From: Yahraus, Ted [mailto:TYahraus@junolightinggroup.com]

Sent: Monday, October 27, 2008 3:59 PM

To: Graves, Linda

Cc: Geralds, Tony; Harter, Terry; Luby, Susan Subject: A few questions on Metal Halide lamp efficiency standards

Good afternoon, Linda!

Thanks for hearing of my need for some guidance on a couple of issues regarding the upcoming publication of MH efficiency standards, affe cting luminaires produced after 1/1/09.

I am wondering about:

1. What is the DOE view of using ballast co mponents that were themselves in inventory and dated as made before 1/1/09, but are then put into luminaires which are then assembled and shipped after 1/1/09. Is it acceptable to produce them and not put the circle "E" on them?

2. What is the DOE viewpoint on a luminaire manufacturer being allowed to produce luminaires after 1/1/09 that have a unique-feature MH ballast (say core-and-coil quadra-volt tapped), that doesn't meet the minimum ballast efficiency value, but has no alternative product that can be substituted? Can we use the "non-complying" component until a complying replacement is found? Otherwise, the entire feature of multi-tap must disappear from the product line.

3. What is the enforcement mechanism for the stan dard? Is it up to the local inspectors, etc, to accept or challenge the circle "E" qualification?

Thanks, Linda, for getting guidance for us as soon as you possibly can. We also are pressed for time in acting on our manufact uring bills of materials and pur chasing decisions before the

deadline comes.

We await your reply and thank you for your time,

Sincerely,

Ted Yahraus, PE, LC

Technical Services Advisor Juno Lighting Group - Fishers1 MEMORANDUM

To: Linda Graves

From: The Metal Halide Ballast Rulemaking Team

Date: November 12, 2008 Subject: Response to Questions from Ted Yahraus, Juno Lighting Group

Issue Ted Yahraus, Juno Lighting Group, submitted three questions related to Metal Halide Fixtures via e-mail on October 27, 2008. These questions were:

1. What is the DOE view of using ballast components that were themselves in inventory and dated as made before 1/1/09, but are then put into luminaires which are then assembled and shipped after 1/1/09. Is it acceptable to produce them and not put the circle "E" on them?

2. What is the DOE viewpoint on a luminaire manufacturer being allowed to produce luminaires after 1/1/09 that have a unique-feature MH ballast (say core-and-coil quadra-vo lt tapped), that doesn't meet the minimum ballast efficiency value, but has no alternat ive product that can be substituted? Can we use the "non-complying" component until a complying replacem ent is found? Otherwise , the entire feature of multi-tap must disappear from the product line.

3. What is the enforcement mechanism for the standard? Is it up to the local inspectors, etc, to accept or challenge the circle "E" qualification?

Background Information

Section 324(e) of EISA 2007 (EISA) amended sec tions 321 and 325 of EPCA to add definitions and set energy conservation standa rds for metal halide lamp fixt ures effective January 1, 2009. The EISA definitions for metal halide lamp fi xtures are added to section CFR 431.322 and the energy conservation standards ar e added to section CRF 431.326.

The specific language for energy co nservation standards for metal ha lide fixtures from EISA is

as follows:

SEC. 324. METAL HALIDE LAMP FIXTURES

324(a)(64) METAL HALIDE LAMP FIXTURE.—The term ‘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.

324(e) STANDARDS.—Section 325 of the Energy Policy and Conservation Act (42 U.S.C. 6295) (as amended by section 310) is amended— (1) by redesignating subsection (hh) as subsection (ii); (2) by inserting after subsection (gg) the following: (hh) METAL HALIDE LAMP FIXTURES.— (1) STANDARDS.—2 (A) IN GENERAL.—Subject to subparagraphs (B) and (C), metal halide lamp fixtures designed to be operated with lamps rated greater than or equal to 150 watts but less than or equal to 500 watts shall

contain— (i) a pulse-start metal halide ballast with a minimum ballast efficiency of 88 percent; (ii) a magnetic probe-start ballast with a minimum ballast efficiency of 94 percent; or (iii) a nonpulse-start electronic ballast with— (I) a minimum ballast efficiency of 92 percent for wattages greater than 250 watts; and (II) a minimum ballast efficiency of 90 percent fo r wattages less than or equal to 250 watts. (B) EXCLUSIONS.—The standards established un der subparagraph (A) shall not apply to— (i) fixtures with regulated lag ballasts; (ii) fixtures that use electronic ballasts that operate at 480 volts; or (iii) fixtures that— (I) are rated only for 150 watt lamps; (II) are rated for use in wet locations, as spec ified by the National Electrical Code 2002, section 410.4(A); and ‘‘(III) contain a ballast that is rated to operate at ambient air temperatures above 50°C, as specified by UL 1029–2001. (C) APPLICATION.—The standards established under s ubparagraph (A) shall apply to metal halide lamp fixtures manufactured on or after the later of— (i) January 1, 2009; or (ii) the date that is 270 days after the date of enactment of this subsection.

Furthermore, in EISA:

324(f) EFFECT ON OTHER LAW.—Section 327(c) of the Energy Policy and Conservation Act (42 U.S.C. 6297(c)) is amended— (1) in paragraph (8)(B), by striking the p eriod at the end and inserting ‘‘; and’’; and (2) by adding at the end the following: (9) is a regulation concerning metal halide lamp fixtures adopted by the California Energy Commission on or before January 1, 2011, except that— (A) if the Secretary fails to issue a final rule with in 180 days after the deadlines for rulemakings in section 325(hh), notwithstanding any other provision of this section, preemption shall not apply to a regulation concerning metal halide lamp fixtures adopted by the California Energy Commission 1

The Department of Energy (DOE) is publishing a technical amendment to place the energy conservation standards and test procedures, and related definitions, prescribed in EISA for certain consumer products and commercial and in dustrial equipment in the Code of Federal Regulations. All consumer products and commerci al and industrial equipment covered by the technical amendment must, on the date of manufacture , or in the case of imported products, as of the date of import, meet the standards set by EISA 2007 and adopted in the CFR by this action. Furthermore, the requirements in EISA 2007 a pply to the manufacture of covered consumer products and commercial and industrial equipment fo r sale in the 50 states as well as all U.S. territories. Energy conservation standards apply to both products manufactured in the U.S. for sale in the U.S. as well as products imported in the U.S.

1 EISA thus preempts all states that have previously passed regulations for MH luminaires – except California. The California Energy Commission is authorized to implement regulations until 2011.3 DOE notes however that while EISA 2007 has prescribed energy conservation standards that will apply to products and equipment manufactured on or after the specific dates, manufacturers are not subject to DOE’s compliance certification and enforcement programs until DOE promulgates the related test procedures for the new cove red products and commercial equipment. While manufacturers are not subject to DOE certi fication and enforcement programs until DOE promulgates test procedures and related regulations , manufacturers must meet the standards as of

the effective date of the standard s. Manufacturers must, for example, be able to demonstrate that their products meet the energy conservation stan dards or energy design standards set by EISA 2007. Furthermore, the EPCA, as amended, defines the term “manufacture” as “to manufacture, produce, assemble, or import”.

Therefore, non-compliant metal halide fixture can no longer be manufactured after December 31, 2008. Any remaining non-compliant covered (by the energy conservation standards) inventory of metal halide fixtures can be sold in th e 50 states and U.S.

territories afte r January 1, 2009.

Suggested Answers

1. What is the DOE view of using ballast components that were themselves in inventory and dated as made before 1/1/09, but are then put into luminaires which are then assembled and shipped after 1/1/09. Is it acceptable to produce them and not put the circle "E" on them?

According to Section 324(e) of EISA, any metal ha lide fixture (defined as a “...light fixture for general lighting application designe d to be operated with a metal halide lamp and a ballast for a metal halide lamp.”) made, manufactured or assembled on or after January 1, 2009 cannot be

sold in the 50 states or U.S. territories unl ess it meets the energy conservation standard for covered products. According to Section 324(d)(2)(ii) of EISA, any c overed (regulated) metal halide fixture sold on or after January 01, 2009 ... “shall indicate conspicuously, in a manner prescribed by the Commission under subsection (b ) by July 1, 2008, a capital letter ‘E’ printed within a circle on the packaging of the fixture, and on the ballast contained in the fixture.” DOE recognizes that there may be a stock of non-st andards compliant metal halide fixtures in inventory and this inventory can be sold withoutthe ‘circle E’ label. However, any covered (regulated) metal halide fixtures assembled or manufactured on or after January 1, 2009 must comply with the energy conservation standards, a nd must contain the circle E label on the ballast and packing box. This EISA requirement will preclude the use of any non-compliant metal

halide ballast in covered metal halide fixt ures sold on or after January 1, 2009.

2. What is the DOE viewpoint on a luminaire manufacturer being allowed to produce luminaires after 1/1/09 that have a unique-feature MH ballast (say core-and-coil quadra-vo lt tapped), that doesn't meet the minimum ballast efficiency value, but has no alternat ive product that can be substituted? Can we use the "non-complying" component until a complying replacem ent is found? Otherwise , the entire feature of multi-tap must disappear from the product line.

According to Section 324(e) of EISA, any metal ha lide fixture (defined as a “...light fixture for general lighting application designe d to be operated with a metal halide lamp and a ballast for a metal halide lamp.”) made, manufactured or assembled on or after January 1, 2009 cannot be

sold in the 50 states or U.S. territories unl ess it meets the energy conservation standard for covered products. In EISA for metal halide fixtures, the energy conservation standards is4 performance based (e.g., there is no prescriptive requirements) for meeting the minimum ballast efficiency for pulse-start metal halide ballast , magnetic probe-start ba llast and nonpulse-start electronic ballasts. Given that a core-and-coil metal halide ballast is a pulse-start type ballast and is thus included in these ballast types, and thata ‘multi-tap’ is a special feature of the core-andcoil types, this metal halide ballast would be considered covered equipment and must meet the energy conservations standards in EISA Section 324.

3. What is the enforcement mechanism for the standard? Is it up to the local inspectors, etc, to accept or challenge the circle "E" qualification?

Section 324(d)(2)(ii) of EISA “LABELING” states the following;

The rules shall provide that the labeling of any me tal halide lamp fixture manufactured on or after the later of January 1, 2009, or the date that is 270 days after the date of enactment of this subparagraph, shall indicate conspicuously, in a manner prescribe d by the Commission under subsection (b) by July 1, 2008, a capital letter ‘E’ printed within a circle on the packaging of the fixture, and on the ballast contained in the fixture.’’

The encircled capital letter “E” (i.e., circle “E”) is a Federal Trade Commission (FTC) requirement for metal halide fixt ures product packaging, ballast co ntained in the fixture and all advertising/marketing materials (point of purchase merchandising, catalogs, manufacturer website content, etc.) that the product meets a pplicable DOE energy conservation standards and is consistent with the labeling requirements for other lighting pr oducts. Therefore, the covered metal halide fixtures (150w –500w) manufactured on/after January 1, 2009 will require the circle

E identification mark.

In the Federal Trade Commission (FTC) 16 CFR Pa rt 305 “Final 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”)”( Federal Register / Vol. 73, No. 132 / Wednesday, July 9, 2008), the FTC final rule amendments: (1) insert metal halide lamp fixtures into the list of covered products at Section 305.2 and include metal halide lamp fixtures in the descriptions of covered products at S ection 305.3. 6; (2) require that the circle “E” be clearly and conspicuously disclosed in color-contras ting ink on the label of metal halide lamp fixture packages and the ballasts contained in those fixtures; (3) require retail catalog sellers to include the circle “E” in their descriptions of metal halide lamp fixtures. The final amendments also require the circle “E” disclosures in point of sale promotional material as required for other covered products; and (4) cons istent with requirements for other covered products, the final amendments add reporting requi rements for metal halide lamp fixtures to

section 305.8 of the Rule.

As part of the overall nationa l regulatory program, manufacturer s of covered and regulated products and equipment must report to DOE that the products and equi pment they manufacture are in compliance with the applicable energy conservation standards. Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291 et seq. ; EPCA or the Act) se ts forth a variety of provisions designed to improve en ergy efficiency. Part A of Title III (42 U.S.C. 6291-6309) establishes the “Energy Conservation Program fo r Consumer Products Other than Automobiles,” which covers certain products, includi ng “metal halide lamp fixtures.”5 The testing requirements for metal halide ballast s consist of DOE test procedures, adopted pursuant to EPCA, that manufacturers of c overed equipment must use as the basis for establishing and certifying to DOE that their equipment complies with applicable energy conservation standards promulgate d under EPCA and for represen ting the efficiency of this equipment. Similarly, DOE must use these test procedures to determine whether the equipment complies with EPCA standards. Thus, DOE reserv es the right to conduct independent testing of covered products and equipment. The results of this testing would serve as the basis for any enforcement actions related to the application of these metal halide ballast test procedures. Therefore, if anyone suspects that a metal halide ba llast is not compliant, th ey are free to contact DOE. As a matter of practicality however, an inspection would most likely take place at the time the ballast was incorporated into the fixture or when the fixture was unpacked from the box (containing the circle E). It is less likely that an inspector woul d observe the ‘circle E’ on the

ballast once the fixture was a ssembled and/or installed.