Building Technologies Program 1 

P

BUILDING TECHNOLOGIES PROGRAM

Framework Document Public Meeting on Energy Conservation Standards for Metal Halide Lamp Fixtures

Linda GravesDepartment of EnergyEnergy Efficiency & RMHLF-2009-STD-001

January 26, 2010

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 2 

• Introductions• Role of the Facilitator• Ground Rules (norms)

– Listen as an ally– Use short, succinct statements/keep to the point– Hold sidebar conversations outside the room– Focus on issues, not personalities– One person speak at a time (raise hand to be recogniz

your name for the record)

– Set cell phones to silent/vibrate

• Housekeeping Items

Welcome and Introduction

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 3 

Morning Agenda

9:00 – 9:05 am9:05 – 9:20 am9:20 – 9:40 am9:40 – 10:00 am10:00 – 10:30 am10:30 – 10:45 am10:45 – 11:15 am11:15 – 12:00 pm12:00 – 1:00 pm

WelcomeIntroductions and Agenda ReviewOpening RemarksRegulatory History and Test ProcedureRulemaking Overview and Scope of CoveragBreakMarket and Technology Assessment and ScreAnalysisEngineering AnalysisBreak for lunch

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 4 

Afternoon Agenda

1:00 – 1:15 pm1:15 – 2:00 pm2:00 – 2:30 pm2:30 – 2:45 pm2:45 – 3:15 pm3:15 – 3:45 pm3:45 – 4:30 pm

Markups for Equipment Price DeterminationEnergy Use and End-Use Load CharacterizatLife-Cycle Cost and Payback Period AnalysisShipments Analysis, National Impact AnalysisLife-Cycle Cost Subgroup AnalysisBreakManufacturer Impact AnalysisUtility Impact Analysis, Employment Impact AEnvironmental Assessment, and Regulatory IAnalysisOther issues and comments; closing remarks

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 5 

Interested Parties Opening Statements

• At this time DOE welcomes opening remarks on the fram

document for metal halide lamp fixtures.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 6 

ScopePreliminary Analysis

NOPR AnalysesClosing Remarks

Public Meeting Agenda

45672 Regulatory History and Test Procedures3 Rulemaking Overview

1 Introduction

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 7 

Purpose of the Framework Document Public Meeting

• Present the procedural and analytical approaches to evalu

conservation standards for metal halide lamp fixtures.

• Provide a forum for public discussion of rulemaking issues• Encourage interested parties to submit data, information, a

comments.

• Inform interested parties and facilitate the rulemaking proc

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 8 

Request for Comment

Issue Box In the Rulemaking Framework Document fMetal Halide Lamp Fixtures, DOE welcomes commentThroughout this presentation, specific issues will be rafor discussion on slides such as this, with identifying numbers corresponding to those in the Framework Document. Nonetheless, comments concerning any the document or presentation are welcome.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 9 

Feedback Is Requested Especially on Items Identified in Framework Document

• In all correspondence, please refer to the Metal Halide Lamp 

rulemaking by:

– Metal Halide Lamp Fixtures Rulemaking,– Docket Number EERE–2009–BT–STD–0018, and– Regulatory Identification Number (RIN) 1904-AC00

• Email: MHLF-2009-STD-0018@ee.doe.gov• Comment period closes: February 5, 2010.

Postal: Courier:Ms. Brenda EdwardsU.S. Department of EnergyBuilding Technologies Program, Mailstop EE-2J1000 Independence Avenue, SWWashington, DC 20585-0121

Ms. Brenda EdwardsU.S. Department of EnergyBuilding Technologies Prog950 L’Enfant Plaza, SWWashington, DC 20024Tel: 202-586-2945

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 10 

ScopePreliminary Analysis

NOPR AnalysesClosing Remarks

Public Meeting Agenda

1 Introduction

4567

2 Regulatory History and Test Procedures

3 Rulemaking Overview

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 11 

Regulatory History

• Energy Policy and Conservation Act (EPCA) of 1975 

(Public Law 94-163)

– Established the energy conservation program

• Energy Independence and Security Act (EISA) of 

2007 (Public Law 110-140)

– Directed DOE to develop a test procedure for ballasts 

in metal halide lamp fixtures based on American National Standards Institute (ANSI) C82.6-2005

– Directed DOE to incorporate standby and off mode in 

standards rulemaking (i.e., final rule after July 1, 2010)

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 12 

Regulatory History (Continued)

• EISA 2007 (continued)

– Prescribed energy conservation standards for metal 

halide lamp fixtures by requiring that the equipment contain ballasts that meet or exceed defined efficiency levels.

– Directed DOE to amend energy conservation standard 

for metal halide lamp fixtures and publish a final rule by January 1, 2012 (initiated by this Framework Document).

– Directed DOE to conduct a second rulemaking to 

review and amend the first and to publish it by January 1, 2019.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 13 

Metal Halide Ballast Test Procedure

• DOE published the notice of proposed rulemaking (NOPR

procedure, 74 FR 33171, on July 10, 2009. The final rule tprocedure will be published shortly.

– Active mode test procedure in accordance with ANSI C82.6-

“Ballasts for High Intensity Discharge Lamps—Method of Measurement.”

– DOE developed a standby mode test procedure that it prelim

determined is relevant only to dimming or DALI-enabled ball

– DOE preliminarily determined that “off mode” is not a releva

of operation.

Item 5 DOE welcomes comments on the issue of whether necessary to update the metal halide lamp ballast test proand if so, how.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 14 

ScopePreliminary Analysis

NOPR AnalysesClosing Remarks

Public Meeting Agenda

1 Introduction

4567

2 Regulatory History and Test Procedures

3 Rulemaking Overview

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 15 

EPCA Factors

• 42 U.S.C. 6295(o)(2)(B)(i) directs DOE to consider seven fa

setting energy conservation standards for metal halide lamp 

EPCA Factors DOE Analysi

1. Economic impact on consumers and 

manufacturers

Life-Cycle Cost AnalysisManufacturer Impact Ana

2. Lifetime operating cost savings compared 

to increased cost for the product

Life-Cycle Cost Analysis

3. Total projected energy savings National Impact Analysis 

4. Impact on utility or performance Engineering Analysis

Screening Analysis

5. Impact of any lessening of competition Manufacturer Impact Ana

6. Need for national energy conservation National Impact Analysis

7. Other factors the Secretary considers 

relevant

Environmental AssessmeUtility Impact AnalysisEmployment Impact Ana

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 16 

Stages for the Energy Conservation Standards for Metal Halide Lamp Fixtures

Framework 

Document 

Public Meeting

Points of Interested Parties Participation

Milestones for DOE

Preliminary 

Analysis

Public 

Meeting

NOPR

Public 

Meeting

2009 2010 2011 2012 2013 20

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 17 

Framework Document

Framework

Document

Preliminary 

Analysis NOPR Final Rule

Today

• Today’s public meeting covers the Framework Document for 

Halide Lamp Fixtures

• Federal Register Notice of Public Meeting, 74 FR 69036, De

2009.

– Gives notice of the public meeting and availability of the Frame

Document being discussed today

• Framework Document

– Provides an overview of the rulemaking process and encourag

parties early participation

– Encourages interested parties to submit comments by Februa– The Framework Document and materials from today’s public m

available online:

http://www1.eere.energy.gov/buildings/appliance_standards/commercialamp_ballasts.html

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 18 

Steps in the Standards Rulemaking: Preliminary Analysis

Framework

Document

PreliminaryAnalysis NOPR Final Rule Effective Date

Market & Technology

ScreeningAnalysis

EngineeringAnalysis

Energy Use and End-Use Load Characterization

ShipmentsAnalysis

Markups for Equipment Price Determination

Life-CycleCost andPayback Period Analysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 19 

Steps in the Standards Rulemaking: NOPR

Framework

Document

PreliminaryAnalysis NOPR Final Rule Effective Date

Manufacturer

Impact 

Analysis

Utility

Impact 

Analysis

Employment

Impact

Analysis

Life-Cycle 

Cost 

Subgroup 

Analysis

EnvironmeAssessme

Life-CycleCost &Payback PeriodAnalyses

National

Impact

Analysis

Revise Preliminary Analysis

EngineeringAnalysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 20 

Analyses for Final Rule

Framework

Document NOPR Final Rule

Revise NOPR 

Analyses

Preliminary 

Analysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 21 

ScopePreliminary Analysis

NOPR AnalysesClosing Remarks

Public Meeting Agenda

1 Introduction

4567

2 Regulatory History and Test Procedures

3 Rulemaking Overview

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 22 

Metal Halide Lamp Fixtures Related Definitions

• Section 324 of EISA 2007 defines several terms relevant to 

halide lamp fixtures, including:

– Ballast– Ballast Efficiency– Electronic Ballast– Metal Halide Ballasts– Probe-Start Metal Halide Ballasts– Pulse-Start Metal Halide Ballasts

• EISA 2007 defines the scope of metal halide fixtures broad

–

“Metal Halide Lamp Fixture. The term ‘metal halide lamp fixtlight fixture for general lighting application designed to be opemetal halide lamp and a ballast for a metal halide lamp.” (42 6291(64))

• EISA 2007 established standards for only a subset of all me

fixtures.

ch

Ballast

Housing 

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 23 

Current Metal Halide Lamp Fixtures Standards

Minimum Ballast 

Efficiency

Wattage Range

Ballast Type

Regulated Metal Halide Lamp 

PulseStart

150 

500

88%

Magnetic 

ProbeStart

150 

500

94%

Nonpu

Elec

150 

250

90%

*U.S.C 

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 24 

Current Metal Halide Lamp Fixtures Standards (Continued)

• Exclusions:

– Fixtures with regulated lag ballasts– Fixtures that use electronic ballasts that operate at 480– Fixtures that: 

• Are rated only for 150W lamps;• Are rated for use in wet locations, as specified by the Na

Electrical Code 2002, section 410.4(A); and

• Contain a ballast that is rated to operate at ambient air te

above 50 °C, as specified by UL 1029-2001.

*U.S.C 

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 25 

Approach for Amending Current Metal Halide Lamp Fixtures Standards

• Though metal halide lamp fixtures may be composed of m

lamp and ballast, EPCA set minimum efficiency requiremethe ballast component of the fixture. 

• For the metal halide lamp fixtures rulemaking, DOE has p

decided it will only evaluate amending minimum ballast effrequirements, consistent with the current statutory approa

Item 1 DOE welcomes comment on its approach of amenminimum ballast efficiency requirements, and not lamp efrequirements, as part of the metal halide lamp fixture eneconservation standards rulemaking.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 26 

Expansion of Scope of Energy Conservation Standards

• In this rulemaking, DOE is considering expanding the sc

energy conservation standards to:

– Include metal halide lamp fixtures that operate lamps rate

than 150W and above 500W.

– Include metal halide lamp fixtures excluded by EISA 2007

55%60%65%70%75%80%85%90%95%

100%

0

100

200

300

400

500

600

700

800

900

1000

1100

1200

1300

1400

1500

1600

1700

1800

1900

2000

Ballast Efficiency (%)

Rated Lamp Wattage (W)

Electronic Magnetic Magnetic 

Wattage Ra

Prescribed Requiremen

* Catalog data and est

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 27 

Request for Comments

Item 2 DOE welcomes comments on the expansion of the sthis rulemaking to include potentially all metal halide lamp fixoperate lamps rated to less than 150W and above 500W, in those fixtures already covered by standards which operate lathe 150W to 500W range.Item 3 DOE welcomes comments on the expansion of the scthis rulemaking to include all metal halide lamp fixtures curreexcluded under 42 U.S.C. 6295(hh)(1)(B).

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 28 

Standby and Off Mode Standards

• EPCA directs DOE to incorporate standby and off-mode 

standards

• In the 2009 NOPR metal halide lamp ballast test proced

– DOE found that while it is possible for metal halide ballast

operate in active mode and standby mode, the off mode cdoes not apply to metal halide ballasts.

• In this rulemaking, DOE is only considering the active m

and standby mode energy use provisions from EISA 20

Item 4 DOE welcomes comment on issues arising from the mode and off mode provisions from EISA 2007, including: (aDOE should modify its test procedure for metal halide lamp and if so, how; (b) whether metal halide lamp fixtures consuin off mode, and if so, which ones; (c) which covered metal hfixtures use energy in standby mode; and (d) how DOE shouincorporate standby mode energy consumption into its analyenergy conservation standard.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 29 

Scope

NOPR AnalysesClosing Remarks

Public Meeting Agenda

1 Introduction

4672 Regulatory History and Test Procedures3 Rulemaking Overview5 Preliminary Analysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 30 

Steps in the Standards Rulemaking: Preliminary Analysis

Framework

Document

PreliminaryAnalysis NOPR Final Rule Effective Date

Market & Technology

ScreeningAnalysis

EngineeringAnalysis

Energy Use and End-Use Load Characterization

ShipmentsAnalysis

Markups for Equipment Price Determination

Life-CycleCost andPayback Period Analysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 31 

Market and Technology Assessment

Purpose

• Characterize the markets, the metal halide lamp fixtures 

ballast industries, and the measures to improve efficienc

Method

• Identify and characterize manufacturers of metal halide l

ballasts and fixtures;

• Estimate shipments and trends in the market;• Identify regulatory and non-regulatory initiatives intended 

improve the efficiency of the equipment covered under thrulemaking; and

• Identify technologies that could improve efficiency.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 32 

Relationship of Market and Technology Assessment to Other Analyses

Market and Technology 

Assessment Equipment Cl

Technology Options to improve efficiency

Screening Analysis

Design Options to improve efficiency

Engineering Analysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 33 

Request for Comments

Item 6 DOE welcomes input on estimates of market sharesequipment features, and efficiency trends for the metal halifixtures covered in this rulemaking.

- DOE seeks input on shipment estimates of metal halifixtures.

Item 7 DOE welcomes input on manufacturers of covered equipment as well as distribution channels used for sales ocovered equipment.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 34 

Equipment Classes

• DOE establishes separate energy conservation standa

each equipment class.

• DOE divides covered equipment into classes by:

– The type of energy used– Capacity of the product or other performance-relate

features that justify different standard levels, such afeatures affecting consumer utility (42 U.S.C. 6295(

• DOE is considering dividing metal halide lamp fixtures 

equipment classes by:

– Rated Lamp Wattage– Input Voltage

ogi

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 35 

Differences in Ballast Efficiency by Lamp Wattage

• DOE could recognize the variance in ballast efficiency by l

wattage and input voltage by either:

(1) Creating wattage bins and setting a ballast efficiency 

requirement for each.

(2) Setting a ballast efficiency requirement based on an 

that varies with wattage and/or voltage.

Rated Lamp Wattage (W)

Ballast Efficiency (%)

Rated Lamp Wattag

Ballast Efficiency (%)

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 36 

Possible Metal Halide Ballast Equipment Classes for Discussion 

Rated Lamp Wattage Input Voltage Equipme

< 150W

< 150V 1

	

	 2

>300V 3




< 150V 4

	

	 5

>300V 6

> 250W and 

< 150V 7

	

	 8

>300V 9

> 500W

< 150V 10

	

	 11

>300V 12

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 37 

Considerations for Metal Halide Lamp Ballast Equipment Classes

• DOE initially believes that the following factors do not p

unique utility and, therefore, does not consider them to class-setting factors:

– Number of Lamps Per Ballast– Starting Method (e.g., pulse-start vs. probe-start)– Electronic Configuration (e.g., electronic vs. magnet

ballasts)

– Circuit Type (e.g., CWA, Low frequency, linear react

– Universal Voltage Capability

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 38 

Request for Comments

Item 8 DOE welcomes comments on equipment classes fhalide lamp fixtures and approaches to defining classes in accordance with the requirements of 42 U.S.C. 6295(q).Item 9 DOE seeks input on how ballast efficiency varies bwattages and input voltage.Item 10 DOE seeks input on the rated lamp wattage bins for equipment classes. Specifically, DOE is interested in inthat could be used to alter the number of bins or alter the wincluded in each bin.Item 11 DOE welcomes comment on how to approach unvoltage systems that are gaining market share and becomreadily available. 

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 39 

Initial Technology Options for Metal Halide Lamp Ballasts

• Electronic Ballast

• Low Frequency• High Frequency

- higher-frequencies decrease losses near the lamps 

and reduces other ballast losses by allowing for smacomponents.

• Integrated Circuits• Higher Grade Components

– Higher-grade magnetic materials and improved semiconduct

materials

• Improved Circuit Design

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 40 

Request for Comments

Item 12 DOE welcomes comments on the preliminary tecoptions identified in this section and whether there are othetechnology options it should consider. In commenting on doptions, please discuss their impacts on safety, performanconsumer utility (if any).

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 41 

Steps in the Standards Rulemaking: Preliminary Analysis

Framework

Document

PreliminaryAnalysis NOPR Final Rule Effective Date

Market & Technology

ScreeningAnalysis

EngineeringAnalysis

Energy Use and End-Use Load Characterization

ShipmentsAnalysis

Markups for Equipment Price Determination

Life-CycleCost andPayback Period Analysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 42 

Screening Analysis

Impacts on health or safety

Impacts on equipment utility or availability to 

consumers

Practicability to manufacture, install, and service

Technological feasibility

Purpose

• Screen out technology options that DOE will not consider 

engineering analysis for metal halide lamp ballasts.

Approach

• DOE will evaluate each technology option based on the fo

criteria:

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 43 

Request for Comments

Item 13 DOE welcomes comments on how the four screecriteria might apply to any additional technology design opthat an interested party recommends to DOE.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 44 

Steps in the Standards Rulemaking: Preliminary Analysis

Framework

Document

PreliminaryAnalysis NOPR Final Rule Effective Date

Market & Technology

ScreeningAnalysis

EngineeringAnalysis

Energy Use and End-Use Load Characterization

ShipmentsAnalysis

Markups for Equipment Price Determination

Life-CycleCost andPayback Period Analysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 45 

Goals of the Engineering Analysis

• A key factor in setting the standard is the increased cos

more efficient product.

• The Engineering Analysis determines the relationship b

cost and efficiency.

Rulemaking An

• Life-Cycle Cost a

Payback Period

• Manufacturer Im

Analysis 

• Employment Imp

Analysis

Manufacturer Selling Price –

Efficiency Relationship

Manufacturer 

Selling Price

Efficiency Level

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 46 

Engineering Analysis Methodology

Choose equipment classes to be analyzed in the en

analysis. 

Define characteristics of models in each representa

equipment class, which will serve as reference poinassess changes due to more stringent standard lev

Identify more-efficient substitutes from a database o

commercially-available ballasts.

Determine manufacturer production costs for basel

and their more efficient substitutes

Develop candidate standard levels that span the ra

ballast efficiencies.

Scale results to product classes not analyzed

Scale 

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 47 

Choose Representative Equipment Classes

• DOE will choose a subset of equipment clas

“representative equipment classes” to analyzengineering analysis and life-cycle cost anal

• Representative equipment classes (highlight

generally based on high volume product.

Scale 

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

Rated Lamp Wattage Input Voltage Equip

< 150W

< 150V 

	

	 

>300V 




< 150V 

	

	 

>300V 

> 250W and 

< 150V 

	

	 

>300V 

> 500W

< 150V 

	

	 

>300V 

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 48 

Choose Representative Equipment Classes

Scale 

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

Item 14 DOE welcomes comments on the idand selection of representative equipment clametal halide lamp fixtures.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 49 

Define Baseline Models

• Define characteristics of models in each rep

equipment class that will serve as reference assess changes due to energy conservatio

• Typically, for equipment classes that have e

standards, the baseline model just meets thenergy conservation standard.

• For equipment classes where DOE is consi

expanding coverage of energy conservation DOE will select baseline models typical of tcommon, lowest efficiency ballast available 

Scale market.

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 50 

Define Baseline Models (Continued)

Scale 

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

55%60%65%70%75%80%85%90%95%

100%

0

100

200

300

400

500

600

700

800

900

1000

1100

1200

1300

1400

1500

Ballast Efficiency (%)

Rated Lamp Wattage (W)

Electronic - PulseStartMagnetic - ProbeStartMagnetic - PulseStart

Wattage Range for EISA 2007 Prescribe88% Ballast Efficiency for Pulse Start - E94% Ballast Efficiency for Magnetic Prob

* Catalog data and 

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 51 

Define Baseline Models

Scale 

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

Item 16 DOE welcomes comments on the sebaseline models from the representative equclasses.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 52 

Identify Efficient Substitutes

• In identifying more-efficient substitutes, DO

begin by utilizing a database of commerciaavailable ballasts.

• Ballast system substitutions will be made s

light output of the lamp-ballast system is mwithin 10 percent from the baseline systemoutput.

Scale 

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 53 

Develop Manufacturer Selling Price

• Calculate manufacturer production cost (MPC) 

disassembling multiple manufacturer’s ballasts range of efficiency levels.

– Bill of materials (BOMs) describe the equipment 

including all manufacturing steps required to maassemble each part. 

• Apply derived manufacturer markups to the MP

– Calculate the manufacturer selling prices (MSPs– Construct industry cost-efficiency curves. 

• For equipment that BOMs are not generated, re

those metal halide lamp ballasts will be evaluatwill be estimated for each ballast.

Scale 

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 54 

Develop Candidate Standard Levels

• Develop candidate standard levels (CSLs) 

the range of ballast efficiencies from the bathe maximum technologically feasible. 

• DOE is required to analyze maximum techn

feasible (“max tech”) efficiency levels

– “Max available” may not correspond to “max 

some design options are not yet commerciaavailable.

– DOE will seek input from interested parties t

a max tech efficiency and cost.

Scale 

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 55 

Request for Comment

Scale 

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

Item 17 DOE seeks comment on its approach calculating the cost-efficiency relationship for mlamp fixtures.Item 18 DOE welcomes comments on comme

available metal halide lamp ballasts for each obaseline models with incrementally increasing efficiency, all the way to the max-tech ballast.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 56 

Scale Results

• Scale analyses conducted on representativ

equipment classes to other equipment class

• DOE initially proposes scaling by using rati

observed in catalog data or by extrapolation regression equations. 

Scale 

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

Rated Lamp Wattage Input Voltage Equi

< 150W

< 150V Represen

	

	 Scaled

>300V Scaled




< 150V Represen

	

	 Scaled

>300V Scaled

> 250W and 

< 150V Scaled

	

	 Represen

>300V Scaled

> 500W

< 150V Scaled

	

	 Represen

>300V Scaled

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 57 

Scale Results

Scale 

Results

Choose 

Representative 

Equipment 

Classes

Define Baseline 

Models

Identify

Efficient 

Substitutes

Develop

Manufacturer 

Selling Price

Develop

Candidate 

Standard Levels

Item 15 DOE welcomes comments on its appscaling from representative equipment classes not directly analyzed in the engineering analysItem 19 DOE welcomes comments on how befficiency varies with lamp wattage, voltage, oballast parameter.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 58 

Proprietary Designs

• DOE will evaluate all design options that are commercia

available or present in a working prototype, including prodesigns and technologies.

• Proprietary designs will only be considered if they do not 

a unique path to a given efficiency level.

• The confidentiality of manufacturers will be maintained.

Item 20 DOE seeks information on proprietary designs it should be aware of for the metal halide lamp ballasts undconsideration in this rulemaking, and if such proprietary designs exist, how DOE can acquire the cost data necessfor evaluating these designs.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 59 

Outside Regulatory Changes

• DOE takes into consideration the effects on manufacture

other regulatory changes outside of the standards rulemprocess.

Item 21 DOE welcomes comments on regulatory burdeand changes that should be considered in the engineerianalysis of metal halide lamp fixtures.Item 22 DOE welcomes comments on other engineerinissues that could affect the engineering analysis.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 60 

Steps in the Standards Rulemaking: Preliminary Analysis

Framework

Document

PreliminaryAnalysis NOPR Final Rule Effective Date

Market & Technology

ScreeningAnalysis

EngineeringAnalysis

ShipmentsAnalysis

Markups for Equipment Price Determination

Life-CycleCost andPayback 

Energy Use and Period AnalysisEnd-Use Load Characterization

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 61 

Energy Use and End-Use Load Characteristics

Purpose

• Identify how consumers use equipment (and thereby the en

savings potential) of energy efficiency improvements. DOEwill focus on how end-users install and operate these fixtur

Method

• Obtain data to develop a distribution of operating hours for 

halide lamps by sector and census division. Data sources i

– 2002 U.S. Lighting Market Characterization: Volume I report– EIA’s 2003 Commercial Building Energy Consumption Survey – EIA’s 2007 CBECS when completed– EIA’s 2002 Manufacturing Energy Consumption Survey (MEC

• Correlate electricity price distribution and sales tax distribu

operating hour distribution by census division.

• Multiply system power by the number of operating hours pe• Conduct a sensitivity analysis for estimates of high and low 

hours.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 62 

Inputs to Energy Use Calculation

• System Input Power: Manufacturer information verified 

catalogs.

• Operating Hours: Example of commercial sector distribu

metal halide lamp fixtures is given below.

Metal Halide Lamp Fixture Annual Operating Hou

Probability

0%2%4%6%8%

10%12%14%16%18%

20%

2419

2794

3508

3594

3609

3643

3663

3779

3884

3946

4078

4097

4139

4517

4721

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 63 

Request for Comments

Item 23 DOE welcomes comments on its use of the planneoperating hours profile for metal halide lamp fixtures. DOE welcomes comments on whether the end-use operating prdifferent for the various types of metal halide lamp fixtures under this rulemaking, and if so, how.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 64 

Steps in the Standards Rulemaking: Preliminary Analysis

Framework

Document

PreliminaryAnalysis NOPR Final Rule Effective Date

Market & Technology

ScreeningAnalysis

EngineeringAnalysis

ShipmentsAnalysis

Markups for Equipment Price Determination

Life-CycleCost andPayback 

Energy Use and Period AnalysisEnd-Use Load Characterization

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 65 

Markups for Equipment Price Determination

Purpose

• DOE uses manufacturer-to-customer markups to convert th

manufacturer selling price estimates from the engineering acustomer prices, which are then used in the life-cycle cost payback period (PBP) analyses, and manufacturer impact 

Method

• DOE will obtain these retail prices by applying manufacture

customer markups (consisting of distribution channel marksales tax) to manufacturer selling price estimates.

• DOE must identify distribution channels

• Ballast Manufacturer 



(Distributor)  
-User of Lighting System

• Once distribution channel is confirmed, DOE will rely on ec

data from public sources and industry input to determine hoequipment is marked up from manufacturer to customer.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 66 

Request for Comments

Item 24 DOE requests comments on the planned distributfor the metal halide lamp fixtures covered under this rulemwhether DOE should consider any additional paths. DOE arequests information on the relative fraction of shipments efor each path. Item 25 DOE requests feedback on the overall markups fometal halide lamp fixtures covered under this rulemaking fopath in the distribution chain.Item 26 DOE seeks comments on other sources of relevathat could be used to characterize markups for metal halidfixtures.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 67 

Steps in the Standards Rulemaking: Preliminary Analysis

Framework

Document

PreliminaryAnalysis NOPR Final Rule Effective Date

Market & Technology

ScreeningAnalysis

EngineeringAnalysis

ShipmentsAnalysis

Markups for Equipment Price Determination

Life-CycleCost andPayback 

Energy Use and Period AnalysisEnd-Use Load Characterization

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 68 

Life-Cycle Cost and Payback Period Analysis

Purpose

• Assess the net LCC and PBP impacts on the consumer of 

lamp fixture efficiency standards.

Method

• LCC equals consumer price plus the sum of annual operat

discounted to a particular base year

• Economic evaluation from the consumer perspective• Analysis implemented in an Excel® spreadsheet

• Results expressed as LCC difference (baseline minus stan• Simple Payback (years) is also calculated and reported

Consumer Life 

Cycle Cost

(Baseline and Standard)

LCC im

(difference 

Operating Cost baseline and 

(Sum & discount to 

present value)

First Cost

(Consumer Price & 

Installation)

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 69 

Life-Cycle Cost and Payback Period Analysis Approach

• DOE analyzes the net effect on consumers by calculating t

and PBP using the engineering performance data, the eneend-use load characterization data, and the markup for equprice determination.

– DOE also conducts a rebuttable presumption PBP anal

required under EPCA.

– For preliminary analysis, DOE will conduct the LCC and 

analyses using typical values to reflect conditions in the equipment retail price and life, energy costs, energy usdiscount rates.

– For the NOPR, DOE will carefully review all of the comm

receives on the LCC analysis, evaluate additional paramincluded in the preliminary analysis, and make any necrevisions.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 70 

Life-Cycle Cost and Payback Period Analysis

Sales Tax Total Installed Cost End-User Direct Price

System 

Power

Operating

Hours Electricity 

Price 2015

Annual Electricity

Cost

Annual Energy

Consumption

Operating

Cost

Lifetime 

Operating Cost

Payback

Period

Discount Rate

Electricity 

Price Trend

Input Va

Lamp Price

Lamp Lifetime

Maintenance and 

Analysis Repair Costs

Period Ballast Lifetime

Lamp Installation

Costs

Ballast Installation

Costs

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 71 

Energy Prices

• DOE will survey residential, commercial, and industrial tarif

means for establishing marginal electricity prices for consum

• DOE will also use data from CBECS to estimate building en

characteristics that affect electricity prices.

• DOE will use projections of national average energy prices-

from the most recent EIA Annual Energy Outlook (AEO) – a

future energy prices in the energy prices in the LCC analys

Item 27 DOE welcomes input on the electricity prices usthis analysis.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 72 

Life-Cycle Cost Discount Rates

• DOE uses the discount rate to determine the present value 

operating expenses.

• DOE will derive a distribution of discount rates for the comm

industrial sectors.

– These distributions will be developed by estimating the weight

cost of capital (WACC) for commercial and industrial consume

– WACC includes:

• Financial cost of any debt incurred to purchase products. • Opportunity cost of any equity to purchase products.

Item 28 DOE welcomes input on the planned approacheestimating discount rates for consumers of the metal halilamp fixtures covered under this rulemaking.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 73 

Metal Halide Lamp Ballast Lifetimes

• DOE will use information from:

– manufacturer product catalogues, – various literature sources such as technical reports and c

proceedings, and 

– input from manufacturers and other interested parties to 

metal halide lamp ballast lifetimes for use in the LCC and analyses. 

Item 29 DOE welcomes comments on appropriate lifetimmetal halide lamp fixtures and ballasts contained in those fixtures covered in this rulemaking.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 74 

Installation, Maintenance, and Repair Costs

• Installation costs: May not change with more energy efficient 

lamp ballast designs as new regulations may not change eithlifetime or the labor costs for installing a standards-complian

• Maintenance costs: DOE does not expect that maintenance 

for metal halide lamp fixtures will change with more energy edesigns.

– However, more energy efficient ballasts could affect useful life (e.g., lon

operated by the ballasts.

– Longer life lamps would defer maintenance.– DOE does not expect energy efficient ballast to shorten lamp life.

• Repair costs: May not be a part of the LCC analysis because 

lamp ballasts are not “repaired,” as ballasts are generally repend of their useful life. 

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 75 

Request for Comments

Item 30 DOE welcomes comments on how to develop installation, maintenance, and (if applicable) repair costs metal halide lamp fixtures. If the lamps operated by more efficient ballasts would be affected, DOE invites commenwhere re-lamping practices (i.e., spot or group re-lampinwould change as a result of energy conservation standar

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 76 

Steps in the Standards Rulemaking: Preliminary Analysis

Framework

Document

PreliminaryAnalysis NOPR Final Rule Effective Date

Market & Technology

ScreeningAnalysis

EngineeringAnalysis

ShipmentsAnalysis

Markups for Equipment Price Determination

Life-CycleCost andPayback 

Energy Use and Period AnalysisEnd-Use Load Characterization

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 77 

Shipment Analysis

Purpose

• Quantify changes in product shipments due to potential 

amended energy efficiency standards.

Method

• The shipments model will rely on a range of data source• The model will consider only shipments of covered prod• Two possible approaches:

– Shipment projections based on historical data.– Shipment projections based on modeling the installe

metal halide lamp fixtures nationally.

Te

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 78 

Base-Case Shipments Forecast Approach

• Depicts the situation where new or amended standards a

adopted.

• Depicts the current mix of ballast efficiencies sold in the 

of new regulation.

• Shipments forecast by market segment: (1) new constru

sales; (2) replacements for failed units; and (3) retrofits.

• Data requirements:

– Historical shipments– Breakdown of shipments by market segment (e.g., new co

replacements, and retrofits), end-use sector, and product c

Item 31 DOE welcomes recommendations on sources of datshipments of metal halide lamp fixture by product class. In adwelcomes comments on how it might characterize long-term tefficiency of metal halide lamp fixtures for the base-case ship

forecast. 

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 79 

Accounting Methodology

• New Construction – New metal halide lamp fixtures are i

each year in new or remodeled buildings, not replacing a fixture.

• Replacements – New metal halide lamp fixtures that are 

each year to replace ballasts that have failed.

• Retrofits – Metal halide lamp fixtures that replace metal h

lamp fixtures during renovation and/or repair of equipmeoccur before original ballast has failed.

Item 32 DOE welcomes comments on the accounting methdescribed above for each of the metal halide lamp fixtures cthis rulemaking. 

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 80 

Standards Impacts on Ballast Shipments

• DOE develops Standards-Case Forecasts from the same 

will use to develop the Base-Case Forecast.

• Standards-Case Forecasts may also use purchase price 

and operating cost savings to estimate shipments impac

• DOE will also consider impacts from market-pull program• Impacts on the total amount of light produced by these b

the commercial and industrial sector may also be consid

Item 33 DOE welcomes comments on how amended enerconservation standards might affect shipments of metal halfixtures. DOE also requests information about existing mark

programs, such as consumer rebate programs, to promote adoption of more efficacious ballasts. 

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 81 

Steps in the Standards Rulemaking: Preliminary Analysis

Framework

Document

PreliminaryAnalysis NOPR Final Rule Effective Date

Market & Technology

ScreeningAnalysis

EngineeringAnalysis

ShipmentsAnalysis

Markups for Equipment Price Determination

Life-CycleCost andPayback 

Energy Use and Period AnalysisEnd-Use Load Characterization

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 82 

Inputs to the National Impact Analysis

Input Data Description of the Data Sou

Shipments Developed in section 9 of frame

document

Stock of Metal Halide Lamp Ballasts

Calculated from the service life ballasts from section 8, LCC anaand annual shipments from sect

Effective Date of Standard 2015Analysis Period 2015 – 2044 (30 years)Base-Case ForecastedEfficiency

Distribution of base-case shipmefficiency level over time

Standards-Case Forecasted Efficiency

Distribution of shipments by efficlevel for each standards case

Unit Energy Consumption(kWh/yr)

Average energy consumption of metal halide ballast established section 6

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 83 

Inputs to the National Impact Analysis (Continued)

Input Data Description of the Data Sou

Total Installed Cost Established in sections 7 (Marku

and 8 (LCC)

Electricity Price Forecast Established in section 8 (LCC)Electricity Site-to-Source Conversion

Conversion varies yearly and is generated by EIA AEO

HVAC Interaction Savings Additional energy savings from 

interactions

Discount Rate 3- and 7-percent discount ratesPresent Year Preliminary analysis data will be 

discounted to 2010

Rebound Effect Difference between the projecte

actual savings due to increased efficiency

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 84 

Request for Comments

Item 34 DOE welcomes comments on the data sources thaanticipates using to develop inputs for the national impact aItem 35 DOE welcomes comments from interested parties whether a more efficient metal halide lamp fixture will be usas a result of increased efficiency and whether such a rebowould be expected for this technology.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 85 

Calculation of National Energy Savings

• DOE intends to calculate national energy consumption fo

year beginning with the expected effective date of the sta

– DOE will calculate national electricity consumption for the 

and each standard level analyzed.

• DOE will use the National Energy Savings (NES) spread

developed in 1996.

– These models project energy savings and demonstrate ho

account for the growth in efficiency over time.

Item 36 DOE welcomes comments from interested parties NES spreadsheet models that it plans to use for estimating impacts on energy conservation standards for metal halide fixtures.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 86 

National Energy Savings Flow Diagram

Base Case

Annual Energy

Consumption

2044

Base Case

Annual Energy

Consumption

2017

Base Case

Annual Energy

Consumption

2016

Base Case

Annual Energy

Consumption

2015

Shipments

Analysis Sta

Cas

Base-Case Projection

Base Case

Annual Ener

Consumptio

Base Case

Annual Energy

Consumption

2017

Base Case

Annual Energy

Consumption

2016

Standards Case

Annual Energy

Consumption

2015

Base-Case

Cumulative

Energy Use

Standards-Case 

Cumulative

Energy Use

Site to Source

Energy

Conversion

National Energy

Savings

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 87 

National Consumer Net Present Value Flow Diagram

Shipments

Analysis Standa

Case P

Energy

Cost

(2015 –

2044)

Base-Case 

Projection

Cumulative

Operating Cost 

Savings

Cumulative

Total Equipment

Cost Increase

Discount 

Rate

Net Present

Value

Maint &

Install Cost

(2015 –

2044)

Product 

Cost

(2015 –

2044)

Energy

Cost

(2015 –

2044)

Maint &

Install Cost

(2015 –

2044)

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 88 

Net Present Value on Consumer Savings

• DOE calculates the national net present value (NPV) of t

consumer savings resulting from energy conservation stconjunction with the NES.

– DOE calculates annual equipment expenditures by multipl

price per unit by forecasted shipments.

– The difference between base- and standards-case scenar

the national energy bill savings and increased expenditure 

– For the metal halide lamp fixture rulemaking, this different

result in an NES offset against increased ballast expenditu

– The difference each year between energy bill savings and 

equipment expenditures is the net savings (if positive) and (if negative).

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 89 

Scope

NOPR AnalysesClosing Remarks

Public Meeting Agenda

1 Introduction

4672 Regulatory History and Test Procedures3 Rulemaking Overview5 Preliminary Analysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 90 

Steps in the Standards Rulemaking: NOPR

Framework

Document NOPR Final Rule Effective Date

Manufacturer

Impact 

Analysis

Utility

Impact 

Analysis

Employment

Impact

Analysis

Life-Cycle 

Cost 

Subgroup 

Analysis

Revise Preliminary Analysis

EnvironmeAssessme

EngineeringAnalysis

Life-CycleCost &Payback PeriodAnalyses

National

Impact

Analysis

PreliminaryAnalysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 91 

Steps in the Standards Rulemaking: NOPR

Framework

Document NOPR Final Rule Effective Date

Manufacturer

Impact 

Analysis

Utility

Impact 

Analysis

Employment

Impact

Analysis

Life-Cycle 

Cost 

Subgroup 

Analysis

Revise Preliminary Analysis

EnvironmeAssessme

EngineeringAnalysis

Life-CycleCost &Payback PeriodAnalyses

National

Impact

Analysis

PreliminaryAnalysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 92 

Life-Cycle Cost Subgroup Analysis

Purpose

• Analyze the economic impacts of standards on consume

including subgroups who may be disproportionately impacompared with the general user population.

• A subgroup comprises a subset of the population likely to 

disaffected disproportionately by new or revised energy conservation standards (e.g., small businesses, ethnic minlow-income consumers, or senior citizens).

Method

• Extend the LCC analysis to examine the impacts for defi

subgroups.

• DOE will evaluate variations in regional electricity prices

profiles, and installation costs that might affect the NPV oenergy conservation standard to certain consumer subgr

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 93 

Request for Comment

Item 37 DOE welcomes comments from interested parton what, if any, consumer subgroups should be considewhen developing standards for metal halide lamp fixture

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 94 

Steps in the Standards Rulemaking: NOPR

Framework

Document NOPR Final Rule Effective Date

Manufacturer

Impact 

Analysis

Utility

Impact 

Analysis

Employment

Impact

Analysis

Life-Cycle 

Cost 

Subgroup 

Analysis

Revise Preliminary Analysis

EnvironmeAssessme

EngineeringAnalysis

Life-CycleCost &Payback PeriodAnalyses

National

Impact

Analysis

PreliminaryAnalysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 95 

Manufacturer Impact Analysis

Purpose

• Assess the impacts of standards on manufacturers. • Identify and estimate impacts on manufacturer subgroup

may be more severely impacted than the industry as a w

• Examine the impact of cumulative regulatory burden on t

industry.

Method

• Analyze industry cash flow and net present value throug

the Government Regulatory Impact Model (GRIM).

• Interview manufacturers to refine inputs to the GRIM, de

subgroup analyses, and address qualitative issues.

Output

• Industry NPV impacts• Subgroup NPV impacts• Other impacts

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 96 

MIA Methodology

• The MIA consists of three main phases: 

Industry profile

Develop straw-man GRIM*

Develop interview guide

Interviews& industrywide / subgroupanalyses

Aeccb

Phase 2 Phase 3

Preliminary MIA Interviews

Phase 1

Preliminary Analysis

NOPR

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 97 

Request for Comments

Item 38 DOE seeks comment on the subgroups of metahalide lamp fixtures and ballast manufacturers that it shoconsider in a manufacturer subgroup analysis.Item 39 DOE welcomes comments on pending or other regulations it should consider in its examination of cumuregulatory burden.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 98 

Steps in the Standards Rulemaking: NOPR

Framework

Document NOPR Final Rule Effective Date

Manufacturer

Impact 

Analysis

Utility

Impact 

Analysis

Employment

Impact

Analysis

Life-Cycle 

Cost 

Subgroup 

Analysis

Revise Preliminary Analysis

EnvironmeAssessme

EngineeringAnalysis

Life-CycleCost &Payback PeriodAnalyses

National

Impact

Analysis

PreliminaryAnalysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 99 

Utility Impact Analysis

Purpose

• Assess the overall impacts on domestic energy supplies 

would result from the imposition of standards. 

• The Department proposes to use National Energy Mode

System (NEMS)-Building Technologies (BT), a variant of NEMS (National Energy Modeling System) developed anby DOE/EIA for their AEO report, as the basis of the Utili

Analysis.

• Outputs of the utility impact analysis include forecasts of 

electricity generation, sales, price, and avoided capacity from a comparison of base and standards cases.

• DOE will model the energy savings impacts from amend

energy conservation standards using NEMS-BT to gene

forecasts that deviate from the AEO reference case.

Method

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 10

Request for Comments

Item 40 DOE seeks input on its plans to use NEMS-BT to c

utility impact analysis on the equipment covered under this r

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 10

Steps in the Standards Rulemaking: NOPR

Framework

Document NOPR Final Rule Effective Date

Manufacturer

Impact 

Analysis

Utility

Impact 

Analysis

Employment

Impact

Analysis

Life-Cycle 

Cost 

Subgroup 

Analysis

Revise Preliminary Analysis

EnvironmeAssessme

EngineeringAnalysis

Life-CycleCost &Payback PeriodAnalyses

National

Impact

Analysis

PreliminaryAnalysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 10

Employment Impact Analysis

Purpose

• Assess the overall impact on national employment from the 

of efficiency standards at differing levels.

• Include both direct and indirect employment impacts.

– Direct employment impacts are estimated in the manufacture

analysis.

– Indirect employment impacts result from shifting consumer ex

among goods and services ( “substitution effect”) and changi

and energy costs (“income effect”).

Method

• DOE intends to use the Impact of Sector Energy Technolog

model for the evaluation of indirect employment impacts. (N

is an update of IMBUILD.)

Item 41 DOE requests feedback on its approach to assessinemployment impacts on the equipment covered under this ru

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 10

Steps in the Standards Rulemaking: NOPR

Framework

Document NOPR Final Rule Effective Date

Manufacturer

Impact 

Analysis

Utility

Impact 

Analysis

Employment

Impact

Analysis

Life-Cycle 

Cost 

Subgroup 

Analysis

Revise Preliminary Analysis

EnvironmeAssessme

EngineeringAnalysis

Life-CycleCost &Payback PeriodAnalyses

National

Impact

Analysis

PreliminaryAnalysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 10

Environmental Assessment

Purpose

• Estimate national environmental impacts from amended e

efficiency standards for metal halide lamp ballasts.

Method

• DOE intends to use the environmental impacts predicted 

NEMS-BT modeling analysis used for the Utility Impacts A

– Carbon dioxide (CO2) will be the primary emissions reported

– Existing legislation caps Sulfur Dioxide (SO2), Nitrogen Oxid

and Mercury (Hg) emissions, so physical emission reductionzero or nearly zero from any single energy conservation sta

Item 42 DOE seeks input on its plans to use NEMS-BT to co

environmental impact analysis on the equipment covered by rulemaking. DOE is particularly interested in whether there aother approaches to the Environmental Assessment that it shconsider and the advantages and disadvantages of each app

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 10

Regulation

• Clean Air Interstate Act (CAIR)

– SO2 emissions cap on all power 

– Vacated in 2008 (North Carolina vs. EPA)

• Clean Air Mercury Act (CAMR)

– Would have capped Hg effective September 2010– Vacated in 2088 (New Jersey vs. EPA)– EPA has decided to develop emission standards for power pl

• NEMS-BT Model

– Based on the model for AEO2008 assumes that both NOx an

emissions would be subject to CAIR and CAMR emissions ca

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 10

Emission Estimates

• DOE intends to use the most current Social Cost of Carbo

values developed through interagency consultations.

– SCC is intended to be a monetary measure of the incremen

resulting from greenhouse gas (GHG) emissions, including limited to agricultural productivity loss, human health effectsdamage from rising sea level, and changes in the ecosystem

• CO2 estimates:

– Global benefits: $5, 10, 20, 34, and 56 per metric ton (2008– Domestic benefits: approximately $1 per metric ton (2008$)

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 10

Request for Comment

Item 43 DOE invites comments on how to estimate such monetary values associated with emissions reductions oany widely accepted values that might be used in DOE’s analyses.Item 44 DOE invites comments on how to estimate the benefits of reduced SO2 emissions.

Item 45 DOE invites comments on the estimated range to $3,800 each in 2001$) per ton of NOx for use in DOE’s 

analyses.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 10

Request for Comment (Continued)

Item 46 DOE invites comments on the estimated range ($0.745 to $33.3 million each in 2008$) per ton of Hg for DOE’s analyses.Item 47 DOE invites comments on the estimated social of carbon for use in DOE’s analyses.Item 48 DOE seeks input on other environmental factorconsider in this rulemaking.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 10

Steps in the Standards Rulemaking: NOPR

Framework

Document NOPR Final Rule Effective Date

Manufacturer

Impact 

Analysis

Utility

Impact 

Analysis

Employment

Impact

Analysis

Life-Cycle 

Cost 

Subgroup 

Analysis

Revise Preliminary Analysis

EnvironmeAssessme

EngineeringAnalysis

Life-CycleCost &Payback PeriodAnalyses

National

Impact

Analysis

PreliminaryAnalysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 11

Regulatory Impact Analysis

Purpose

• Explore the potential for non-regulatory alternatives to n

manufacturing efficiency standards.

Method

• DOE recognizes that voluntary and other non-regulatory 

by the manufacturers, utilities, and other interested partieresult in substantial efficiency improvements.

• DOE will base the assessment on the actual impacts of a

initiatives to date but will consider information presented regarding the impacts that any existing initiative might hafuture.

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 11

Scope

NOPR AnalysesClosing Remarks

Public Meeting Agenda

1 Introduction

4672 Regulatory History and Test Procedures3 Rulemaking Overview5 Preliminary Analysis

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 11

How to Submit Written Comments

• In all correspondence, please refer to the Metal Halide Lamp 

rulemaking by:

– Metal Halide Lamp Fixtures Rulemaking,– Docket Number EERE–2009–BT–STD–0018, and– Regulatory Identification Number (RIN) 1904-AC00

• Email: MHLF-2009-STD-0018@ee.doe.gov• Comment period closes: February 5, 2010.

Postal: Courier:Ms. Brenda EdwardsU.S. Department of EnergyBuilding Technologies Program, Mailstop EE-2J1000 Independence Avenue, SWWashington, DC 20585-0121

Ms. Brenda EdwardsU.S. Department of EnergBuilding Technologies Pro950 L’Enfant Plaza, SWWashington, DC 20024Tel: 202 586-2945

EERE-2009-BT-STD-0018 DOC ID 1.2.004
Building Technologies Program 11

Relevant URLs

• DOE Appliance Standards

– http://www1.eere.energy.gov/buildings/appliance_standards/

• Metal Halide Lamp Fixture Rule

– http://www1.eere.energy.gov/buildings/appliance_standards/

metal_halide_lamp_ballasts.html

• Metal Halide Lamp Ballast Test Procedure

– http://www1.eere.energy.gov/buildings/appliance_standards/

metal_halide_lamp_ballasts_tp_nopr.html

• High Intensity Discharge Lamps Determination

– http://www1.eere.energy.gov/buildings/appliance_standards/

igh_intensity_lamps.html

• Residential Heating Products

– More in-depth information regarding the Social Cost of Carbo– http://www1.eere.energy.gov/buildings/appliance_standards/

ater_pool_heaters_nopr.html

hn

EERE-2009-BT-STD-0018 DOC ID 1.2.004