for measuring the standby mode energy consumption of metal
halide lamp ballasts.
The adopted amendments are summarized in Table II.1 compared to the
test procedure provision prior to the amendment, as well as the reason
for the adopted change.
Table II.1--Summary of Changes in the Amended Test Procedure
------------------------------------------------------------------------
DOE test procedure prior to
amendment Amended test procedure Attribution
------------------------------------------------------------------------
References ANSI C82.6-2005, References the updated Harmonize with
which describes methods of version ANSI C82.6- updated
measurement for ballasts that 2015 (R2020), which industry
operate high intensity clarifies test standard.
discharge (``HID'') lamps. requirements and
incorporates new
sections that specify
instrumentation and
measurement methods.
References ANSI C78.43-2004, References the updated Harmonize with
which describes version ANSI C78.43- updated
characteristics of single- 2017, which industry
ended metal halide lamps. incorporates new data standard.
sheets for additional
lamps and updates
ballast design
information in
certain data sheets.
Does not reference an industry References ANSI C78.44- Reference
standard for double-ended 2016 to specify industry
metal halide lamps. physical and standard.
electrical
characteristics for
double-ended metal
halide lamps,
consistent with the
procedure for single-
ended metal halide
lamps.
To define ``ballast Revises the definition Improve
efficiency,'' references the of ``ballast readability.
term ``nominal system'' in efficiency'' to
ANSI C78.43-2004, but that remove the term
term does not appear in the ``nominal system''
ANSI standard. and moves testing
instructions from the
definition to the
test procedure.
Does not explicitly define States that metal Reference
``reference lamp''. halide lamps used for industry
testing must meet the standard.
definition of a
reference lamp found
in ANSI C82.9-2016.
Does not provide direction for Directs that ballasts Ensure
which lamp to use for testing designated with ANSI representativen
ballasts that can operate codes corresponding ess,
lamps of more than one to more than one lamp repeatability,
wattage, or that can operate must be tested with and
both quartz and ceramic metal the lamp having the reproducibility
halide lamps. highest nominal lamp of test results
wattage as specified for new
in ANSI C78.43-2017 products on the
or ANSI C78.44-2016, market.
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 supporting
definitions for
``quartz metal halide
lamp'' and ``ceramic
metal halide lamp''.
Does not provide direction for Directs dimming Improve
the light output level at ballasts to be tested reproducibility
which to test dimming at the maximum input of test
ballasts in active mode. power in active mode. results.
[[Page 37688]]
Incorporates by reference ANSI Incorporates by Reference more
C82.6-2005 for the reference IEC applicable
measurement of standby mode 63103:2020 for the industry
energy consumption. measurement of standard.
standby mode energy
consumption and
references active
mode test method for
test conditions and
setup.
------------------------------------------------------------------------
DOE has determined that the amendments described in section III and
adopted in this document will not alter the measured efficiency of
MHLFs, or require retesting or recertification solely as a result of
DOE's adoption of the amendments to the test procedures. Additionally,
DOE has determined that the amendments will not increase the cost of
testing. Discussion of DOE's actions are addressed in detail in section
III of this document.
The effective date for the amended test procedures adopted in this
final rule is 30 days after publication of this document in the Federal
Register. Representations of energy use or energy efficiency must be
based on testing in accordance with the amended test procedures
beginning 180 days after the publication of this final rule.
III. Discussion
In response to the July 2021 NOPR, DOE received general comments
regarding amended test procedures for MHLFs as well as more specific
comments regarding proposed updates to industry standards and
clarifications of test methods. The amendments being adopted in this
final rule and comments are discussed in the following sections.
A. General Topics
In response to the July 2021 NOPR, Signify stated that the test
procedure proposed by DOE seems reasonably designed to measure the
energy use or efficiency of MHLFs during a representative average use
cycle or period of use. (Signify, No. 10 at p. 11) Signify also
recommended, however, that DOE not change the test procedure for MHLFs
because the existing one successfully communicates ballast energy
efficiency and the accelerated market transition to light-emitting
diode (``LED'') technology reduces any potential benefits of improving
the test procedure. (Signify, No. 10 at p. 2) NEMA similarly stated
that MHLFs are a highly mature technology for which sales are migrating
to LED products; and that therefore, sweeping changes to the test
procedure were not necessary. (NEMA, Public Meeting Transcript, pp. 27-
28)
Regarding impact on measured values, Signify stated that the test
procedure updates proposed in the July 2021 NOPR would not have a
significant impact on measured values used for certifying compliance,
with possible exceptions of proposals regarding standby mode power and
ballast efficiency for dimming ballasts. (Signify, No. 10 at p. 9)
DOE is publishing this final rule in satisfaction of the 7-year
review requirement specified in EPCA, which requires DOE 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
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 finds that the adoption of
applicable industry standards, updates to existing references of
industry standards, and adoption of other clarifying amendments
specified in the following sections will result in a more accurate test
procedure and one that reflects industry best practices for testing
MHLFs. Comments regarding the impacts on measured values resulting from
amendments to standby mode testing and testing of dimming ballasts are
discussed respectively, in sections III.F.2 and III.E.1.b. of this
document.
B. Scope
EPCA and DOE regulations define MHLF as a light fixture for general
lighting application 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). Metal halide lamp is defined as a high intensity discharge
(``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 vapors. (42 U.S.C. 6291(a)(63) and 10 CFR
431.322).
DOE is not changing the scope of equipment covered by its MHLF test
procedure, or the relevant definitions, in this final rule.
C. Definitions
DOE provides definitions concerning metal halide lamp ballasts and
fixtures at 10 CFR 431.322. In the July 2021 NOPR, DOE proposed to
define several terms in 10 CFR 431.322 pertaining to the proposed test
specifications for reference lamps used in testing (see section III.E.1
for greater detail). 86 FR 37069, 37079. Specifically, DOE proposed 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. Id. DOE
proposed 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. Id. Further, DOE
proposed 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. Id. DOE also
proposed to remove clauses 4 and 5 in the ``ballast efficiency''
definition, which provide input power and output power specifications
for ballasts with a frequency of 60 Hz, and greater than 60 Hz,
respectively. DOE proposed to move these requirements to the test
procedure found in 10 CFR 431.324 because they describe the test
method. Id.
DOE received no comments regarding these modifications. For the
reasons discussed in the July 2021 NOPR and in this paragraph, DOE is
adopting these proposed changes to definitions in this final rule.
D. 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'').\8\ Industry periodically updates
its testing standards to account for changes in technology,
developments in test
[[Page 37689]]
methodology, developments in test instruments, and/or changes in
industry practice. In the July 2021 NOPR, DOE identified updated
versions of the industry standards incorporated by reference in the
MHLF test procedure as shown in Table III.1 of this document. 86 FR
37069, 37072.
---------------------------------------------------------------------------
\8\ American National Standards Institute. ANSI C78.43-2004,
American National Standard for Electric Lamps--Single-Ended Metal
Halide Lamps. Approved May 5, 2004.
---------------------------------------------------------------------------
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)) 86 FR 37069, 37073-37075. Specifically, DOE reviewed the
2020 version of ANSI C82.6 (``ANSI C82.6-2015 (R2020)'') \9\ and the
2017 version of ANSI C78.43 (``ANSI C78.43-2017'') \10\ for this
purpose.
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\9\ American National Standards Institute. ANSI C82.6-2015
(R2020), American National Standard for Lamp Ballasts--Ballasts for
High-Intensity Discharge Lamps--Methods of Measurement. Approved
March 30, 2020.
\10\ American National Standards Institute. ANSI/NEMA C78.43-
2017, American National Standard for Electric Lamps--Single-Ended
Metal Halide Lamps. Approved December 21, 2017.
---------------------------------------------------------------------------
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 the
July 2021 NOPR, DOE identified the following differences between the
2015 version of ANSI C82.6 and the 2020 version: The 2020 version of
ANSI C82.6 includes a requirement that the ballast under test must be
operated until it reaches equilibrium, thereby ensuring stable
conditions for testing, which is already included in DOE's test
procedure; the 2020 version of ANSI C82.6 provides 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; the 2020 version of ANSI C82.6 clarifies certain headings
consistent with specifications in the DOE test procedure; the 2020
version of ANSI C82.6 includes specifications pertaining to
stabilization that reflect ``best practices;'' the 2020 version of ANSI
C82.6 adds instrumentation requirements to improve consistency and
repeatability of measured values, and that would not impact measured
values; the 2020 version of ANSI C82.6 updates the list of pertinent
measurements for electronic and magnetic ballasts; the 2020 version of
ANSI C82.6 includes new sections that specify instrumentation to use
and how to take certain measurements to improve consistency and
repeatability; and reaffirms the equation for calculating ballast
efficiency in DOE's regulations. 86 FR 37069, 37073-37074.
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. DOE tentatively determined that
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. 86 FR 37069, 37074. The
updated datasheets would provide characteristics for additional
reference lamps to use for testing, which DOE tentatively determined
reflect current industry practice. 86 FR 37069, 37075.
In its review of the updated versions of ANSI C82.6 and ANSI
C78.43, DOE tentatively determined that the changes would not result in
a change in measured values or test burden. DOE proposed to reference
ANSI C82.6-2015 (R2020) and ANSI C78.43-2017 in the DOE test procedure.
Id.
Table III.1--Industry Standards Referenced in MHLF Test Procedure With
Updated Versions Adopted in Final Rule
------------------------------------------------------------------------
Updated version adopted in this
Industry standard previously referenced Final Rule *
------------------------------------------------------------------------
ANSI C78.43 version 2004 (10 CFR ANSI C78.43 version 2017
431.322).
ANSI C82.6 version 2005 (10 CFR ANSI C82.6 version 2015 (R2020)
431.324).
------------------------------------------------------------------------
* Note: Additionally, this final rule incorporates by reference ANSI
C78.44-2016, ANSI C82.9-2016, and IEC 63103:2020 in the MHLF test
procedure.
In addition to updating existing references to industry standards
in DOE's test procedure with the most recent versions, DOE proposed in
the July 2021 NOPR to incorporate by reference additional industry
standards related to the testing of MHLFs that were not already
referenced in the test procedure. 86 FR 37069, 37075-37076.
Specifically, DOE proposed to incorporate by reference ANSI C78.44-2016
\11\ to provide the physical and electrical characteristics for testing
with double-ended metal halide lamps, ANSI C82.9-2016 \12\ to provide
the definition of a reference lamp and IEC 62301:2011 for the
measurement of standby mode energy consumption. Id. DOE 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. Id. DOE
tentatively determined that industry already adheres to stipulations
for reference lamps as specified in ANSI C82.9-2016. Id. Regarding
standby mode, DOE noted that it developed the standby mode test method
to be consistent with the industry standard IEC 62301:2005, but also
through reference to ANSI C82.6-2005. 86 FR 37069, 37076. DOE
tentatively determined to directly incorporate by reference the most
recent version, IEC 62301:2011. Id.
---------------------------------------------------------------------------
\11\ American National Standards Institute. ANSI C78.44-2016,
American National Standard for Electric Lamps-- Double-Ended Metal
Halide Lamps. Approved July 1, 2016.
\12\ American National Standards Institute. ANSI C82.9-2016,
American National Standard for Lamp Ballasts-- High-Intensity-
Discharge and Low-Pressure Sodium Lamps-Definitions. Approved July
12, 2016.
---------------------------------------------------------------------------
In the July 2021 NOPR, DOE requested 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 in the MHLF test
procedure. 86 FR 37069, 37085.
Signify expressed support for incorporating by reference ANSI
C82.6-2015 (R2020), ANSI C78.43-2017, ANSI C78.44-2016, and ANSI C82.9-
2016, stating that the standards are congruent with the latest ANSI C82
committee consensus on the technical requirements and test procedures
of metal halide ballasts and lamps. Signify stated that updated
versions of ANSI C78.43-2017, ANSI C78.44-2016, and ANSI C82.9-2016
offer more accurate descriptions than previous editions and
[[Page 37690]]
should not have a major impact on test results. (Signify, No. 10 at p.
2, 3)
In this final rule, as proposed in the July 2021 NOPR and based on
the discussion in the preceding paragraphs and in the July 2021 NOPR,
DOE incorporates by reference the industry standards ANSI C82.6-2015
(R2020), ANSI C78.43-2017, ANSI C78.44-2016, and ANSI C82.9-2016. In
this final rule, DOE is not adopting IEC 62301:2011 for the measurement
of standby mode energy consumption as proposed in the July 2021 NOPR.
In its place, DOE is adopting IEC 63103:2020 to replace references to
ANSI C82.6 in the MHLF standby mode test method (see section III.F.2 of
this document for further details). DOE has determined that, because
these updates to industry standard references do not involve
substantive changes to the test setup and methodology but rather are
clarifications that align DOE's test procedures with latest industry
best practices, they will not affect measured values.
E. Amendments to Active Mode Test Method
In this final rule, as proposed in the July 2021 NOPR, DOE adopts
clarifying modifications to the active mode test method specified in 10
CFR 431.324. Specifically, DOE amends the test conditions and setup, as
well as the test method for the measurement of ballast efficiency of
MHLFs. DOE also amends the test procedure to specify that the language
in 10 CFR 431.324 takes precedence over the industry standard in cases
where there is a conflict between any referenced industry standard and
the language of the test procedure as revised by this final rule.
DOE has determined that, because the adopted amendments to the
active mode test method do not involve substantive changes to the test
methodology but rather clarifications, they will not affect measured
values. DOE details the amendments to the active mode test method and
discussion of comments in the following subsections.
1. Test Conditions and Setup
Paragraph (b)(1)(i) (``Test Conditions'') of 10 CFR 431.324
specifies test conditions and setup requirements applicable to active
mode testing. In the July 2021 NOPR, DOE proposed to amend the test
conditions and setup paragraph to more accurately reference industry
standards and the relevant sections of those standards, provide
direction for testing metal halide lamp ballasts that operate lamps of
different wattages or lamp types, and specify testing of dimming metal
halide lamp ballasts at maximum input power. 86 FR 37069, 37076. DOE
also proposed to revise the heading of paragraph (b)(1)(i) from ``Test
Conditions'' to ``Test Conditions and Setup'' and to redesignate it as
paragraph (b)(2) of the revised 10 CFR 431.324 to align with proposed
additions to paragraph (b) pertaining to test setup. Id. The specific
amendments as proposed and finalized are discussed in further detail in
the sections that follow.
a. General Test Conditions
Paragraph (b)(1)(i) of 10 CFR 431.324 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. In the July 2021 NOPR, DOE
proposed to relocate lamp stabilization requirements from this
paragraph to the test method paragraph, newly designated as paragraph
(b)(3), 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. 86 FR 37069, 37076.
(See section III.E.2.a of this document regarding changes to the
stabilization method) Also within the redesignated test conditions
paragraph (b)(2), DOE proposed 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. Id.
DOE received no comments regarding these modifications. In this
final rule, for reasons discussed in this section and in the July 2021
NOPR, DOE adopts these changes as proposed.
b. Dimming Ballasts
In the March 2010 Final Rule, DOE determined 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 10950, 10953. In the July 2021 NOPR,
DOE tentatively determined that in the case of dimming ballasts, where
input power can vary, a specification regarding how to test these
ballasts is necessary. DOE proposed to specify that dimming metal
halide lamp ballasts be tested at maximum input power. 86 FR 37069,
37076.
Signify expressed support for DOE's proposal to specify that
dimming metal halide lamp ballasts be tested at maximum input power.
(Signify, No. 10 at p. 4) Signify commented that magnetic metal halide
ballasts should not be dimmed below 50 percent rated power because the
lamp operation may become unstable, the lamp color may shift
dramatically, and the lamp electrodes' sputtering rate may
significantly decrease lamp lifetime. Signify further commented that
while electronic metal halide ballasts can dim metal halide lamps below
50 percent rated power, color shift and lifetime issues may remain. For
these reasons, Signify stated that the best practical way to test
dimming metal halide lamp ballasts is at full power. (Signify, No. 10
at pp. 4-5, 5) Signify further stated that the proposed clarification
to test dimming ballasts at maximum power could change measured values
if manufacturers had previously tested ballasts at different dimming
points. Signify stated, however, that testing at maximum power is
appropriate practice. (Signify, No. 10 at p. 10)
DOE appreciates information on the dimming characteristics of metal
halide ballasts. In this final rule, DOE is specifying to test dimming
ballasts at maximum input power, i.e., at a non-dimmed level. DOE's
review of the market indicates that specification sheets for dimming
metal halide lamp ballasts provide input power at 100 percent power
level as well as at lower power levels. Therefore, DOE does not expect
this specification to result in a change in measured values of
representations. In this final rule, for reasons specified in preceding
paragraphs and in the July 2021 NOPR, DOE amends the test procedure to
specify that dimming metal halide lamp ballasts be tested at maximum
input power.
c. Reference Lamps
Reference lamps must be used for testing MHLF ballast efficiency.
Based on responses on the May 2018 RFI, DOE confirmed that the
availability of reference lamps for metal halide ballast testing is
sufficient and, in the July 2021 NOPR, proposed 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. 86 FR 37069, 37076. ANSI C82.9-2016 provides definitions
related to specific terms used in industry standards for HID lamps and
ballasts. Thus, in the July 2021 NOPR, DOE proposed 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
[[Page 37691]]
metal halide lamps operated on 60 Hz ballasts must meet to qualify as
reference lamps. Therefore, DOE also proposed that the metal halide
lamps used for testing must 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. Id.
The definition of basic model for MHLFs states that basic models
are rated to operate a given lamp type and wattage. 10 CFR 431.322.
Therefore, as DOE noted in the July 2021 NOPR, metal halide ballasts
capable of operating multiple lamp wattages currently fall within
multiple basic models. 86 FR 37069, 37077. No specification regarding
the reference lamp to be used in testing metal halide lamp ballasts,
pertaining to either lamp wattage or lamp type, is provided in 10 CFR
431.324. Thus, DOE proposed revisions to the test procedure to clarify
the wattage and type of reference lamp to be used for testing. Id.
DOE has 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). 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. Thus, in the July
2021 NOPR, DOE proposed to add a 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. 86 FR 37069, 37077.
DOE also identified 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),\13\ DOE has determined that quartz
metal halide lamps are more popular than ceramic metal halide lamps. In
the July 2021 NOPR, DOE proposed 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. 86 FR 37069, 37077.
---------------------------------------------------------------------------
\13\ 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 www.regulations.gov/docket?D=EERE-2010-BT-STD-0043.
---------------------------------------------------------------------------
Signify expressed support for the proposal to test ballasts with
lamps at the highest lamp wattage. Signify expressed no preference for
testing with a quartz metal halide lamp over a ceramic metal halide
lamp. (Signify, No. 10 at p. 5) Signify asserted that using a reference
lamp ensures test result repeatability because the ballast load will
always be operating at nominal voltage, whereas lamps used in practice
undergo voltage variation as they age. (Signify, No. 10 at pp. 5-6)
For the reasons discussed in the preceding paragraphs and in the
July 2021 NOPR, in this final rule DOE adopts the proposed requirements
that for ballasts capable of operating lamps of different wattages,
select the reference lamp with the highest wattage; and for ballasts
capable of operating quartz metal halide lamps and ceramic metal halide
lamps of the same wattage, select the quartz metal halide lamp for
testing.
2. Test Method
In the July 2021 NOPR, DOE proposed to add paragraphs to the test
method paragraph describing requirements for lamp stabilization, test
measurements, and calculations. DOE also proposed 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 paragraph (b). In addition, DOE proposed to
add the ballast efficiency calculation contained in paragraph (b)(3) of
existing 10 CFR 431.324 to the ``Test Method'' paragraph to further
improve organization. 86 FR 37069, 37077. The specific amendments as
proposed are discussed in further detail in the sections that follow.
a. Stabilization Criteria
Paragraph (b)(1)(i) (``Test Conditions'') of 10 CFR 431.324
contains instructions for lamp stabilization prior to testing
(hereafter referred to as the ``basic stabilization method'').
Paragraph (b)(1)(ii) of 10 CFR 431.324 (``Alternative Stabilization
Method'') specifies an alternate stabilization method for cases where
switching without extinguishing the lamp is impossible, or for low-
frequency electronic ballasts.
In the July 2021 NOPR, DOE proposed to replace the explicit
instructions for lamp stabilization in 10 CFR 431.324 with direct
references to 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. 86 FR 37069, 37077. DOE had adopted the explicit
stabilization instructions in the March 2010 Final Rule based on then-
anticipated changes to the updated version of ANSI C82.6 provided by
NEMA. Id. Because the explicit instructions for lamp stabilization in
10 CFR 431.324 are now contained in ANSI C82.6-2015 (R2020), DOE
proposed to reference the relevant sections, Sections 4.4.2 and 4.4.3.
Id. DOE noted one difference in the basic lamp stabilization method in
10 CFR 431.324 compared ANSI C82.6-2015 (R2020) and proposed to keep
the specification in 10 CFR 431.324, as it is clearer and more
practical to execute. Id. Specifically, 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.'' In 10 CFR 431.324,
stabilization is reached when the lamp's electrical characteristics
vary by no more than 3 percent in three consecutive 10- to 15-minute
intervals. In the July 2021 NOPR, DOE tentatively 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. Id.
Signify expressed support for retaining the basic stabilization
method and adopting the alternative stabilization method described in
ANSI C82.6-2015 (R2020). Signify added that the basic stabilization
method has been successfully used to test magnetic metal halide lamp
ballasts but cannot be used for electronic metal halide lamp ballasts,
as stably transferring a lamp from a warmup (standby) ballast to an
electronic ballast is difficult. (Signify, No. 10 at p. 6) Signify
explained that when lamps on electronic ballasts are disconnected and
transferred, or are in ``no lamp'' condition, they either power off
until the power supply comes back on, or they power their lamp ignition
circuit on again--neither of which are suitable for a stable transfer.
Signify stated that the alternative stabilization method ensures
repeatable ballast efficiency test results for electronic ballasts by
avoiding multiple lamp reignitions. (Signify, No. 10 at p. 7)
DOE reiterates that replacement of the basic stabilization method
instructions with direct references to Section 4.4.2 of ANSI C82.6-2015
(R2020) would maintain the same method as currently specified, as the
current instructions are
[[Page 37692]]
consistent with ANSI C82.6-2015 (R2020), with the exception noted above
regarding specific intervals for stabilization determination. As
described in the preceding paragraphs and in the July 2021 NOPR, in
this final rule DOE is replacing the explicit instructions for lamp
stabilization in 10 CFR 431.324 with direct references to 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. DOE is
also specifying for the basic stabilization method 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 measured
after the minimum burning time of 30 minutes, consistent with the
proposal in the July 2021 NOPR.
b. Test Measurements
Paragraph (b)(2) of 10 CFR 431.324 specifies that the ballast input
power and lamp output power during operating conditions must be
measured in accordance with the methods specified in Section 6.0 of
ANSI C82.6-2005. In ANSI C82.6-2015 (R2020), Sections 6.1 and 6.8
pertain specifically to measuring ballast input power, and Sections 6.2
and 6.10 pertain specifically to measuring lamp output power. In the
July 2021 NOPR, DOE proposed to remove the general reference to Section
6 of ANSI C82.6 in 10 CFR 431.324 and to instead 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 expected that these updates would
further clarify the test procedure and not change measured values. 86
FR 37069, 37077.
DOE received no comments regarding these updates. For the reasons
discussed in the July 2021 NOPR and in this paragraph, DOE is adopting
these proposed changes in this final rule.
c. Calculations
Paragraph (b)(3) of 10 CFR 431.324 (``Efficiency Calculation'')
specifies that the measured lamp output power must be divided by the
measured ballast input power to determine the percent efficiency of the
ballast under test to three significant figures.
In the July 2021 NOPR, DOE proposed to amend this instruction by
referencing the specific sections in the DOE test procedure that
specify how to measure ballast input power and ballast output (lamp)
power. 86 FR 37069, 37078. Specifically, DOE proposed the amended
instruction to state that the measured ballast output (lamp) power, as
measured in paragraph (b)(2)(ii)(B), must be divided by the measured
ballast input power, as measured in paragraph (b)(2)(ii)(B), to
determine the percent efficiency of the ballast under test to three
significant figures.
DOE received no comments regarding these proposed amendments to the
test procedure. For the reasons discussed in the July 2021 NOPR and in
this paragraph, DOE is adopting these proposed changes in this final
rule. DOE notes that in the amended test procedure, this instruction is
specified in paragraph (b)(3)(iii)(A) of 10 CFR 431.324.
F. Amendments to Standby Mode Test Method
Paragraph (c) of 10 CFR 431.324 (``Testing and Calculations-Standby
Mode) specifies the procedure for measuring standby mode energy
consumption. This paragraph explicitly states that the measurement of
standby mode need not be performed to determine compliance with energy
conservation standards for metal halide lamp fixtures at this time. 10
CFR 431.324(c). That paragraph further states that this statement will
be removed as part of the rulemaking to amend the energy conservation
standards for metal halide lamp fixtures to account for standby mode
energy consumption, and the specified procedure shall apply on the
compliance date for such requirements. Id. However, all representations
related to standby mode energy consumption of MHLFs made after
September 7, 2010, must be based upon results generated under this test
procedure. Id.
In this final rule, as proposed in the July 2021 NOPR, DOE adopts
clarifying modifications to the standby mode test method specified in
10 CFR 431.324. 86 FR 37069, 37079. DOE has determined that, because
the adopted amendments to standby mode test procedures do not involve
substantive changes to the test methodology, they will not affect
measured values. DOE details the amendments to the standby mode test
method and discussion of comments in the following subsections.
1. Test Conditions and Setup
In the July 2021 NOPR, DOE proposed 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
proposed to state that the language in 10 CFR 431.324 would take
precedence if there is a conflict between the industry standard, IEC
62301:2011, proposed to be adopted through reference, and the language
in the revised DOE test procedure. 86 FR 37069, 37079.
DOE received no comments regarding these proposed amendments to the
test procedure. For the reasons discussed in the July 2021 NOPR and in
the preceding paragraph, DOE is adopting the changes to the test
conditions and setup instructions as proposed.
Both the active mode and standby mode test methods measure input
power of the ballast. As such, for consistency within the test
procedure and to reduce the test burden, in the July 2021 NOPR, DOE
proposed to modify the test conditions and setup paragraph in the
standby mode test method with the following directions: (1) test
conditions and setup must be in accordance with the active mode test
method, and (2) each ballast must be operated with a lamp as specified
in the active mode test method, except that the use of a reference lamp
is not required. 86 FR 37069, 37079. Because lamps are not turned on
during the measurement of standby mode energy consumption, DOE
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 proposed to revise the
heading ``Test Conditions'' of paragraph (c)(1) of existing 10 CFR
431.324 to ``Test Conditions and Setup'', redesignated as paragraph
(c)(2), to reflect these changes. Id.
Signify expressed support for the proposed amendments with no
additional comment. (Signify, No. 10 at p. 7)
For the reasons discussed in the July 2021 NOPR and in preceding
paragraphs, DOE adopts its proposal to reference the active mode test
method section for the test conditions and setup of the standby mode
test method, and to specify that each ballast must be operated with a
lamp as specified in the active mode test method, except that the use
of a reference lamp is not required.
2. Test Method and Measurement
In the July 2021 NOPR, DOE proposed to add a new paragraph,
designated as (c)(3), with the heading ``Test Method and Measurement,''
containing specific instructions related to the measurement of standby
mode energy consumption. 86 FR 37069, 37079. DOE proposed 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 subsequent
[[Page 37693]]
measurement of standby mode energy consumption to be conducted
according to Section 5 of IEC 62301:2011. Id.
Signify stated that DOE's proposed instruction to require the lamp
be turned on to ensure the ballast is not defective prior to measuring
standby mode energy consumption is reasonable. Signify added that since
a defective ballast may appear to be operating in standby mode with an
unlit lamp, the ballast should be powered on before and after taking
standby mode power measurements to verify it is operating properly.
(Signify, No. 10 at p. 8)
DOE determined that turning the lamp on prior to measurement is
sufficient for verifying that the ballast is not defective--that it is
providing the power supply necessary to operate the lamps, and that
turning it on after the measurement is not necessary. This also aligns
with DOE's standby mode test method for fluorescent lamp ballasts (see
appendix Q).
For the reasons discussed in the preceding paragraphs and in the
July 2021 NOPR, in this final rule, DOE adopts its proposed
instructions requiring the lamp be turned on prior to measurement to
ensure the ballast is not defective prior to measuring standby mode
energy consumption.
Regarding DOE's proposal to stabilize and measure standby mode
energy consumption in accordance with Section 5 of IEC 62301:2011, as
discussed, 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)) In establishing
the standby test procedure for MHLFs, DOE developed the test procedure
to be consistent with IEC Standard 62301. 75 FR 10950, 10959. IEC
Standard 62087 applies only to audio, video, and related equipment, and
does not apply to lighting products. IEC 62301:2011 does not
specifically address lighting products but applies generally to
household electrical appliances, which include lighting products. In
order to develop a test method that would be familiar to metal halide
lamp ballast manufacturers, DOE also referenced language and
methodologies presented in ANSI C82.6-2005. Id.
In the July 2021 NOPR, DOE proposed a standby mode test procedure
that directly references IEC 62301:2011 to replace the test procedure
based on IEC 62301 with references to ANSI C82.6. Specifically, DOE
proposed to reference Section 5 of IEC 62301:2011 for stabilization and
standby mode energy consumption measurements. 86 FR 37069, 37078-37079.
DOE noted that ANSI C82.6 does not explicitly address measurements for
standby mode, whereas IEC 62301:2011 provides instructions for
measuring standby mode energy consumption of household electrical
appliances. Id. In the May 2019 RFI, DOE requested comment on the
potential impact of incorporating IEC 62301:2011. NEMA responded that
IEC 62301:2011 is not applicable to high intensity discharge (``HID'')
lamp ballasts. In response, in the July 2021 NOPR, DOE referred NEMA to
section 1 of IEC 62301:2011 which states the standard is applicable to
electrical products with certain rated voltages which would include
metal halide lamp ballasts. Id. In the July 2021 NOPR, DOE tentatively
determined that replacing the currently referenced industry standard
(ANSI C82.6-2005) with one that addresses standby mode energy
consumption (IEC 62301:2011) would improve clarity, better align with
the requirements of EPCA and the standby mode test methods for other
lighting products. 86 FR 37069, 37078-37079.
China, Signify, and NEMA recommended that DOE adopt IEC 63103:2020
rather than IEC 62301 for measuring standby mode power. (China, No. 9
at p. 3; Signify, No. 10 at pp. 2-3; NEMA, Public Meeting Transcript,
pp. 14-15) China stated that standby power measurements should adhere
to IEC 63103:2020, as MHLFs are lighting devices, and asserted that IEC
62301:2011 is for household appliances. (China, No. 9 at p. 3)
Signify stated that MHLFs are not used in household applications
and that IEC 63103:2020 has been specifically developed to measure low
power modes, such as standby mode, of lighting devices and systems.
Signify stated that the definition of standby power in IEC 63103:2020
is ``standby mode [of lighting equipment] when the equipment is
connected to a supply voltage with the illumination function off, while
capable of being activated by an external trigger not being a trigger
from a network,'' which better aligns with DOE's definition. (Signify,
No. 10 at p. 3) Signify stated that IEC 63103:2020 includes more
specific guidelines and clarifications for stabilizing MHLFs than IEC
62301:2011 does, and that the ANSI C137 Lighting Systems Committee is
in the process of adopting IEC 63103:2020 as an ANSI standard for
similar reasons. (Signify, No. 10 at pp 3-4; 8-9)
NEMA stated that when IEC 62301:2011 was the only standby mode
testing standard, it was acceptable to use for MHLFs; but now that the
lighting industry has written a standby testing standard (i.e., IEC
63103:2020), it is more appropriate to use it. (NEMA, Public Meeting
Transcript, pp. 14-15)
As noted in the July 2021 NOPR, DOE proposed to reference Section 5
of IEC 62301:2011 for stabilization and standby mode energy consumption
measurements. 86 FR 37069, 37079. To evaluate commenters'
recommendation to reference IEC 63103:2020 instead of IEC 62301:2011,
DOE reviewed the method for stabilization and standby mode energy
consumption measurements in the two standards in a line-by-line
comparison. The method of stabilization and measurement are specified
in Section 5.3 of IEC 62301:2011 and in Section 5.4 of IEC 63103:2020.
Instructions in both these sections outline the same three options for
stabilization and measurement of standby mode energy consumption: a
direct meter reading method, an average reading method, and a sampling
method. Sections in both standards describe the direct meter reading
method as recording the instrument power reading; the average reading
method as averaging power readings over a specified period or
alternatively recording the accumulated energy consumption over a
specified period and dividing by the period; and the sampling method as
recording power measurements at regular intervals throughout the
measurement period. Sections in both standards specify that the direct
meter reading method shall only be used where the mode does not change
and the power reading displayed is stable, and that results from the
other two methods have precedence over this method. Both standards do
not permit the average reading method for cyclic loads or limited
duration modes and specify that the sampling method shall be used for
cyclic or unstable modes and where there is doubt regarding the
behavior of the test unit. Further, in each method, the steps for
stabilizing and taking measurements are laid out in the same manner and
use almost identical language. The only differences in the methods
described in IEC 62301:2011 and IEC 63103:2020, shown in Table III.2,
are the threshold at which the test unit is considered stable.
[[Page 37694]]
Table III.2--Comparison of Stabilization Thresholds in IEC 62301 and IEC
63103
------------------------------------------------------------------------
Test method IEC 62301:2011 IEC 63103:2020
------------------------------------------------------------------------
Direct meter reading method; The difference The difference
average reading method; between two between two
sampling method (cyclic readings (direct readings (direct
power consumption). method) or the method) or the
difference between difference between
the two comparison the two comparison
periods divided by periods divided by
the time difference the time difference
of the mid-points of the mid-points
of the comparison of the comparison
periods has a slope periods has a slope
(average reading (average reading
method, sampling method, sampling
method) is less method) is less
than 10 milliwatt than 50 mW/h or 3%
per hour (``mW/h'') of measured input
for <=1 watt power per hour,
(``W'') input power whichever is
or 1% of measured greater, for all
input power per input powers.
hour for >1W input
power.
Sampling method (power Linear regression Linear regression
consumption within a mode through all power through all power
is non-cyclic). readings for the readings for the
second two thirds second two thirds
of the total period of the total period
has a slope of less has a slope of less
than 10 mW/h for <= than 10 mW/h or 1%
1W input power or of measured input
1% of measured power per hour,
input power per whichever is
hour for <=1W input greater, for all
power. input powers.
Sampling method (modes that Cumulative average Cumulative average
are known to be non-cyclic of all data points of all data points
per specs and varying). in the second two in the second two
thirds of the total thirds of the total
time period must time period must
fall within a band fall within a band
of 0.2%. of 1%.
------------------------------------------------------------------------
As shown in Table III.2, IEC 63103:2020 specifies slightly less
stringent stabilization thresholds than IEC 62301:2011 (e.g.,
specifying for the sampling method that the cumulative average of all
data points in the second two thirds of the total time period must fall
within a band of 1 percent, as opposed to a band of 0.2 percent). DOE finds that these minor differences in stability
criteria would not result in measurably different values of standby
power between the two methods. As commenters have noted, IEC 63103:2020
was specifically developed to measure standby mode of lighting devices,
and thereby established stabilization thresholds more relevant to such
products.
Finally, as noted in preceding paragraphs, DOE requested comment on
its consideration of referencing IEC 62301:2011 in the May 2019 RFI and
its proposal to reference it in the July 2021 NOPR. 86 FR 37069, 37078-
37079. Because IEC 62301:2011 and IEC 63103:2020 provide the same test
methods for stabilization and measurement, different only in certain
stabilization thresholds, interested parties have had the opportunity
to comment on the method of measuring standby mode in accordance with
IEC 63103:2020. As commented by interested parties (as summarized in
the preceding paragraphs), DOE has determined that the adoption of IEC
63103:2020 better aligns with the lighting industry's best practices
for measuring standby mode energy consumption.
As directed by EPCA, DOE has taken into consideration IEC 62301 for
the standby mode energy consumption test method (42 U.S.C.
6295(gg)(2)(A)). As stated, the test method provided in IEC 63103:2020
applicable to MHLFs is essentially the same test method as proposed by
reference in IEC 62301. DOE has determined that the two test methods
would produce equivalent results. As IEC 63103:2020 is specific to
lighting, DOE has determined that it is the more appropriate industry
standard to reference for measuring standby mode energy consumption of
MHLFs. For these reasons, in this final rule DOE amends the MHLF test
procedure to reference Section 5.4 of IEC 63103:2020 for stabilizing
and measuring the standby mode energy consumption of MHLF ballasts.
Regarding the implications of replacing the reference to ANSI
C82.6-2005, Signify stated that the standby power test method specified
by ANSI C82.6-2005 is very different from the proposed IEC 62301:2011
method, and thus measured values could change. Signify stated the
impact would be minimal, however, as few metal halide lamp ballasts
operate in standby mode. Signify also noted that DOE has no efficiency
standard for standby mode. (Signify, No. 10 at pp. 10-11)
As noted by Signify and as discussed previously, DOE currently does
not prescribe standards that incorporate standby mode energy
consumption of MHLFs. Based on a review of MHLFs and metal halide lamp
ballasts on the market, DOE has determined that manufacturers are not
making representations of standby mode power consumption in public-
facing materials; therefore, amending the test procedure to reference
IEC 63103:2020 (which, as discussed, produces results equivalent to IEC
62301:2011) rather than ANSI C82.6-2005 will result in no impact for
MHLF manufacturers.
G. Compliance Date
The effective date for the adopted test procedure amendment will be
30 days after publication of this final rule in the Federal Register.
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 the final rule in the Federal
Register. (42 U.S.C. 6293(c)(2)) 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 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.)
H. Test Procedure Costs and Impacts
In this document, DOE amends the existing test procedure for MHLFs
by (1) incorporating by reference new relevant industry standards as
well as updating to latest versions of existing references; (2)
revising definitions and reorganizing the content of the test procedure
for better readability and clarity; (3) clarifying the selection of
reference lamps to be tested with metal halide lamp ballasts; (4)
specifying the light output level at which to test dimming ballasts in
active mode; and (5) referencing IEC 63103:2020 and clarifying
instructions for measuring the standby mode energy consumption of metal
halide lamp ballasts. DOE has determined that the test procedure as
amended by this final rule would not impact testing costs as discussed
in the following paragraphs.
In the July 2021 NOPR, DOE tentatively determined that the proposed
amendments to the MHLF test procedure would not be unduly burdensome to
conduct and would
[[Page 37695]]
result in neither a reduction of nor an increase in future testing
costs. 86 FR 37069, 37080. The proposed amendments update industry
standard references of ANSI C78.43 from version 2004 to 2017 and ANSI
C82.6 from version 2005 to 2020 and references 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 energy
consumption measurement. Id. In the July 2021 NOPR, DOE tentatively
determined these updates only clarify requirements, and do not add
complexity to test conditions/setup or add test steps. Id. In this
final rule, DOE is adopting IEC 63103:2020 rather than IEC 62301:2011.
As discussed in section III.F.2 of this document, these two standards
specify slightly different stabilization thresholds but are expected to
yield equivalent standby power measurement results. Therefore, DOE
finds that its preliminary conclusions pertaining to IEC 62301:2011
also apply to IEC 63103:2020 as adopted in this final rule.
Further, DOE finds that the amendments, aside from updates and
addition of industry standards, being adopted in this final rule and
proposed in the July 2021 NOPR provide further clarification to DOE's
test procedure for MHLF, do not substantively change the existing test
methods and therefore do not impact test burden or testing costs. These
amendments are clarifications regarding selection of reference lamps
(see section III.E.1.c); of definitions (see section III.C); of light
output level at which to test dimming ballasts (see section III.E.1.b);
and testing standby mode energy consumption (see section III.F).
Signify stated that adopting the test procedure updates will incur
approximately $50,000 in additional costs through the need for a new
National Voluntary Laboratory Accreditation Program (``NVLAP'')
accreditation and to acquire equipment compatible with the proposed IEC
standby power test method. Signify added that laboratories conducting
the standby power test method will undergo a testing time increase of
at least 90 minutes per unit. Signify stated that additional costs and
test burden are unnecessary given the market transition to LED
technology. (Signify, No. 10 at p. 11-12)
As stated in the July 2021 NOPR, a laboratory gaining accreditation
to test MHLFs according to the test procedure in 10 CFR 431.324 would
be 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. 86 FR 37069,
37080. Regarding acquisition of test equipment compatible with the
adoption of the IEC standard for standby mode energy consumption, DOE
reviewed the instrumentation information provided in the IEC standards
and did not identify the need for any equipment for power measurements
that laboratories would not already have for taking power measurements
of electrical products.
In this final rule, DOE is specifying to stabilize the ballast and
measure its standby mode energy consumption in accordance with Section
5.4 of IEC 63103:2020 (see section III.F.2). DOE has determined that
this amendment does not add testing time to the standby mode test
method. Prior to this amendment the standby mode test method stated
ballast test conditions shall be as specified in Section 4.0 of ANSI
C82.6 and input power shall be measured as specified in Section 6.0 of
ANSI C82.6. However, Section 4.0 of ANSI C82.6 provides specifications
for lamp stabilization, not specifications, as provided in Section 5.4
of IEC 63103:2020, for ballast stabilization in standby mode (i.e.,
lamp is turned off). DOE assumes that when using the previous standby
test method any lab or manufacturer would follow best practices and
stabilize the unit being tested before taking measurements. Section 5.4
of IEC 63103:2020 provides three different step-by-step methods of
determining stabilization and taking the final power measurement (see
section III.F.2). These methods are not new and are almost the same
ones employed in the industry standard for determining standby mode
energy consumption for household electrical appliances, IEC 62301:2011.
DOE finds that manufacturers, in accordance with best industry
practices, would likely have used a method similar to the ones provided
in Section 5.4 of IEC 63103:2020. Hence DOE has determined that
referencing Section 5.4 of IEC 63103:2020 for stabilization and
measurement of the standby mode energy consumption of the ballast does
not result in additional testing time.
In summary, DOE has determined that the amendments adopted in this
final rule do not impact test burden or testing costs.
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866 and 13563
Executive Order (``E.O.'')12866, ``Regulatory Planning and
Review,'' as supplemented and reaffirmed by E.O. 13563, ``Improving
Regulation and Regulatory Review, 76 FR 3821 (Jan. 21, 2011), requires
agencies, to the extent permitted by law, to (1) propose or adopt a
regulation only upon a reasoned determination that its benefits justify
its costs (recognizing that some benefits and costs are difficult to
quantify); (2) tailor regulations to impose the least burden on
society, consistent with obtaining regulatory objectives, taking into
account, among other things, and to the extent practicable, the costs
of cumulative regulations; (3) select, in choosing among alternative
regulatory approaches, those approaches that maximize net benefits
(including potential economic, environmental, public health and safety,
and other advantages; distributive impacts; and equity); (4) to the
extent feasible, specify performance objectives, rather than specifying
the behavior or manner of compliance that regulated entities must
adopt; and (5) identify and assess available alternatives to direct
regulation, including providing economic incentives to encourage the
desired behavior, such as user fees or marketable permits, or providing
information upon which choices can be made by the public. DOE
emphasizes as well that E.O. 13563 requires agencies to use the best
available techniques to quantify anticipated present and future
benefits and costs as accurately as possible. In its guidance, the
Office of Information and Regulatory Affairs (``OIRA'') in the Office
of Management and Budget (``OMB'') has emphasized that such techniques
may include identifying changing future compliance costs that might
result from technological innovation or anticipated behavioral changes.
For the reasons stated in the preamble, this final regulatory action is
consistent with these principles.
Section 6(a) of E.O. 12866 also requires agencies to submit
``significant regulatory actions'' to OIRA for review. OIRA has
determined that this final regulatory action does not constitute a
``significant regulatory action'' under section 3(f) of E.O. 12866.
Accordingly, this action was not submitted to OIRA for review under
E.O. 12866.
[[Page 37696]]
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of a final regulatory flexibility analysis (FRFA) for any
final rule where the agency was first required by law to publish a
proposed rule 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 (August 16, 2002), DOE published procedures and policies on
February 19, 2003 to ensure that the potential impacts of its rules on
small entities are properly considered during the DOE rulemaking
process. 68 FR 7990. DOE has made its procedures and policies available
on the Office of the General Counsel's website: energy.gov/gc/office-general-counsel.
DOE has recently conducted a focused inquiry into small business
manufacturers of the MHLFs covered by this rulemaking. DOE used
available public information to identify potential small manufacturers.
DOE accessed the Compliance Certification Database \14\ to create a
list of companies that import or otherwise manufacture the MHLFs
covered by this proposal.
---------------------------------------------------------------------------
\14\ U.S. Department of Energy Compliance Certification
Management System, available at: www.regulations.doe.gov/ccms.
---------------------------------------------------------------------------
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.
In the July 2021 NOPR, DOE tentatively concluded that the proposed
amendments would not increase the industry cost of the existing test
procedure (see section III.H) and would not have a ``significant
economic impact on a substantial number of small entities,'' so the
preparation of an IRFA is not warranted. 86 FR 37069, 37082.
DOE received no comments on the impacts of the test procedure
amendments proposed in the NOPR on small businesses.
Therefore, DOE concludes that the cost effects accruing from the
final rule would not have a ``significant economic impact on a
substantial number of small entities,'' and that the preparation of a
FRFA is not warranted. DOE has submitted a 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).
C. Review Under the Paperwork Reduction Act of 1995
Manufacturers of MHLFs must certify to DOE that their products
comply with any applicable energy conservation standards. To certify
compliance, manufacturers must first obtain test data for their
products 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. DOE is not amending the certification or
reporting requirements for MHLFs in this final rule.
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
In this final rule, DOE establishes test procedure amendments that
it expects will be used to develop and implement future energy
conservation standards for MHLFs. DOE has determined that this rule
falls into a class of actions that are categorically excluded from
review under the National Environmental Policy Act of 1969 (42 U.S.C.
4321 et seq.) and DOE's implementing regulations at 10 CFR part 1021.
Specifically, DOE has determined that adopting test procedures for
measuring energy efficiency of consumer products and industrial
equipment is consistent with activities identified in 10 CFR part 1021,
appendix A to subpart D, A5 and A6. Accordingly, neither an
environmental assessment nor an environmental impact statement is
required.
E. Review Under Executive Order 13132
Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 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 the
development of such regulations. 65 FR 13735. DOE examined this final
rule and determined that it will not have a substantial direct effect
on the States, on the relationship between the national
[[Page 37697]]
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 final 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 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,
this final rule meets the relevant standards of Executive Order 12988.
G. Review Under the Unfunded Mandates Reform Act of 1995
Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'')
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 regulatory action resulting 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 www.energy.gov/gc/office-general-counsel. DOE examined this final
rule according to UMRA and its statement of policy and determined that
the rule contains neither an intergovernmental mandate, nor a mandate
that may result in the expenditure of $100 million or more in any year,
so these requirements do not apply.
H. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any rule that may affect family well-being.
This final rule will 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 (March 18, 1988), that this regulation will 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 www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has
reviewed this final 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 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 significant energy action, the
agency must give a detailed statement of any adverse effects on energy
supply, distribution, or use if the regulation is implemented, and of
reasonable alternatives to the action and their expected benefits on
energy supply, distribution, and use.
This regulatory action 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
[[Page 37698]]
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 modifications to the test procedure for MHLFs adopted in this
final rule incorporates testing methods contained in certain sections
of the following commercial standards:
(1) 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.
(2) ANSI C78.44 (ANSI C78.44-2016), ``American National Standard
for Electric Lamps--Double-Ended Metal Halide Lamps,'' approved July 1,
2016.
(3) 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.
(4) ANSI C82.9 (ANSI C82.9-2016), ``American National Standard for
Lamp Ballasts--High-Intensity Discharge and Low-Pressure Sodium Lamps--
Definitions,'' approved July 12, 2016.
(5) International Electrotechnical Commission (``IEC'') 63103 (IEC
63103), ``Lighting Equipment--Non-Active Mode Power Measurement''
(Edition 1.0, 2020-07).
DOE has evaluated these standards and is unable to conclude whether
it fully complies with the requirements of section 32(b) of the FEAA
(i.e., whether it was developed in a manner that fully provides for
public participation, comment, and review.) DOE has consulted with both
the Attorney General and the Chairman of the FTC about the impact on
competition of using the methods contained in these standards and has
received no comments objecting to their use.
M. Congressional Notification
As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of this rule before its effective date. The report will
state that it has been determined that the rule is not a ``major rule''
as defined by 5 U.S.C. 804(2).
N. Description of Materials Incorporated by Reference
In this final rule, DOE incorporates 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. Specifically, the test procedure
codified by this final rule 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 webstore.ansi.org/.
In this final rule, DOE also incorporates 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. Specifically, the test procedure
codified by this final rule 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 webstore.ansi.org/.
In this final rule, DOE also incorporates 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. Specifically, the test procedure codified
by this final rule 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 webstore.ansi.org/.
In this final rule, DOE also incorporates by reference the test
standard published by ANSI, titled ``American National Standard for
Lamp Ballasts--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. Specifically, the test procedure codified by
this final rule 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 webstore.ansi.org/.
In this final rule, DOE also incorporates by reference the test
standard published by IEC, titled ``Lighting Equipment--Non-Active Mode
Power Measurement (Edition 1.0, July 2020),'' IEC 63103:2020. IEC
63103:2020 is an industry accepted standard that describes measurements
of electrical power consumption in standby mode, off mode, and
networked standby mode for lighting equipment. Specifically, the test
procedure codified by this final rule references Section 5.4 of IEC
63103:2020 for testing standby mode energy consumption of metal halide
lamp ballasts. IEC 63103:2020 is readily available on IEC's website at
webstore.ansi.org.
V. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this final
rule.
List of Subjects in 10 CFR Part 431
Administrative practice and procedure, Confidential business
information, Energy conservation test procedures, Incorporation by
reference, Reporting and recordkeeping requirements.
Signing Authority
This document of the Department of Energy was signed on June 17,
2022, by Kelly J. Speakes-Backman, Principal Deputy 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 17, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
For the reasons stated in the preamble, DOE amends part 431 of
chapter II of title 10, Code of Federal Regulations as set forth below:
[[Page 37699]]
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 definition for ``AC control signal'';
0
b. Revising the definition for ``Ballast efficiency'';
0
c. Adding in alphabetical order a definition for ``Ceramic metal halide
lamp'';
0
d. Removing the definition for ``DC control signal'';
0
e. Adding in alphabetical order definitions for ``Quartz metal halide
lamp'' and ``Reference lamp''; and
0
f. Removing the definition for ``Wireless control signal''.
The revision and additions 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
(2) Pin equals the measured operating input wattage.
(3) The lamp, and the capacitor when the capacitor is provided,
shall constitute a nominal system in accordance with the ANSI C78.43-
2017 (incorporated by reference; see Sec. 431.323);
(4) For ballasts with a frequency of 60 Hz, Pin and Pout shall be
measured after lamps have been stabilized according to Section 4.4 of
ANSI C82.6-2015 (incorporated by reference; see Sec. 431.323) using a
wattmeter with accuracy specified in Section 4.5 of ANSI C82.6-2015;
and
(5) For ballasts with a frequency greater than 60 Hz, Pin and Pout
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.
* * * * *
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);
0
b. Redesignating paragraph (c) as paragraph (d); and
0
c. Adding new paragraph (c).
The revisions and addition 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 in accordance
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other
than that specified in this section, the U.S. Department of Energy
(DOE) must publish a document in the Federal Register and the material
must be available to the public. All approved incorporation by
reference (IBR) material is available for inspection at DOE, and at the
National Archives and Records Administration (NARA). Contact DOE 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) 586-9127,
[email protected], https://www.energy.gov/eere/buildings/building-technologies-office. 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. The material
may be obtained from the sources in the following paragraphs of this
section.
(b) ANSI. American National Standards Institute, 25 W. 43rd Street,
4th Floor, New York, NY 10036; 212-642-4900; www.ansi.org.
(1) 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 C78.44-2016, American National Standard for Electric
Lamps--Double-Ended Metal Halide Lamps, approved July 1, 2016; IBR
approved for Sec. 431.324.
(3) ANSI C82.6-2015 (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; 431.324.
(4) ANSI C82.9-2016, American National Standard for Lamp Ballasts--
High Intensity Discharge and Low-Pressure Sodium Lamps--Definitions,
approved July 12, 2016; IBR approved for Sec. Sec. 431.322; 431.324.
(c) IEC. International Electrotechnical Commission, 3 rue de
Varemb[eacute], 1st Floor, P.O. Box 131, CH--1211 Geneva 20--
Switzerland, +41 22 919 02 11, or go to webstore.iec.ch/home.
(1) IEC 63103, Lighting Equipment--Non-active Mode Power
Measurement, Edition 1.0, dated 2020-07; 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 July 25, 2022, and prior to December 21, 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 10
CFR 431.324 as it appeared in the 10 CFR parts 200-499 edition revised
as of January 1, 2022. On or after December 21, 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 otherwise explicitly optional, 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).
[[Page 37700]]
(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 and
the rated values of the corresponding lamp data sheet as specified in
ANSI C78.43-2017 (both 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).
(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 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) To determine the percent efficiency of the
ballast under test, divide the measured ballast output (lamp) power, as
measured in paragraph (b)(3)(ii) of this section, by the measured
ballast input power, as measured in paragraph (b)(3)(ii) of this
section. Calculate percent efficiency 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
otherwise explicitly optional, are mandatory. When there is a conflict,
the language of the test procedure in this section takes precedence
over IEC 63103 (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)(2) of this
section.
(ii) Connect each ballast to a lamp as specified in paragraph
(b)(2)(vi) 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 5.4 of IEC 63103.
(iv) Measure the standby mode energy consumption in watts using one
of the methods as specified in Section 5.4 of IEC 63103.
[FR Doc. 2022-13459 Filed 6-23-22; 8:45 am]
BILLING CODE 6450-01-P