[Federal Register Volume 76, Number 63 (Friday, April 1, 2011)]
[Proposed Rules]
[Pages 18127-18130]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-7585]



10 CFR Part 431

[Docket No. EERE-2009-BT-STD-0018]
RIN 1904-AC00

Energy Conservation Standards for Metal Halide Lamp Fixtures: 
Public Meeting and Availability of the Preliminary Technical Support 

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

ACTION: Notice of public meeting and availability of preliminary 
technical support document.


SUMMARY: The U.S. Department of Energy (DOE) will hold a public meeting 
to discuss and receive comments on: the equipment classes that DOE 
plans to analyze for purposes of establishing energy conservation 
standards for metal halide lamp fixtures (MHLFs); the analytical 
framework, models, and tools that DOE is using to evaluate standards 
for this equipment; the results of preliminary analyses DOE performed 
for this equipment; and potential energy conservation standard levels 
derived from these analyses that DOE could consider for this equipment. 
DOE encourages written comments on these subjects. To inform interested 
parties and facilitate this process, DOE has prepared an agenda, a 
preliminary technical support document (TSD), and briefing materials, 
which are available at http://www1.eere.energy.gov/buildings/appliance_standards/commercial/metal_halide_lamp_fixtures.html.

DATES: DOE will hold a public meeting on Monday, April 18, 2011 
beginning at 9 a.m. in Washington, DC. The agenda for the public 
meeting will cover this energy conservation standards rulemaking for 
MHLFs. Any person requesting to speak at the public meeting should 
submit such a request, along with an electronic copy of the statement 
to be given at the public meeting, before Monday, April 11, 2011. 
Written comments are welcome, especially following the public meeting, 
and should be submitted by May 16, 2011.
    In addition, you can attend the public meeting via webinar. Webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants will be 
published on DOE's Web site at: http://www1.eere.energy.gov/buildings/appliance_standards/commercial/metal_halide_lamp_fixtures.html. 
Participants are responsible for ensuring their systems are compatible 
with the webinar software.

ADDRESSES: The public meeting will be held at the U.S. Department of 
Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121. Please note that foreign nationals 
participating in the public meeting are subject to advance security 
screening procedures. If a foreign national wishes to participate in 
the public meeting, please inform DOE of this fact as soon as possible 
by contacting Ms. Brenda Edwards at (202) 586-2945 so that the 
necessary procedures can be completed. Interested persons may submit 
comments, identified by docket number EERE-2009-BT-STD-0018, by any of 
the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     E-mail: [email protected]. Include EERE-2009-
BT-STD-0018 and/or RIN 1904-AC00 in the subject line of the message.
     Postal Mail: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, Mailstop EE-2J, Public Meeting 
for Metal Halide Lamp Fixtures, EERE-2009-BT-STD-0018, 1000 
Independence Avenue, SW., Washington, DC 20585-0121. Telephone (202) 
586-2945. Please submit one signed paper original.
     Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department 
of Energy, Building Technologies Program, Sixth Floor, 950 L'Enfant 
Plaza, SW., Washington, DC 20024. Telephone (202) 586-2945. Please 
submit one signed paper original.
    Instructions: All submissions received must include the agency name 
and docket number.
    Docket: Access to the docket to review background documents, the 
transcript of the public meeting, or comments received is available at 
the U.S. Department of Energy, Sixth Floor, 950 L'Enfant Plaza, SW., 
Washington, DC 20024, (202) 586-2945, between 9 a.m. and 4 p.m., Monday 
through Friday,

[[Page 18128]]

except Federal holidays. Please call Ms. Brenda Edwards at (202) 586-
2945 for additional information regarding visiting the Resource Room.

FOR FURTHER INFORMATION CONTACT: Direct requests for additional 
information to Dr. Tina Kaarsberg, U.S. Department of Energy, Office of 
Energy Efficiency and Renewable Energy, Building Technologies Program, 
EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-0121, (202) 
287-1393. E-mail: [email protected]. In the Office of General 
Counsel, contact Mr. Ari Altman, U.S. Department of Energy, Office of 
General Counsel, GC-71, 1000 Independence Avenue, SW., Washington, DC 
20585, (202) 287-6307. E-mail: [email protected].


I. History of Standards Rulemakings for Metal Halide Lamp Fixtures 
and Regulatory Authority
    A. Background
    B. Current Rulemaking Process
II. Summary of the Analyses
    A. Engineering Analysis
    B. Energy Use Characterization
    C. Markups to Determine Installed Price
    D. Life-Cycle Cost and Payback Period Analyses
    E. National Impact Analysis

I. History of Standards Rulemakings for Metal Halide Lamp Fixtures and 
Regulatory Authority

A. Background

    Title III of the Energy Policy and Conservation Act (EPCA) of 1975, 
Public Law 94-163, (42 United States Code (U.S.C.) 6291 et seq.) 
established an energy conservation program for major household 
appliances and industrial and commercial equipment. More specifically, 
Part B of Title III (42 U.S.C. 6291-6309) establishes the ``Energy 
Conservation Program for Consumer Products Other Than Automobiles.'' 
\1\ Subsequent amendments to EPCA have given DOE the authority to 
regulate the energy efficiency of several additional kinds of 
equipment, including MHLFs, which are the focus of this document.

    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part B of Title III was re-designated as Part A.

    The following summarizes the pertinent legislative and regulatory 
history for MHLFs. DOE is conducting its first rulemaking cycle to 
review and consider amendments to the energy conservation standards in 
effect for MHLFs, as required under 42 U.S.C. 6295(hh)(2).
    By way of background, on December 19, 2007, the President signed 
the Energy Independence and Security Act of 2007 (EISA 2007) which made 
numerous amendments to EPCA and directed DOE to undertake several new 
rulemakings for appliance energy conservation standards. (Pub. L. 110-
140) The MHLF provisions, section 324 of EISA 2007, amended EPCA by:
     Inserting definitions pertaining to ``metal halide 
ballast,'' \2\ ``metal halide lamp,'' \3\ and ``metal halide lamp 
fixtures'' \4\ (among others) into section 321 of EPCA (42 U.S.C. 
6291(62), (63), and (64));

    \2\ ``Metal halide ballast'' means ``a ballast used to start and 
operate metal halide lamps.'' (42 U.S.C. 6291(62)).
    \3\ ``Metal halide lamp'' means ``a high intensity discharge 
lamp in which the major portion of the light is produced by 
radiation of metal halides and their products of dissociation, 
possibly in combination with metallic vapors.'' (42 U.S.C. 
    \4\ ``Metal halide lamp fixture'' means ``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. 

     Amending section 323(b) of EPCA to direct DOE to develop a 
test procedure for metal halide (MH) lamp ballasts based on the 
American National Standard Institute (ANSI) Standard C82.6-2005, 
Ballasts for High-Intensity Discharge (HID) Lamps-Methods of 
Measurement (42 U.S.C. 6293(b)(18));
     Amending section 324(a)(2) of EPCA by directing the 
Federal Trade Commission (FTC) to conduct a labeling rulemaking for 
MHLFs (42 U.S.C. 6294(a)(2)(C)); and
     Amending section 325 of EPCA by prescribing energy 
conservation standards for MHLFs, requiring that they contain ballasts 
that meet or exceed defined efficiency levels. Compliance with the EISA 
2007-prescribed standards was required as of January 1, 2009. (42 
U.S.C. 6295(hh)(1)) As stated in the statutory language, the Secretary 
is directed to publish a final rule no later than January 1, 2012 to 
determine whether the energy conservation standards established by EISA 
2007 for MHLFs should be amended, with any amendment applicable to 
products manufactured on or after January 1, 2015. (42 U.S.C. 
    The following statutory provisions are directly relevant to the 
energy conservation standards rulemaking for MHLFs. As amended by EISA 
2007, EPCA regulates MHLFs designed to be operated with lamps rated 
greater than or equal to 150 watts (W), but less than or equal to 500 W 
by prescribing performance requirements for the MH lamp ballasts used 
in those MHLFs. Both MH lamps and ballasts are energy-using components 
of MHLFs. For this MH lamp wattage range, MHLFs must contain the 
ballasts described at 42 U.S.C. 6295(hh)(1)(A).
    In addition to prescribing minimum efficiency requirements for the 
previously described MH lamp ballasts contained in MHLFs, EISA 2007 
amended EPCA to exclude certain types of MH lamp fixtures from the 
statutorily prescribed energy conservation standards as described at 42 
U.S.C. 6295(hh)(1)(B).
    Pursuant to section 310 of EISA 2007, EPCA further directs DOE to 
incorporate standby mode and off mode energy use in any amended (or 
new) standard adopted after July 1, 2010. (42 U.S.C. 6295(gg)(3)) 
Because this energy conservation standards rulemaking must be completed 
by January 1, 2012, the requirement to incorporate standby mode and off 
mode energy use into the energy conservation standards analysis is 
applicable. The application of standby mode and off mode energy use in 
this rulemaking is discussed in detail in the TSD.
    The following statutory provisions (and associated rulemakings) are 
related to MHLFs but are separate from the current standards 
     In conjunction with energy conservation standards for 
MHLFs, EPCA required DOE to undertake a determination to see if energy 
conservation standards for High Intensity Discharge (HID) lamps 
(including MH lamps) would be technologically feasible and economically 
justified, and would result in significant energy savings. (42 U.S.C. 
6317(a)(1)) DOE completed the HID determination and published a final 
rule (75 FR 67975) on July 1, 2010 concluding that energy conservation 
standards for certain HID lamps are technologically feasible and 
economically justified.
     DOE completed a test procedure rulemaking for MH lamp 
ballasts, as required by EPCA through amendments from EISA 2007. (42 
U.S.C. 6293(b)(18)) The final rule test procedure for MH lamp ballasts 
was published in the Federal Register on March 10, 2010. 75 FR 10950.
     The FTC is directed to conduct a labeling rulemaking as 
part of the requirements set forth by EISA 2007 for MHLFs. (42 U.S.C. 
6294(a)(2)(C)) To this end, the FTC published a final rule in the 
Federal Register on July 9, 2008, amending 16 CFR part 305, ``Rule 
Concerning Disclosures Regarding Energy Consumption and Water Use of 
Certain Home Appliances and Other Products Required Under the Energy 
Policy and Conservation Act (`Appliance Labeling Rule').'' 73 FR 39221. 
On October 23, 2008, the FTC

[[Page 18129]]

published in the Federal Register additional amendments to 16 CFR part 
305 for MHLFs in the form of technical corrections. 73 FR 63066. Both 
final rules fulfilled the FTC's obligations under EISA 2007 pertaining 
to labeling requirements for MHLFs and MH lamp ballasts.

B. Current Rulemaking Process

    On December 30, 2009, DOE published a notice announcing the 
availability of the framework document, ``Energy Conservation Standards 
Rulemaking Framework Document for Metal Halide Lamp Fixtures,'' and a 
public meeting to discuss the proposed analytical framework for the 
rulemaking. 74 FR 69036. DOE also posted the framework document on its 
Web site describing the procedural and analytical approaches DOE 
anticipated using to evaluate the establishment of energy conservation 
standards for MHLFs. This document is available at http://www1.eere.energy.gov/buildings/appliance_standards/commercial/pdfs/mh_ecs_framework.pdf.
    DOE held a public meeting on January 26, 2010, to describe the 
various rulemaking analyses DOE would conduct, such as the engineering 
analysis, the life-cycle cost (LCC) and payback period (PBP) analyses, 
and the national impact analysis (NIA); the methods for conducting 
them; and the relationship among the various analyses. Manufacturers, 
trade associations, and environmental advocates attended the meeting. 
The participants discussed multiple issues including the scope of 
covered MHLFs, test procedures, a system approach and ballast 
efficiency metric, DOE's engineering analysis, LCCs, efficiency levels, 
and energy savings.
    Comments received since publication of the framework document have 
helped DOE identify and resolve issues involved in the preliminary 
analyses. Chapter 2 of the preliminary TSD summarizes and addresses the 
comments DOE received.

II. Summary of the Analyses

    DOE conducted in-depth technical analyses in the following areas 
for the MHLFs currently under consideration: (1) Engineering, (2) 
energy use characterization, (3) markups to determine product price, 
(4) LCC and PBP, and (5) national impact. The preliminary TSD presents 
the methodology and results of each analysis. The analyses are 
described in more detail below.
    DOE conducted several other analyses that either support the five 
major analyses or are preliminary analyses that will be expanded in the 
Notice of Proposed Rulemaking (NOPR). These include the market and 
technology assessment; the screening analysis, which contributes to the 
engineering analysis; and the shipments analysis, which contributes to 
the NIA. DOE has begun some preliminary work on the manufacturer impact 
analysis and identified the methods to be used for the LCC subgroup 
analysis, the environmental assessment, the employment analysis, the 
regulatory impact analysis, and the utility impact analysis. DOE will 
expand on these in the NOPR.

A. Engineering Analysis

    The engineering analysis establishes the relationship between 
manufacturer selling price and equipment efficiency. This relationship 
serves as the basis for cost-benefit calculations for individual 
consumers, manufacturers, and the nation. The engineering analysis 
identifies representative baseline models, which is the starting point 
for analyzing technologies that provide energy efficiency improvements. 
A baseline model refers to a model (or models) having features and 
technologies typically found in equipment currently offered for sale. 
The baseline model in each equipment class represents the 
characteristics of certain MHLFs in that class and, for fixtures 
already subject to energy conservation standards, is usually a model 
that just meets the current standard. Chapter 5 of the preliminary TSD 
discusses the engineering analysis.

B. Energy Use Characterization

    The energy use characterization provides estimates of annual energy 
usage for MHLFs, which DOE uses in the LCC and PBP analyses and the 
NIA. DOE developed energy usage estimates for all of the equipment 
classes analyzed in the engineering analysis as the basis for its 
energy use estimates. Chapters 2 and 6 of the preliminary TSD provide 
detail on the energy use characterization.

C. Markups To Determine Installed Price

    DOE derives the installed prices for equipment based on 
manufacturer markups, retailer markups, distributor markups, contractor 
markups, builder markups, and sales taxes. In deriving these markups, 
DOE has determined the distribution channels for product sales, the 
markup associated with each party in the distribution channels, and the 
existence and magnitude of differences between markups for baseline 
equipment (baseline markups) and for more efficient equipment 
(incremental markups). DOE calculates both overall baseline and overall 
incremental markups based on the equipment markups at each step in the 
distribution channel. The overall incremental markup relates the change 
in the manufacturer sales price of higher efficiency models (the 
incremental cost increase) to the change in the retailer or distributor 
sales price. Chapters 2 and 7 of the preliminary TSD provide detail on 
the estimation of markups.

D. Life-Cycle Cost and Payback Period Analyses

    The LCC and PBP analyses determine the economic impact of potential 
standards on individual consumers. The LCC is the total consumer 
expense for equipment over its lifetime. The LCC analysis compares the 
LCCs of equipment designed to meet possible energy conservation 
standards with the LCCs of equipment likely to be installed in the 
absence of standards. DOE determines LCCs by considering (1) Total 
installed cost to the purchaser (which consists of manufacturer selling 
price, sales taxes, distribution chain markups, and installation cost); 
(2) the operating expenses of the equipment (energy use and 
maintenance); (3) equipment lifetime; and (4) a discount rate that 
reflects the real consumer cost of capital and puts the LCC in present-
value terms. The PBP represents the number of years needed to recover 
the increase in purchase price (including installation cost) of more 
efficient equipment through savings in the operating cost. PBP is equal 
to the change in total installed cost due to increased efficiency 
divided by the change in annual operating cost from increased 
efficiency. Chapters 2 and 8 of the preliminary TSD provide detail on 
the LCC and PBP analyses.

E. National Impact Analysis

    The NIA estimates the national energy savings (NES) and the net 
present value (NPV) of total consumer costs and savings expected to 
result from new standards at specific efficiency levels (referred to as 
candidate standard levels). DOE calculated NES and NPV at each 
efficiency level for each candidate standard for MHLFs as the 
difference between a base-case forecast (without new standards) and the 
standards-case forecast (with standards). DOE determined national 
annual energy usage by multiplying the number of units in use (by 
vintage) by the average unit energy usage (also by vintage). Cumulative 
energy savings are the sum of the annual NES determined over a 
specified time period. The national NPV

[[Page 18130]]

is the sum over time of the discounted net savings each year, which 
consists of the difference between total operating cost savings and 
increases in total installed costs. Critical inputs to this analysis 
include shipments projections, retirement rates (based on estimated 
product lifetimes), and estimates of changes in shipments and 
retirement rates in response to changes in product costs due to 
standards. Chapters 2 and 10 of the preliminary TSD provide detail on 
the NIA.
    DOE consulted with interested parties on all of the analyses and 
invites further input on these topics. The preliminary analytical 
results are subject to revision following review and input from the 
public. A revised TSD will be made available upon issuance of a NOPR. 
The final rule will contain the final analysis results and be 
accompanied by a final rule TSD.
    DOE encourages those who wish to participate in the public meeting 
to obtain the preliminary TSD and be prepared to discuss its contents. 
However, public meeting participants need not limit their comments to 
the topics identified in the preliminary TSD. DOE is also interested in 
receiving information on other relevant issues that participants 
believe would affect energy conservation standards for this equipment 
or that DOE should address in the NOPR.
    DOE welcomes all interested parties, regardless of whether they 
participate in the public meeting, to submit comments and information 
in writing by May 16, 2011.
    The public meeting and associated Webinar will be conducted in an 
informal, conference style. A court reporter will be present to record 
the minutes of the meeting. There shall be no discussion of proprietary 
information, costs, prices, market shares, or other commercial matters 
regulated by U.S. antitrust laws.
    After considering all comments and additional information it 
receives from interested parties or through further analyses, DOE will 
prepare and publish in the Federal Register a NOPR. The NOPR will 
include proposed energy conservation standards for the equipment 
covered by the rulemaking. Members of the public will have an 
opportunity to submit written and oral comments on the proposed 

    Issued in Washington, DC, on March 24, 2011.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Office of Technology 
Development, Energy Efficiency and Renewable Energy.
[FR Doc. 2011-7585 Filed 3-31-11; 8:45 am]