Energy Conservation Program: Energy Conservation Standards for Fluorescent Lamp Ballasts

Federal RegisterNov 14, 2011

Ask Donna

What actually matters in this document.

Text

DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket Number EE-2007-BT-STD-0016]

RIN 1904-AB50

Energy Conservation Program: Energy Conservation Standards for Fluorescent Lamp Ballasts

AGENCY:

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

ACTION:

Final rule.

SUMMARY:

The Energy Policy and Conservation Act of 1975 (EPCA), as amended, prescribes energy conservation standards for various consumer products and certain commercial and industrial equipment, including fluorescent lamp ballasts. EPCA also requires the U.S. Department of Energy (DOE) to determine whether any new or amended standards would be technologically feasible and economically justified, and would save a significant amount of energy. In this final rule, DOE adopts new and amended federal energy conservation standards for fluorescent lamp ballasts. It has determined that the new and amended energy conservation standards for these products would result in significant conservation of energy, and are technologically feasible and economically justified.

DATES:

The effective date of this rule is January 13, 2012. Compliance with the new and amended standards established for fluorescent lamp ballasts in today's final rule is required as of November 14, 2014.

ADDRESSES:

The docket for this rulemaking is available for review at

http://www.regulations.gov,

including

Federal Register

notices, framework documents, public meeting attendee lists and transcripts, comments, and other supporting documents/materials. All documents in the docket are listed in the

http://www.regulations.gov

index. However, not all documents listed in the index may be publicly available, such as information that is exempt from public disclosure.

A link to the docket Web page can be found at:

http://www1.eere.energy.gov/buildings/appliance_standards/residential/fluorescent_lamp_ballasts.html

. The regulations.gov page contains instructions on how to access all documents, including public comments, in the docket.

For further information on how to review the docket, contact Ms. Brenda Edwards at (202) 586-2945 or by email:

Brenda.Edwards@ee.doe.gov

FOR FURTHER INFORMATION CONTACT:

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. Telephone: (202) 287-1393. Email:

Tina.Kaarsberg@ee.doe.gov

Ms. Elizabeth Kohl, U.S. Department of Energy, Office of the General Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: (202) 586-7796. Email:

Elizabeth.Kohl@hq.doe.gov

SUPPLEMENTARY INFORMATION:

I. Summary of the Final Rule

A. Benefits and Costs to Consumers

B. Impact on Manufacturers

C. National Benefits

D. Conclusion

II. Introduction

A. Authority

B. Background

1. Ballast Efficacy Factor Standards

2. History of Standards Rulemaking for Fluorescent Lamp Ballasts

III. Issues Affecting the Scope of This Rulemaking

A. Additional Fluorescent Lamp Ballasts for Which DOE Is Adopting Standards

1. Scope of EPCA Requirement That DOE Consider Standards for Additional Ballasts

2. Identification of the Additional Ballasts for Which DOE Establishes Standards

3. Summary of Fluorescent Lamp Ballasts to Which DOE Extends Coverage

B. Off Mode and Standby Mode Energy Consumption Standards

IV. General Discussion

A. Test Procedures

1. Background

2. Transfer Function

3. Reference Lamp

4. Total Lamp Arc Power

B. Technological Feasibility

1. General

2. Maximum Technologically Feasible Levels

C. Energy Savings

1. Determination of Savings

2. Significance of Savings

D. Economic Justification

1. Specific Criteria

2. Rebuttable Presumption

V. Methodology and Discussion

A. Product Classes

1. Residential Ballasts

2. Sign Ballasts

3. Starting Method

4. 8-Foot HO

5. Summary

B. Engineering Analysis

1. NOPR Approach

2. Available Test Data

3. NEMA-Provided and DOE BLE Data Comparison

4. Accounting for Variation and Compliance Certification Requirements

5. Efficiency Levels

6. Representative Units

7. Scaling to Product Classes Not Analyzed

8. Manufacturer Selling Prices

9. Results

C. Markups To Determine Product Price

1. Distribution Channels

2. Estimation of Markups

3. Summary of Markups

D. Energy Use Analysis

E. Life-Cycle Cost and Payback Period Analyses

1. Product Cost

2. Installation Cost

3. Annual Energy Use

4. Energy Prices

5. Energy Price Projections

6. Replacement and Disposal Costs

7. Product Lifetime

8. Discount Rates

9. Compliance Date of Standards

10. Ballast Purchasing Events

F. National Impact Analysis-National Energy Savings and Net Present Value Analysis

1. Shipments

2. Site-to-Source Energy Conversion

G. Consumer Sub-Group Analysis

H. Manufacturer Impact Analysis

1. Product and Capital Conversion Costs

2. Markup Scenarios

3. Other Key GRIM Inputs

4. Other Comments From Interested Parties

5. Manufacturer Interviews

6. Sub-Group Impact Analysis

I. Employment Impact Analysis

J. Utility Impact Analysis

K. Environmental Assessment

L. Monetizing Carbon Dioxide and Other Emissions Impacts

1. Social Cost of Carbon

2. Valuation of Other Emissions Reductions

VI. Other Issues for Discussion

A. Proposed Standard Levels in April 2011 NOPR

B. Universal Versus Dedicated Input Voltage

C. Implementation of Adopted Standard Levels

VII. Analytical Results and Conclusions

A. Trial Standard Levels

B. Economic Justification and Energy Savings

1. Economic Impacts on Individual Consumers

2. Economic Impacts on Manufacturers

3. National Impact Analysis

4. Impact on Utility or Performance of Products

5. Impact of Any Lessening of Competition

6. Need of the Nation To Conserve Energy

C. Conclusions

1. Trial Standard Level 3B

2. Trial Standard Level 3A

D. Backsliding

VIII. Procedural Issues and Regulatory Review

A. Review Under Executive Orders 12866 and 13563

B. Review Under the Regulatory Flexibility Act

1. Statement of the Need for, and Objectives of, the Rule

2. Summary of and Responses to the Significant Issues Raised by the Public Comments, and a Statement of Any Changes Made as a Result of Such Comments

3. Description and Estimated Number of Small Entities Regulated

4. Description and Estimate of Compliance Requirements

5. Steps Taken To Minimize Impacts on Small Entities and Reasons Why Other Significant Alternatives to Today's Final Rule Were Rejected.

C. Review Under the Paperwork Reduction Act

D. Review Under the National Environmental Policy Act of 1969

E. Review Under Executive Order 13132

F. Review Under Executive Order 12988

G. Review Under the Unfunded Mandates Reform Act of 1995

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

I. Review Under Executive Order 12630

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

K. Review Under Executive Order 13211

L. Review Under the Information Quality Bulletin for Peer Review

M. Congressional Notification

IX. Approval of the Office of the Secretary

I. Summary of the Final Rule

Title III, Part B

of the Energy Policy and Conservation Act of 1975 (EPCA or the Act), Public Law 94-163 (42 U.S.C. 6291-6309, as codified), established the Energy Conservation Program for Consumer Products Other Than Automobiles. Pursuant to EPCA, any new or amended energy conservation standard that DOE prescribes for certain products, such as fluorescent lamp ballasts (ballasts), shall be designed to achieve the maximum improvement in energy efficiency that is technologically feasible and economically justified. (42 U.S.C. 6295(o)(2)(A)) Furthermore, the new or amended standard must result in a significant conservation of energy. (42 U.S.C. 6295(o)(3)(B)) In accordance with these and other statutory provisions discussed in this notice, DOE adopts new and amended energy conservation standards for ballasts. The new and amended standards, which are based on ballast luminous efficiency (BLE), the ratio of total lamp arc power to ballast input power as defined in Appendix Q1 of title 10 of the Code of Federal Regulations (CFR), part 430, are shown in Table I.1. These new and amended standards apply to all products listed in Table I.1 and manufactured in, or imported into, the United States on or after the compliance date specified in the

DATES

section.

For editorial reasons, upon codification in the U.S. Code, Part B was redesignated Part A.

Table I.1—New and Amended Energy Conservation Standards for Fluorescent Lamp Ballasts

Fluorescent lamp ballasts * shall have a ballast luminous efficiency no less than A/(1 + B * total lamp arc power‸-C) where A, B, and C are as follow:

Product Class

Percent

improvement

over current

standard or

baseline **

Instant start and rapid start ballasts (not classified as residential) that are designed to operate

0.993

0.27

0.25

5.7

4-foot medium bipin lamps

2-foot U-shaped lamps

8-foot slimline lamps

Programmed start ballasts (not classified as residential) that are designed to operate

0.993

0.51

0.37

10.8

4-foot medium bipin lamps

2-foot U-shaped lamps

4-foot miniature bipin standard output lamps

4-foot miniature bipin high output lamps

Instant start and rapid start ballasts (not classified as sign ballasts) that are designed to operate 8-foot high output lamps

0.993

0.38

0.25

26.5

Programmed start ballasts (not classified as sign ballasts) that are designed to operate 8-foot high output lamps

0.973

0.70

0.37

26.2

Sign ballasts that operate 8-foot high output lamps

0.993

0.47

0.25

15.1

Instant start and rapid start residential ballasts that operate

0.993

0.41

0.25

7.2

4-foot medium bipin lamps

2-foot U-shaped lamps

8-foot slimline lamps

Programmed start residential ballasts that are designed to operate

0.973

0.71

0.37

5.8

4-foot medium bipin lamps

2-foot U-shaped lamps

* Fluorescent ballasts that are exempt from these standards are listed in section III.A.3.

** Percent improvement is applicable to the average of ballasts directly analyzed.

A. Benefits and Costs to Consumers

Table I.2 presents DOE's evaluation of the economic impacts of today's standards on consumers of ballasts for the product classes analyzed as representative (see section V.B.6), as measured by the average life-cycle cost (LCC) savings and the median payback period (PBP). The average LCC savings are positive for all product classes. For example, the estimated average LCC savings are $37−$40 for 2-lamp instant start (IS) and rapid start (RS) ballasts that operate 4-foot T8

lamps in the commercial sector. When there was more than one baseline for a representative ballast type, DOE performed separate LCC analyses comparing replacement lamp-and-ballast systems to each baseline. Because T8 systems are generally more efficient and have lower overall LCCs than T12 systems, the LCC savings relative to the T8 baseline are lower than when comparing the same efficiency levels to a T12 baseline. At the adopted standard levels, however, LCC savings are positive for all replacement events and baselines analyzed.

A lamp description in the form “T8” refers to a lamp that (1) is tubular (linear) and (2) has a diameter of 8 eighths of an inch (1 inch).

Table I.2—Impacts of Today's Standards on Consumers of Ballasts

Product Class *

Average LCC savings

(

2010$

)

Median payback

period

(

years

) *

IS and RS ballasts (not classified as residential) that operate:

4-foot MBP lamps (T12 baseline)

$37 to $40

−1.2 to −1.3.

4-foot MBP lamps (T8 baseline)

$3 to $8

2.7 to 4.4.

8-foot slimline lamps (T12 baseline)

$22 to $33

0.1.

8-foot slimline lamps (T8 baseline)

$5 to $7

0.5 to 0.6.

PS ballasts (not classified as residential) that operate:

4-foot MBP lamps

$6 to $35

1.3 to 6.0.

4-foot MiniBP SO lamps

$10 to $19

2.4 to 3.8.

4-foot MiniBP HO lamps

$26 to $28

2.0 to 2.1.

IS and RS ballasts (not classified as sign ballasts) that operate:

8-foot HO lamps (T12 baseline)

$134 to $230

−0.7 to −1.3.

Sign ballasts that operate:

8-foot HO lamps

$251 to $403

−0.2 to −0.3.

IS and RS residential ballasts that operate:

4-foot MBP lamps

$15 to $21

−5.5 to −9.5.

*IS = instant start; RS = rapid start; MBP = medium bipin; MiniBP = miniature bipin; PS = programmed start;

SO = standard output; HO = high output.

**Negative PBP values indicate standards that reduce operating costs and installed costs.

B. Impact on Manufacturers

The industry net present value (INPV) is the sum of the discounted cash flows to the industry from the base year through the end of the analysis period (2014 to 2043). Using a real discount rate of 7.4

percent, DOE estimates that the INPV for manufacturers of ballasts in the base case ranges from $733 million to $1.22 billion in 2010 dollars (2010$). Under today's standards, DOE expects that ballast manufacturers may lose up to 36.7 percent of their INPV, which is approximately $268.6 million. Based on DOE's interviews with the manufacturers of ballasts, however, DOE does not expect any plant closings or significant employment loss. See section VII.B.2.b and VIII.B.3.b for additional discussion on this topic.

For ballasts, DOE uses a real discount rate of 7.4 percent. DOE's discount rate estimate was derived from industry financials then modified according to feedback during manufacturer interviews.

C. National Benefits

DOE's analyses indicate that today's ballast standards would save a significant amount of energy over 30 years (2014-2043)—an estimated 2.7-5.6 quadrillion British thermal units (quads) of cumulative energy. This amount is equivalent to the annual energy use of 14 million to 28 million U.S. homes.

This estimate is based on the energy use of homes in 2008, which is the most recent data available. See Rosenfeld, Arthur H. and Satish Kumar. Tables to Convert Energy or CO2 (saved or used) to Familiar Equivalents—Cars, Homes, or Power Plants (US Average Data for 2005). May 2008.

http://www.energy.ca.gov/commissioners/rosenfeld_docs/EquivalenceMatrix2008.doc

The cumulative national net present value (NPV) of total consumer costs and savings of today's ballast standards in 2010$ ranges from $6.7 billion (at a 7-percent discount rate) to $21.6 billion (at a 3-percent discount rate). This NPV expresses the estimated total value of future operating-cost savings less the estimated increased product costs for products purchased in 2014-2043, discounted to 2011.

In addition, today's ballast standards would have significant environmental benefits. The energy savings would result in cumulative greenhouse gas emission reductions of 27-106 million metric tons (Mt) of carbon dioxide (CO

) from 2014 through 2043. During this period, the standards would also result in emissions reductions

of 22-39 thousand tons of nitrogen oxides (NO

) and 0.40-1.47 tons of mercury (Hg).

DOE calculates emissions reductions relative to the most recent version of the

Annual Energy Outlook

(

AEO

) Reference case forecast. As noted in TSD chapter 16, this forecast accounts for regulatory emissions reductions through 2008, including the Clean Air Interstate Rule (CAIR, 70 FR 25162 (May 12, 2005)), but not the Clean Air Mercury Rule (CAMR, 70 FR 28606 (May 18, 2005)). Subsequent regulations, including the currently proposed CAIR replacement rule, the Clean Air Transport Rule (75 FR 45210 (Aug. 2, 2010)), do not appear in the forecast.

Results for NO

and Hg are presented in short tons. One short ton equals 2000 lbs.

The value of the CO

reductions is calculated using a range of values per metric ton of CO

(otherwise known as the Social Cost of Carbon, or SCC) developed by a recent interagency process. The derivation of the SCC values is discussed in section V.L. DOE estimates that the net present monetary value of the CO

emissions reductions is between $0.26 and $3.94 billion, expressed in 2010$ and discounted to 2011. DOE also estimates that the net present monetary value of the NO

emissions reductions, expressed in 2010$ and discounted to 2011, is $3.91 to $40.2 million at a 7-percent discount rate, and $7.67 to $78.8 million at a 3-percent discount rate.

DOE is aware of multiple agency efforts to determine the appropriate range of values used in evaluating the potential economic benefits of reduced Hg emissions. DOE has decided to await further guidance regarding consistent valuation and reporting of Hg emissions before it once again monetizes Hg emissions reductions in its rulemakings.

Table I.3 summarizes the national economic costs and benefits expected to result from today's standards for fluorescent lamp ballasts.

Table I.3—Summary of National Economic Benefits and Costs of Fluorescent Lamp Ballast Energy Conservation Standards

Category

Present value

Billion 2010$

Discount rate

(percent)

Benefits

Operating Cost Savings

12.0

24.1

Reduction Monetized Value (at $4.9/t) *

0.26

Reduction Monetized Value (at $22.3/t) *

1.29

Reduction Monetized Value (at $36.5/t) *

2.16

2.5

Reduction Monetized Value (at $67.6/t) *

3.94

Reduction Monetized Value (at $450/ton) *

0.004

0.01

Reduction Monetized Value (at $4,623/ton) *

0.04

0.08

Total Benefits†

13.3

25.4

Costs

Incremental Installed Costs

3.68

6.91

Net Benefits

Including CO

and NO

†

9.62

18.5

* The CO

values represent global monetized values of the SCC in 2010 under several scenarios. The values of $4.9, $22.3, and $36.5 per metric ton (t) are the averages of SCC distributions calculated using 5%, 3%, and 2.5% discount rates, respectively. The value of $67.6/t represents the 95th percentile of the SCC distribution calculated using a 3% discount rate.

† Total Benefits for both the 3% and 7% cases are derived using the SCC value calculated at a 3% discount rate, and the average of the low and high NO

values used in DOE's analysis.

The benefits and costs of today's standards, for products sold in 2014-2043, can also be expressed in terms of annualized values. The annualized monetary values are the sum of (1) the annualized national economic value, expressed in 2010$, of the benefits from operating the product (consisting primarily of operating cost savings from using less energy, minus increases in equipment purchase and installation costs, which is another way of representing consumer NPV, plus (2) the annualized monetary value of the benefits of emission reductions, including CO

emission reductions.

DOE used a two-step calculation process to convert the time-series of costs and benefits into annualized values. First, DOE calculated a present value in 2011, the year used for discounting the NPV of total consumer costs and savings, for the time-series of costs and benefits using discount rates of three and seven percent for all costs and benefits except for the value of CO

reductions. For the latter, DOE used a range of discount rates, as shown in Table I.3. From the present value, DOE then calculated the fixed annual payment over a 30-year period (2014 through 2043) that yields the same present value. This payment includes benefits to consumers which accrue after 2043 from the ballasts purchased from 2014 to 2043. Costs incurred by manufacturers, some of which may be incurred prior to 2014 in preparation for the rule, are not directly included, but are indirectly included as part of incremental product costs. The fixed annual payment is the annualized value. Although DOE calculated annualized values, this does not imply that the time-series of cost and benefits from which the annualized values were determined is a steady stream of payments.

Although adding the value of consumer savings to the values of emission reductions provides a valuable perspective, two issues should be considered. First, the national operating cost savings are domestic U.S. consumer monetary savings that occur as a result of market transactions, while the value of CO

emissions reductions is based on a global value. Second, the assessments of operating cost savings and CO

savings are performed with different methods that use different time frames for analysis. The national operating cost savings are measured for the lifetime of ballasts shipped in 2014-2043. The SCC values, alternatively, reflect the present value of all future climate-related impacts resulting from the emission of one metric ton of CO

in each year, with impacts continuing well beyond 2100.

Estimates of annualized benefits and costs of today's standards are shown in Table I.4. (The following monetary values are expressed in 2010$.) The results under the primary estimate are as follows. Using a 7-percent discount rate for benefits and costs other than CO

reduction, for which DOE used a 3-percent discount rate along with the SCC series corresponding to a value of $22.3/ton in 2010, the cost of the standards in today's rule is $363 million per year in increased equipment costs, while the benefits are $1.2 billion per year in reduced equipment operating costs, $92 million in CO

reductions, and $2.2 million in reduced NO

emissions. In this case, the net benefit amounts to $920 million per year. Using a 3-percent discount rate for all benefits and costs and the SCC series corresponding to a value of $22.3/ton in 2010, the cost of the standards in today's rule is $385 million per year in increased equipment costs, while the benefits are $1.3 billion per year in reduced operating costs, $92 million in CO

reductions, and $2.4 million in reduced NO

emissions. In this case, the net benefit amounts to $1.1 billion per year.

Table I.4—Annualized Benefits and Costs of New and Amended Standards for Ballasts Sold in 2014-2043*

Discount rate

Monetized

million 2010$/year

Primary estimate

Low estimate

(emerging technologies, roll-up

scenario)

High estimate

(existing technologies, shift scenario)

Benefits

Operating Cost Savings

1,189

886

1,492.

1,344

934

1,754.

Reduction at $4.9/t**

30.

Reduction at $22.3/t**

143.

Reduction at $36.5/t**

2.5%

151

237.

Reduction at $67.6/t**

280

124

435.

Reduction at $2,537/t**

2.2

1.3

3.0.

2.4

1.6

3.2.

Total (Operating Cost Savings, CO

Reduction and NO

Reduction)†

7% plus CO

range

1,211 to 1,471

896 to 1,011

1,525 to 1,930.

1,283

928

1,637.

1,438

976

1,900.

3% plus CO

range

1,366 to 1,626

945 to 1,059

1,788 to 2,193.

Costs

Incremental Product Costs

363

227

498.

385

218

553.

Net Benefits/Costs

Total (Operating Cost Savings, CO

Reduction and NO

Reduction, Minus Incremental Product Costs)†

7% plus CO

range

848 to 1,108

669 to 784

1,027 to 1,432.

920

700

1,139.

1,053

758

1,347.

3% plus CO

range

981 to 1,241

727 to 842

1,235 to 1,640.

* This table presents the annualized costs and benefits associated with fluorescent lamp ballasts shipped between 2014 and 2043. These results include benefits to consumers which accrue after 2043 from the ballasts purchased from 2014 to 2043. Costs incurred by manufacturers, some of which may be incurred prior to 2014 in preparation for the rule, are not directly included, but are indirectly included as part of incremental product costs. The Primary, Low Benefits, and High Benefits Estimates utilize forecasts of energy prices and housing starts from the

AEO2010

Reference case, with the Low and High Estimates based on forecasted ballast shipments in the Emerging Technologies, Roll-up and Existing Technologies, Shift scenarios, respectively. In addition, all estimates use incremental product costs that reflect constant prices (no learning rate) for product prices. The different techniques used to evaluate projected price trends for each estimate are discussed in section V.E.1.

** The CO

values represent global monetized values (in 2010$) of the social cost of CO

emissions in 2010 under several scenarios. The values of $4.9, $22.3, and $36.5 per metric ton are the averages of SCC distributions calculated using 5-percent, 3-percent, and 2.5-percent discount rates, respectively. The value of $67.6/t represents the 95th percentile of the SCC distribution calculated using a 3-percent discount rate. The value for NO

(in 2010$) is the average of the low and high values used in DOE's analysis.

† Total Benefits for both the 3-percent and 7-percent cases are derived using the SCC value calculated at a 3-percent discount rate, which is $22.3/t in 2010 (in 2010$). In the rows labeled as “7% plus CO

range” and “3% plus CO

range,” the operating cost and NO

benefits are calculated using the labeled discount rate, and those values are added to the full range of CO

values.

D. Conclusion

Based on the analyses culminating in this final rule, DOE found the benefits to the nation of the standards (energy savings, consumer LCC savings, positive NPV of consumer benefit, and emission reductions) outweigh the costs (loss of INPV). DOE has concluded that the standards in today's final rule represent the maximum improvement in energy efficiency that is technologically feasible and economically justified, and would result in significant conservation of energy. DOE further notes that in all product classes, ballasts achieving the standard levels are already commercially available.

II. Introduction

The following section briefly discusses the statutory authority underlying today's final rule, as well as some of the historical background related to the establishment of standards for ballasts.

A. Authority

Title III, Part B of the Energy Policy and Conservation Act of 1975, Public Law 94-163 (42 U.S.C. 6291-6309, as codified) established the Energy Conservation Program for Consumer Products Other Than Automobiles,

a program covering most major household appliances (collectively referred to as “covered products”), which includes the types of ballasts that are the subject of this final rule. (42 U.S.C. 6292(a)(13)) EPCA prescribed energy conservation standards for these products (42 U.S.C. 6295(g)(5), (6), and (8)), and directed DOE to conduct two cycles of rulemakings to determine whether to amend these standards. (42 U.S.C. 6295(g)(7))

For editorial reasons, upon codification in the U.S. Code (U.S.C.), Part B was redesignated Part A.

Pursuant to EPCA, DOE's energy conservation program for covered products consists essentially of four parts: (1) Testing; (2) labeling; (3) the establishment of Federal energy conservation standards; and (4) certification and enforcement procedures. The Federal Trade Commission (FTC) is primarily responsible for labeling, and DOE

implements the remainder of the program. Subject to certain criteria and conditions, DOE is required to develop test procedures to measure the energy efficiency, energy use, or estimated annual operating cost of each covered product. (42 U.S.C. 6293) Manufacturers of covered products must use the prescribed DOE test procedure as the basis for certifying to DOE that their products comply with the applicable energy conservation standards adopted under EPCA and when making representations to the public regarding the energy use or efficiency of those products. (42 U.S.C. 6293(c) and 6295(s)) Similarly, DOE must use these test procedures to determine whether the products comply with standards adopted pursuant to EPCA.

Id.

The DOE test procedures for ballasts currently appear at 10 CFR part 430, subpart B, appendices Q and Q1. Compliance with the ballast efficacy factor energy conservation standards, required until the compliance date specified in the

DATES

section, is determined according to appendix Q. Compliance with the BLE standards adopted in this rule must be determined according to appendix Q1. The procedures in appendix Q1 were established by the ballast active mode test procedure final rule. 76 FR 25211 (May 4, 2011).

DOE must follow specific statutory criteria for prescribing new or amended standards for covered products. As indicated in the beginning of section I, any new or amended standard for a covered product must be designed to achieve the maximum improvement in energy efficiency that is technologically feasible and economically justified. (42 U.S.C. 6295(o)(2)(A)) Furthermore, DOE may not adopt any standard that would not result in the significant conservation of energy. (42 U.S.C. 6295(o)(3)) Moreover, DOE may not prescribe a standard: (1) For certain products, including ballasts, if no test procedure has been established for the product, or (2) if DOE determines by rule that the new or amended standard is not technologically feasible or economically justified. (42 U.S.C. 6295(o)(3)(A)-(B)) In deciding whether a new or amended standard is economically justified, DOE must determine whether the benefits of the standard exceed its burdens. (42 U.S.C. 6295(o)(2)(B)(i)) DOE must make this determination after receiving comments on the proposed standard, and by considering, to the greatest extent practicable, the following seven factors:

1. The economic impact of the standard on manufacturers and consumers of the products subject to the standard;

2. The savings in operating costs throughout the estimated average life of the covered products in the type (or class) compared to any increase in the price, initial charges, or maintenance expenses for the covered products that are likely to result from the imposition of the standard;

3. The total projected amount of energy, or as applicable, water, savings likely to result directly from the imposition of the standard;

4. Any lessening of the utility or the performance of the covered products likely to result from the imposition of the standard;

5. The impact of any lessening of competition, as determined in writing by the Attorney General, that is likely to result from the imposition of the standard;

6. The need for national energy and water conservation; and

7. Other factors the Secretary of Energy (the Secretary) considers relevant.

(42 U.S.C. 6295(o)(2)(B)(i)(I)-(VII))

EPCA, as codified, also contains what is known as an “anti-backsliding” provision, which prevents the Secretary from prescribing any new or amended standard that either increases the maximum allowable energy use or decreases the minimum required energy efficiency of a covered product. (42 U.S.C. 6295(o)(1)) Also, the Secretary may not prescribe a new or amended standard if interested parties have established by a preponderance of the evidence that the standard is likely to result in the unavailability in the United States in any covered product type (or class) of performance characteristics (including reliability), features, sizes, capacities, and volumes that are substantially the same as those generally available in the United States. (42 U.S.C. 6295(o)(4))

Further, EPCA, as codified, establishes a rebuttable presumption that a standard is economically justified if the Secretary finds that the additional cost to the consumer of purchasing a product complying with an energy conservation standard level will be less than three times the value of the energy savings during the first year that the consumer will receive as a result of the standard, as calculated under the applicable test procedure. See 42 U.S.C. 6295(o)(2)(B)(iii).

Additionally, 42 U.S.C. 6295(q)(1) specifies requirements when promulgating a standard for a type or class of covered product that has two or more subcategories. DOE must specify a different standard level than that which applies generally to such type or class of products for any group of covered products which have the same function or intended use if products within such group—(A) consume a different kind of energy from that consumed by other covered products within such type (or class); or (B) have a capacity or other performance-related feature which other products within such type (or class) do not have and such feature justifies a higher or lower standard.

Id.

In determining whether a performance-related feature justifies a different standard for a group of products, DOE must consider such factors as the utility to the consumer of such a feature and other factors DOE deems appropriate.

Id.

Any rule prescribing such a standard must include an explanation of the basis on which such higher or lower level was established. (42 U.S.C. 6295(q)(2))

Federal energy conservation requirements generally supersede State laws or regulations concerning energy conservation testing, labeling, and standards. (42 U.S.C. 6297(a)-(c)) DOE may, however, grant waivers of Federal preemption for particular State laws or regulations, in accordance with the procedures and other provisions set forth under 42 U.S.C. 6297(d).

Pursuant to the amendments contained in section 310(3) of the Energy Independence and Security Act of 2007 (EISA 2007), any final rule for new or amended energy conservation standards promulgated after July 1, 2010, is required to address standby mode and off mode energy use. (42 U.S.C. 6295(gg)(3)) Specifically, when DOE adopts a standard for a covered product after that date, it must, if justified by the criteria for adoption of standards under EPCA (42 U.S.C. 6295(o)), incorporate standby mode and off mode energy use into the standard or, if that is not feasible, adopt a separate standard for such energy use for that product. (42 U.S.C. 6295(gg)(3)(A)-(B)) DOE has determined that ballasts do not operate in an “off mode” as defined by EPCA (42 U.S.C. 6291(gg)(1)(A)(ii)), and that the only ballasts that consume power in a “standby mode” as defined by EPCA (42 U.S.C. 6291(gg)(1)(A)(iii)) are those that incorporate an electronic circuit enabling the ballast to communicate with and be part of a lighting control system. DOE's test procedures for ballasts address such standby mode energy use. 74 FR 54455 (October 22, 2009) and 76 FR 25211 (May 4, 2011); 10 CFR part 430, subpart B, appendix Q, section 3.2 and appendix Q1, section 3. DOE did not adopt standards for standby mode energy use, however, because DOE did not find any covered ballasts capable of operating in this

mode in its search of the marketplace. Therefore, this final rule does not include energy conservation standards for standby mode energy use. See section III.B for more detail.

DOE has also reviewed this regulation pursuant to Executive Order 13563, issued on January 18, 2011 (76 FR 3281, Jan. 21, 2011). EO 13563 is supplemental to and explicitly reaffirms the principles, structures, and definitions governing regulatory review established in Executive Order 12866. To the extent permitted by law, agencies are required by Executive Order 13563 to: (1) Propose or adopt a regulation only upon a reasoned determination that its benefits justify its costs (recognizing that some benefits and costs are difficult to quantify); (2) tailor regulations to impose the least burden on society, consistent with obtaining regulatory objectives, taking into account, among other things, and to the extent practicable, the costs of cumulative regulations; (3) select, in choosing among alternative regulatory approaches, those approaches that maximize net benefits (including potential economic, environmental, public health and safety, and other advantages; distributive impacts; and equity); (4) to the extent feasible, specify performance objectives, rather than specifying the behavior or manner of compliance that regulated entities must adopt; and (5) identify and assess available alternatives to direct regulation, including providing economic incentives to encourage the desired behavior, such as user fees or marketable permits, or providing information upon which choices can be made by the public.

DOE emphasizes as well that Executive Order 13563 requires agencies “to use the best available techniques to quantify anticipated present and future benefits and costs as accurately as possible.” In its guidance, the Office of Information and Regulatory Affairs has emphasized that such techniques may include “identifying changing future compliance costs that might result from technological innovation or anticipated behavioral changes.” For the reasons stated in the preamble, DOE concludes that today's final rule is consistent with these principles, including the requirement that, to the extent permitted by law, benefits justify costs and that net benefits are maximized. Consistent with EO 13563, and the range of impacts analyzed in this final rule, the energy efficiency standards adopted herein by DOE achieve maximum net benefits.

B. Background

1. Ballast Efficacy Factor Standards

The Federal energy conservation standards for ballasts expressed in terms of ballast efficacy factor are set forth in Table II.1 and Table II.2. The standards in Table II.1 were adopted in a final rule published on September 19, 2000, which completed the first of the two rulemakings required under 42 U.S.C. 6295(g)(7) to consider amending the standards for ballasts (hereafter referred to as the 2000 Ballast Rule). 65 FR 56739. The standards in Table II.2 were established by amendments to EPCA in the Energy Policy Act of 2005 (EPAct 2005), Pub. L. 109-58.

Table II.1—Energy Conservation Standards From the 2000 Ballast Rule

Application for operation of *

Ballast input

voltage

Total nominal lamp watts

Ballast efficacy factor

One F40T12 lamp

120

2.29

277

2.29

Two F40T12 lamps

120

1.17

277

1.17

Two F96T12 lamps

120

150

0.63

277

150

0.63

Two F96T12HO lamps

120

220

0.39

277

220

0.39

* F40T12, F96T12, and F96T12HO are defined in Appendix Q to Subpart B of Part 430.

10 CFR 430.32(m)(3).

Table II.2—Energy Conservation Standards From EPAct 2005

Application for operation of *

Ballast input

voltage

Total nominal lamp watts

Ballast efficacy factor

One F34T12 lamp

120/277

2.61

Two F34T12 lamps

120/277

1.35

Two F96T12/ES lamps

120/277

120

0.77

Two F96T12HO/ES lamps

120/277

190

0.42

* F34T12, F96T12/ES, and F96T12HO/ES are defined in Appendix Q to Subpart B of Part 430.

(42 U.S.C. 6295(g)(8)(A); 10 CFR 430.32(m)(5))

In summary, as reflected in the previous two tables, the ballasts currently regulated under EPCA consist of ballasts that are designed to operate:

• One and two nominally 40-watt (W) and 34W 4-foot T12 medium bipin (MBP) lamps (F40T12

and F34T12);

A notation in the form “F40T12” identifies a lamp type. This particular notation refers to a lamp that: (1) Is fluorescent; (2) has a nominal wattage of 40 W; (3) is linear (tubular); and (4) has a diameter of 12 eighths of an inch.

• Two nominally 75W and 60W 8-foot T12 single-pin (SP) slimline lamps (F96T12 and F96T12/ES); and

• Two nominally 110W and 95W 8-foot T12 recessed double contact high output lamps (F96T12HO and F96T12HO/ES) at nominal input voltages of 120 or 277 volts (V) with an input current frequency of 60 hertz (Hz).

In addition, several ballasts are exempt from standards. These exemptions consist of ballasts designed to operate those lamps listed in Table II.1 that:

• Are designed for dimming to 50 percent or less of its maximum output;

• Are designed for use with two F96T12 high output (HO) lamps at ambient temperatures of −20 degrees Fahrenheit (F) or less and for use in an outdoor sign; or

• Have a power factor of less than 0.90 and are designed and labeled for use only in residential building applications.

2. History of Standards Rulemaking for Fluorescent Lamp Ballasts

EPCA establishes energy conservation standards for certain ballasts and requires that DOE conduct two cycles of rulemaking to determine whether to amend the standards for these ballasts, including whether to adopt standards for additional ballasts. (42 U.S.C. 6295(g)(5)-(8)) As indicated in section II.B.1, DOE completed the first of these rulemaking cycles by publishing the 2000 Ballast Rule. 65 FR 56740 (Sept. 19, 2000). In this rulemaking, the second rulemaking cycle required by 42 U.S.C. 6295(g)(7), DOE is amending the existing standards for ballasts and adopting standards for additional ballasts.

DOE initiated this rulemaking on January 14, 2008 by publishing in the

Federal Register

a notice announcing the availability of the “Energy Conservation Standards Rulemaking Framework Document for Fluorescent Lamp Ballasts.” (A PDF of the framework document is available at

http://www1.eere.energy.gov/buildings/appliance_standards/residential/pdfs/ballast_framework_011408.pdf.

) In that notice, DOE also announced a public meeting on the framework document and requested public comment on the matters raised in the document. 73 FR 3653 (Jan. 22, 2008). The framework document described the procedural and analytical approaches that DOE anticipated using to evaluate energy conservation standards for the ballasts, and identified various issues to be resolved in conducting this rulemaking.

DOE held the public meeting on February 6, 2008, where it: Presented the contents of the framework document; described the analyses it planned to conduct during the rulemaking; sought comments from interested parties on these subjects; and in general, sought to inform interested parties about, and facilitate their involvement in, the rulemaking. Interested parties at the public meeting discussed the active mode test procedure and several major analyses related to this rulemaking. At the meeting and during the period for commenting on the framework document, DOE received feedback that helped identify and resolve issues involved in this rulemaking.

DOE then gathered additional information and performed preliminary analyses to help develop potential energy conservation standards for ballasts. DOE published in the

Federal Register

an announcement of the availability of the preliminary technical support document (TSD) and of another public meeting to discuss and receive comments on the following matters: Product classes; the analytical framework, models, and tools that DOE was using to evaluate standards; the results of the preliminary analyses performed by DOE; and potential standard levels that DOE could consider. 75 FR 14319 (March 24, 2010) (hereafter referred to as the March 2010 notice). DOE also invited written comments on these subjects.

Id.

The preliminary TSD is available at

http://www1.eere.energy.gov/buildings/appliance_standards/residential/fluorescent_lamp_ballasts_ecs_prelim_tsd.html.

In the notice, DOE also requested comment on other relevant issues that would affect energy conservation standards for fluorescent lamp ballasts or that DOE should address in the notice of proposed rulemaking (NOPR).

Id.

at 14322.

The public meeting announced in the March 2010 notice took place on April 26, 2010. At that meeting, DOE presented the methodologies and results of the analyses set forth in the preliminary TSD. Interested parties discussed the following major issues at the public meeting: The efficiency metric; how test procedure variation might affect efficiency measurements; requirements for ballasts in environments that are sensitive to electromagnetic interference (EMI); product classes; manufacturer selling prices (MSPs) and overall pricing methodology; markups; the maximum technologically feasible ballast efficiency; cumulative regulatory burden; and shipments. DOE considered the comments received since publication of the March 2010 notice, including those received at the April 2010 public meeting, in the development of the NOPR.

In April 2011, DOE proposed new and amended energy conservation standards for fluorescent lamp ballasts. In conjunction with the NOPR, DOE also published on its Web site the complete TSD for the proposed rule, which incorporated the analyses DOE conducted and technical documentation for each analysis. The TSD included the engineering analysis spreadsheets, the LCC spreadsheet, the national impact analysis spreadsheet, and the manufacturer impact analysis (MIA) spreadsheet—all of which are available on DOE's Web site.

The proposed standards were as shown in Table II.3. 76 FR 20090, 20091 (April 11, 2011).

The Web site address for all the spreadsheets developed for this rulemaking proceeding are available at:

http://www1.eere.energy.gov/buildings/appliance_standards/residential/fluorescent_ballasts_nopr_analytical_tools.html.

Table II.3—Energy Conservation Standards Proposed in the April 2011 NOPR

Product class

Proposed BLE standard

IS and RS ballasts that operate

1.32 * ln(total lamp arc power) + 86.11.

4-foot MBP lamps

8-foot slimline lamps

PS ballasts that operate

1.79 * ln(total lamp arc power) + 83.33.

4-foot MBP lamps

4-foot MiniBP SO lamps

4-foot MiniBP HO lamps

IS and RS ballasts that operate 8-foot HO lamps

1.49 * ln(total lamp arc power) + 84.32.

PS ballasts that operate 8-foot HO lamps

1.46 * ln(total lamp arc power) + 82.63.

Ballasts that operate 8-foot HO lamps designed for cold temperature outdoor signs

1.49 * ln(total lamp arc power) + 81.34.

In the NOPR, DOE invited comment in particular on the following issues: (1) The exemption for T8 magnetic

ballasts in EMI-sensitive environments; (2) the appropriateness of establishing efficiency standards using an equation dependent on lamp-arc power; (3) the inclusion of several different ballast types in the same product class; (4) the methodology used to calculate manufacturer selling prices; (5) the efficiency levels considered; (6) the maximum technologically feasible level; (7) markups; (8) the inclusion T12 ballasts in the baseline analysis for life cycle costs; (9) the magnitude and timing of forecasted shipments; (10) the methodology and inputs DOE used for the manufacturer impact analysis—specifically, DOE's assumptions regarding markups, capital costs, and conversion costs; (12) the potential impacts of amended standards on small fluorescent lamp ballast manufacturers; (13) the trial standard levels (TSLs) considered; (14) the proposed standard level; and (15) potential approaches to maximize energy savings while mitigating impacts to certain fluorescent ballast consumer subgroups. 76 FR 20090, 20177 (April 11, 2011).

When DOE refers to a magnetic ballast throughout this document, it is referring to a low frequency ballast as defined by as defined in ANSI C82.13-2002. Similarly, when DOE refers to an electronic ballast, it is referring to a high frequency ballast as defined by the same ANSI standard.

DOE held a public meeting on May 10, 2011, to hear oral comments on and solicit information relevant to the proposed rule (hereafter the May 2011 public meeting). At this meeting, the National Electrical Manufacturers Association (NEMA) presented test data that they found inconsistent with the data collected by DOE and that could affect the standards established in the final rule. In general, NEMA's ballast luminous efficiency values appeared to be lower than those obtained by DOE. NEMA and other stakeholders agreed that there were discrepancies between the two data sets and emphasized the importance of identifying the source of the differences. In addition, DOE received comments on the methodology used to account for compliance certification requirements, design variation, and lab-to-lab variation and on the appropriate shape of DOE's proposed efficiency level curves.

In light of these discrepancies, DOE published a notice of data availability (NODA) on August 24, 2011 to: (1) Announce the availability of additional test data collected by DOE and the data submitted by NEMA; (2) address the differences between test data obtained by DOE and test data submitted by NEMA; (3) describe the methodological changes DOE was considering for the final rule based on the additional data; (4) present efficiency levels developed using the revised methodology and all available test data; and (5) request public comment on these analyses.

The August 2011 NODA and accompanying data are available here:

http://www1.eere.energy.gov/buildings/appliance_standards/residential/notice_of_data_availability.html

DOE considered the comments received in response to both the April 2011 NOPR and the August 2011 NODA when developing this final rule, and responds to these comments in the following sections.

III. Issues Affecting the Scope of This Rulemaking

A. Additional Fluorescent Lamp Ballasts for Which DOE is Adopting Standards

1. Scope of EPCA Requirement That DOE Consider Standards for Additional Ballasts

As discussed in section II.A, amendments to EPCA established energy conservation standards for certain fluorescent lamp ballasts and directed DOE to conduct two rulemakings to consider amending the standards. The first amendment was completed with the publication of the 2000 Ballast Rule. This rulemaking fulfills the statutory requirement to determine whether to amend standards a second time. EPCA specifically directs DOE, in this second amendment, to determine whether to amend the standards in effect for fluorescent lamp ballasts and whether such standards should be amended so that they would be applicable to additional fluorescent lamp ballasts. (42 U.S.C. 6295(g)(7)(B))

The April 2011 NOPR notes that a wide variety of fluorescent lamp ballasts are not currently covered by energy conservation standards, and thus are potential candidates for coverage under 42 U.S.C. 6295(g)(7). DOE encountered similar circumstances in a recent rulemaking that amended standards for general service fluorescent and incandescent reflector lamps (hereafter referred to as the 2009 Lamps Rule).

74 FR 34080, 34087-8 (July 14, 2009). In that rule, DOE was directed by EPCA to consider expanding its scope of coverage to include additional general service fluorescent lamps (GSFL). EPCA defines GSFLs as fluorescent lamps that can satisfy the majority of fluorescent lamp applications and that are not designed and marketed for certain specified, non-general lighting applications. (42 U.S.C. 6291(30)(B)) As such, the term “general service fluorescent lamp” is defined by reference to the term “fluorescent lamp,” which EPCA defines as “a low pressure mercury electric-discharge source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light,” and as including the four enumerated types of fluorescent lamps for which EPCA already prescribes standards. (42 U.S.C. 6291(30)(A); 42 U.S.C. 6295(i)(1)(B)) To construe “general service fluorescent lamp” in 42 U.S.C. 6295(i)(5) as limited to those types of fluorescent lamps would mean there are no GSFLs that are not already subject to standards, and hence, there would be no “additional” GSFLs for which DOE could consider standards. Such an interpretation would conflict with the directive in 42 U.S.C. 6295(i)(5) that DOE consider standards for “additional” GSFLs, thereby nullifying that provision.

Documents for the 2009 Lamps Rule are available at:

http://www1.eere.energy.gov/buildings/appliance_standards/residential/incandescent_lamps.html

Therefore, DOE concluded that the term “additional general service fluorescent lamps” in 42 U.S.C. 6295(i)(5) allows DOE to set standards for GSFLs other than the four enumerated lamp types specified in the EPCA definition of “fluorescent lamp.” As a result, the 2009 Lamps Rule defined “fluorescent lamp” to include:

(1) Any straight-shaped lamp (commonly referred to as 4-foot medium bipin lamps) with medium bipin bases, a nominal overall length of 48 inches, and rated wattage of 25 or more;

(2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped lamps) with medium bipin bases, a nominal overall length between 22 and 25 inches, and rated wattage of 25 or more;

(3) Any rapid start lamp (commonly referred to as 8-foot high output lamps) with recessed double contact bases and a nominal overall length of 96 inches;

(4) Any instant start lamp (commonly referred to as 8-foot slimline lamps) with single pin bases, a nominal overall length of 96 inches, and rated wattage of 52 or more;

(5) Any straight-shaped lamp (commonly referred to as 4-foot miniature bipin standard output lamps) with miniature bipin bases, a nominal overall length between 45 and 48 inches, and rated wattage of 26 or more; and

(6) Any straight-shaped lamp (commonly referred to 4-foot miniature bipin high output lamps) with miniature bipin bases, a nominal overall length between 45 and 48 inches, and rated wattage of 49 or more.

10 CFR 430.2

In this rulemaking, DOE is directed to consider whether any amended standard should be applicable to additional fluorescent lamp ballasts. (42 U.S.C. 6295(g)(7)(B)) EPCA defines a “fluorescent lamp ballast” as “a device which is used to start and operate fluorescent lamps by providing a starting voltage and current and limiting the current during normal operation.” (42 U.S.C. 6291(29)(A)) For this rule, DOE referenced the definition of fluorescent lamp adopted by the 2009 Lamps Rule. This definition allows DOE to consider expanding coverage to include additional fluorescent lamp ballasts while not eliminating coverage of any ballasts for which standards already exist.

2. Identification of the Additional Ballasts for Which DOE Establishes Standards

In considering whether to amend the standards in effect for fluorescent lamp ballasts so that they apply to “additional” fluorescent lamp ballasts as specified in section 325(g)(7)(B) of EPCA, DOE considered all fluorescent lamp ballasts (for which standards are not already prescribed) that operate fluorescent lamps, as defined in 10 CFR 430.2. For each additional fluorescent lamp ballast, DOE considered potential energy savings, technological feasibility and economic justification when determining whether to include them in the scope of coverage. In its analyses, DOE assessed the potential energy savings from market share estimates, potential ballast designs that improve efficiency, and other relevant factors. For market share estimates, DOE used both quantitative shipment data and information obtained during manufacturer interviews. DOE also assessed the potential to achieve energy savings in certain ballasts by considering whether those ballasts could serve as potential substitutes for other regulated ballasts.

In the April 2011 NOPR, DOE proposed extending coverage to several additional ballast types including those that operate: Additional numbers and diameters of 4-foot MBP lamps, 8-foot HO lamps, and 8-foot slimline lamps; 4-foot miniature bipin (MiniBP) standard output (SO) lamps; 4-foot MiniBP HO lamps; and 8-foot HO cold temperature lamps commonly used in outdoor signs. DOE did not propose to extend coverage to additional dimming ballasts or T8 magnetic ballasts that operate in EMI-sensitive environments, provided that these magnetic ballasts were designed and labeled for use in EMI-sensitive environments only and shipped by the manufacturer in packages of 10 or fewer ballasts.

The Northwest Energy Efficiency Alliance (NEEA) and the Northwest Power and Conservation Council (NPCC), the Northeast Energy Efficiency Partnerships (NEEP), the Appliance Standards Awareness Project (ASAP), and in a joint comment, ASAP, the Alliance to Save Energy, the American Council for an Energy-Efficient Economy, the National Consumer Law Center, and the National Resources Defense Council (hereafter the “Joint Comment”) supported the proposed scope of coverage. ASAP and the Joint Comment stated that the expanded scope contributes significantly to the forecasted energy savings for this rulemaking. (NEEA and NPCC, No. 44 at p. 2

; NEEP, No. 49 at p. 2; ASAP, Public Meeting Transcript, No. 43 at pp. 80-2; Joint Comment, No. 46 at p. 2) DOE also received several comments regarding the proposed exemption for T8 magnetic ballasts that operate in EMI-sensitive environments, coverage of residential ballasts, and additional comments recommending further exemptions. These comments are discussed in further detail in the following sections.

A notation in the form “NEEA and NPCC, No. 44 at p. 2” identifies a written comment that DOE has received and has included in the docket of this rulemaking. This particular notation refers to a comment: (1) Submitted by NEEA and NPCC; (2) in document number 44 of the docket; and (3) on page 2 of that document.

a. Ballasts That Operate in Environments Sensitive to Electromagnetic Interference

DOE received comments at the April 2010 public meeting that standards could eliminate magnetic ballasts that are currently used in certain EMI-sensitive environments. DOE conducted research and interviews with fluorescent lamp ballast and fixture manufacturers to identify the following applications as potentially sensitive to EMI: Medical operating room telemetry or life support systems; airport control systems; electronic test equipment; radio communication devices; radio recording studios; correctional facilities; clean rooms; facilities with low signal-to-noise ratios; and aircraft hangars or other buildings with predominantly metal construction.

DOE learned from manufacturer interviews that magnetic ballasts are typically recommended for situations in which EMI has been or is expected to be a concern.

This list is not all inclusive.

Although there are several methods to reduce electromagnetic interference, available data do not indicate that EMI-related issues with electronic ballasts can be eliminated such that there are no longer safety concerns. For this reason, in the April 2011 NOPR DOE proposed an exemption for T8 magnetic ballasts designed and labeled for use in EMI-sensitive environments only and shipped by the manufacturer in packages containing 10 or fewer ballasts. DOE believed the exemption was necessary because in some environments, EMI could pose a serious safety concern that is best mitigated with magnetic ballast technology. DOE did not believe magnetic ballasts would likely be used as substitutes in current electronic ballast applications due to their higher cost and weight. 76 FR 20090, 20100-1 (April 11, 2011).

NEEA and NPCC, NEMA, and ASAP supported the exemption for magnetic ballasts in EMI-sensitive locations. (NEEA and NPCC, No. 44 at p. 2; NEMA, Public Meeting Transcript, No. 43 at p. 70; NEMA, No. 47 at pp. 2-3; ASAP, Public Meeting Transcript, No. 43 at pp. 80-2) ASAP and NEEA and NPCC suggested requiring the description “designed, labeled, and marketed for use in EMI-sensitive applications” to limit the possibility of exempted ballasts being sold in other applications. Philips commented that they are unsure how manufacturers would be able to control the marketing through distributors to the proper market. ASAP and NEEA and NPCC acknowledged that although manufacturers cannot control distribution, they can control how they market their products. (ASAP, Public Meeting Transcript, No. 43 at pp. 80-82; Philips, Public Meeting Transcript, No. 43 at p. 82; NEEA and NPCC, No. 44 at p. 2)

DOE did not receive any adverse comment regarding the exemption for T8 magnetic ballasts in EMI-sensitive applications and therefore, for the reasons discussed above, maintains this exemption in the final rule. DOE agrees with ASAP and NEEA and NPCC that this exemption should be designed such that, to the greatest extent possible, it does not become a pathway to circumvent compliance with standards adopted by this rulemaking. Therefore, DOE has modified the description of the exemption to cover ballasts “designed, labeled, and marketed for use in EMI-sensitive applications.” See appendix 5E of the TSD for more details on EMI-sensitive applications.

b. Ballasts That Operate in the Residential Sector

Radionic disagreed with DOE's decision to cover residential ballasts and stated that new residential models

developed to meet standards are likely to have a high initial cost. Because residential consumers are sensitive to first cost, Radionic stated that consumers will choose less expensive and less efficient technologies, thereby potentially decreasing energy savings. (Radionic, No. 36 at p. 1)

As discussed in the April 2011 NOPR, DOE believes that residential ballasts represent a sizeable portion of the overall ballast market and represent significant potential energy savings. DOE agrees with comments received in response to the preliminary TSD, stating that demand for residential fluorescent ballasts will likely grow substantially as residential building codes become more stringent. For example, California, Oregon, and Washington have codes that require fluorescent or higher-efficacy systems in homes. Similarly, the 2009 International Energy Conservation Code requires that 50 percent of all permanently installed lighting in residences have a minimum efficacy of 45 lumens per watt. 76 FR 20090, 20099 (April 11, 2011). DOE projects that increased lighting efficacy requirements will drive consumers to continue to purchase fluorescent systems despite incremental increases in first cost. Furthermore, DOE notes that consumers are already purchasing higher efficiency fluorescent ballasts despite their higher initial first cost relative to other lighting technologies. As discussed in section V.A.1 and section V.B.5.g, standards for residential ballasts save significant amounts of energy, and are technologically feasible and economically justified. Therefore, DOE includes residential ballasts in the scope of coverage for this final rule.

c. Ballasts That Operate Below Minimum ANSI Current Levels

At the May 2011 public meeting, the General Electric Company (GE) commented that DOE's efficiency levels for programmed start (PS) ballasts assumed high efficiency filament cut-out at all arc powers. GE stated, however, that some low ballast factor (BF) PS ballasts operate at currents below minimum American National Standards Institute (ANSI) levels for T8 and T12 lamps and thus require filament heating to maintain lamp life. GE and NEMA noted that these ballasts would be unable to meet BLE requirements proposed in the April 2011 NOPR due to cathode heating, but would offer energy savings due to their relatively low power levels and use in conjunction with occupancy sensors. Thus, GE requested that these low BF ballasts be exempt from standards. (GE, Public Meeting Transcript, No. 43 at pp. 236, 238; NEMA, No. 47 at p. 6)

NEEA and NPCC recognized the operating limitations presented by these ballasts, but expressed concern over the lack of information about their fraction of shipments, the markets where they are most commonly sold, and their cost relative to other, more common ballast types designed to operate the same type and number of lamps. Specifically, NEEA and NPCC commented that these ballasts might be the kind of currently exempted product provided to the residential market, and that their continuing exemption could result in an increase in sales and accompanying loss in energy savings. (NEEA and NPCC, No. 44 at p. 4) The Joint Comment also highlighted the possibility of an increase in the use of these low BF ballasts in all applications if they were exempt from standards. They stated that the current small market share did not mean that shipments would not increase substantially in response to an exemption, thereby decreasing the potential energy savings due to the standards adopted by the rulemaking. (Joint Comment, No. 46 at pp. 2, 3)

DOE reviewed ANSI C78.81-2010

and determined that ballasts designed to operate 4-foot MBP T8 lamps are required to use some level of cathode heating when operating lamps at currents less than 155 milliamperes (mA). Through testing, DOE learned the BF of these ballasts was similar to or less than 0.7. This low BF (which affects light output) is a unique utility that might be removed from the market if these ballasts were held to the established standard level. DOE analyzed test data for 4-foot MBP T8 programmed start ballasts with average currents less than 155 mA to determine if there was a trend between low current and low efficiency. DOE determined that as current decreased, the BLE also decreased. DOE concluded that none of the PS ballasts tested with an average current of less than 140 mA were able to meet the max tech efficiency levels analyzed in the PS product class. Therefore, DOE is exempting these PS low-current ballasts from the standards adopted in this final rule.

American National Standard for Electric Lamps—Double-Capped Fluorescent Lamps—Dimensional and Electrical Characteristics, Approved January 14, 2010.

DOE does not believe that an exemption for these ballasts will lead to an increase in their use because when current is reduced, light output is also reduced. Consumers have light output requirements and would not consider a ballast that does not meet such a requirement to be an adequate substitute. Reduced light output could also require additional lighting fixtures to be purchased in order to meet expected lighting levels. It is unlikely, however, that consumers would purchase additional fixtures due to high first cost. As a result, DOE establishes an exemption for these PS, low-current ballasts. DOE has determined that the threshold for the exemption will be set at the current levels indicated in its testing, 140 mA for 4-foot MBP ballasts.

d. Other Exemptions

Radionic commented that DOE should consider exempting outdoor ballasts, cold weather ballasts, “all ballasts for less than 30 watts”, ballasts that have a normal power factor

(a power factor equal to or greater than 0.6 and less than 0.9), and ballasts that are produced in small quantities for special applications. (Radionic, No. 36 at p. 1)

As defined by ANSI C82.13-2002, the power factor is calculated by determining the ratio of the input power to the apparent power. The input power is measured with a wattmeter, and the apparent power is the ballast input voltage multiplied by the ballast input current. For more information, see chapter 3 of the TSD.

DOE notes that several of the ballasts mentioned by Radionic are already subject to standards. For example, because outdoor and cold weather ballasts, apart from sign ballasts, are already covered by current standards, DOE cannot exempt them from standards in this rulemaking due to anti-backsliding statutory provisions (discussed in section II.A). Similarly, DOE interpreted “all ballasts for less than 30 watts” as ballasts that operate total lamp arc powers less than 30 W. Some of these ballasts (such as ballasts that operate F34T12 lamps) are covered by current standards and cannot be exempted in this rulemaking. In general, DOE specifies efficiency levels using a power law equation that assigns BLE values as a function of total lamp arc power. In other words, the equation takes lower lamp arc power into account when assigning appropriate standard levels. Even though they operate lower wattage lamps, these ballasts still demonstrate significant potential energy savings and DOE test data shows they are capable of meeting the standard levels adopted by this final rule. Therefore, DOE will not exempt ballasts that operate total lamp arc powers less than 30 W in this final rule.

Ballasts with a normal power factor are classified as residential ballasts. DOE continues to cover residential ballasts as discussed in section III.A.2.b. For residential ballasts, as well as all other types listed above, Radionic did

not provide DOE with any specific information regarding ballasts produced in small quantities for special applications, or specific data indicating that these ballasts would be unable to meet any standards. DOE has looked at the market and has not identified any applications, other than those already defined, in which ballasts are unable to meet standards and would require an exemption. For all of the ballast types Radionic listed, DOE has determined that the adopted standard levels are technologically feasible and economically justified.

3. Summary of Fluorescent Lamp Ballasts To Which DOE Extends Coverage

With the exception of the comments discussed previously in this section, DOE received no other input related to coverage of fluorescent lamp ballasts. In addition, DOE's revised analyses indicate that energy conservation standards for the ballasts for which DOE proposed coverage in the April 2011 NOPR are still technologically feasible, economically justified, and would result in significant energy savings. Therefore, in summary, this final rule extends coverage to the following fluorescent lamp ballasts:

(1) Ballasts that operate 4-foot medium bipin lamps with a rated wattage

of 25W or more, and an input voltage at or between 120V and 277V;

The 2009 Lamps Rule adopted a new definition for rated wattage that can be found in 10 CFR 430.2.

(2) Ballasts that operate 2-foot medium bipin U-shaped lamps with a rated wattage of 25W or more, and an input voltage at or between 120V and 277V;

(3) Ballasts that operate 8-foot high output lamps with an input voltage at or between 120V and 277V;

(4) Ballasts that operate 8-foot slimline lamps with a rated wattage of 52W or more, and an input voltage at or between 120V and 277V;

(5) Ballasts that operate 4-foot miniature bipin standard output lamps with a rated wattage of 26W or more, and an input voltage at or between 120V and 277V;

(6) Ballasts that operate 4-foot miniature bipin high output lamps with a rated wattage of 49W or more, and an input voltage at or between 120V and 277V;

(7) Ballasts that operate 4-foot medium bipin lamps with a rated wattage of 25W or more, an input voltage at or between 120V and 277V, a power factor of less than 0.90, and are designed and labeled for use in residential applications; and

(8) Ballasts that operate 8-foot high output lamps with an input voltage at or between 120V and 277V, have an enclosure with an Underwriters Laboratories (UL) Type 2 rating, and are designed, labeled, and marketed for use in outdoor signs.

In the April 2011 NOPR, these ballasts were described as “ballasts that operate 8-foot high output lamps with an input voltage at or between 120V and 277V, and operate at ambient temperatures of −20 degrees F or less and are used in outdoor signs.” For the reasons stated in section 0, DOE uses this revised description for the final rule.

The following ballasts are exempt from coverage:

(1) Additional dimming ballasts;

(2) Low frequency T8 ballasts that are designed, labeled, and marketed for use in EMI-sensitive environments and sold in packages of 10 or fewer;

(3) PS ballasts that operate 4-foot MBP T8 lamps and deliver on average less than 140mA to each lamp.

B. Off Mode and Standby Mode Energy Consumption Standards

EPCA requires energy conservation standards adopted for a covered product after July 1, 2010 to address standby mode and off mode energy use. (42 U.S.C. 6295(gg)(3)) Because DOE is required by consent decree to publish a final rule establishing any amended standards for fluorescent lamp ballasts by October 28, 2011,

this rulemaking is required to consider standby mode and off mode energy use. DOE determined that it is not possible for the ballasts at issue in this final rule to meet the off-mode criteria because there is no condition in which a ballast is connected to the main power source and is not already in a mode accounted for in either active or standby mode. In the test procedure addressing standby mode energy consumption, DOE determined that the only ballasts that consume energy in standby mode are those that incorporate an electronic circuit that enables the ballast to communicate with and be part of a lighting control interface (

e.g.,

digitally addressable lighting interface (DALI) enabled ballasts). 74 FR 54445, 54447-8 (October 22, 2009). DOE believes that the only commercially available ballasts that incorporate an electronic circuit to communicate with a lighting control interface are dimming ballasts.

Under the consolidated Consent Decree in

New York

Bodman

, No. 05 Civ. 7807 (S.D.N.Y. filed Sept. 7, 2005) and

Natural Resources Defense Council

Bodman

, No. 05 Civ. 7808 (S.D.N.Y. filed Sept. 7, 2005), as amended, the U.S. Department of Energy is required to publish, as that term is defined in the consent decree, a final rule amending energy conservation standards for fluorescent lamp ballasts no later than October 28, 2011.

As discussed in the April 2011 NOPR, DOE did not expand the scope of coverage to include additional dimming ballasts. Therefore, the only covered dimming ballasts are the four products specified in 10 CFR 430.32(m)(5) that operate reduced-wattage lamps. DOE research has not identified any dimming ballasts currently on the market that operate these lamps because the fill gas composition of reduced-wattage lamps makes them undesirable for use in dimming applications. Because DOE is not aware of any other dimming products that are covered by existing standards, DOE was unable to characterize standby mode energy consumption. Therefore, DOE does not adopt provisions to address ballast operation in standby mode as part of the energy conservation standards that are the subject of this rulemaking.

IV. General Discussion

A. Test Procedures

1. Background

As noted previously, manufacturers must use the test procedures for ballasts at 10 CFR part 430, subpart B, appendix Q to determine compliance with the currently applicable ballast efficacy factor standards. On March 24, 2010, DOE issued a NOPR in which it proposed revisions to these test procedures. 75 FR 14288. The principal change DOE proposed to the existing test methods was, in an effort to reduce measurement variation, to eliminate photometric measurements used to determine ballast efficacy factor (BEF). Instead, DOE proposed to use electrical measurements to determine ballast efficiency (BE), which could then be converted to BEF using empirically derived transfer equations. The proposed changes specified that the ballast operate a resistive load rather than a lamp load during performance testing. For consistency with previous methods, no changes were proposed for the measurement of BF (which required photometric measurements). The preliminary TSD for this rulemaking considered standards in terms of BEF, as determined by the methods proposed in the active mode test procedure NOPR.

After reviewing comments submitted in response to the active mode test procedure NOPR (75 FR 14287, March 24, 2010) and conducting additional research, DOE issued a supplemental NOPR (SNOPR) proposing a lamp-based ballast efficiency metric instead of the resistor-based metric proposed in the NOPR. 75 FR 71570 (November 24, 2010). The new metric, BLE, was equal to the total lamp arc power divided by ballast input power. DOE believed this

lamp-based metric more accurately assessed the real-life performance of a ballast and also reduced measurement variation relative to the existing test procedure for BEF. DOE also proposed a method for calculating the BF of a ballast by dividing the measured lamp arc power on the test ballast by the measured lamp arc power on a reference ballast. In cases where reference ballast operating conditions were unavailable, the SNOPR provided a reference lamp power (specific to the ballast type) from an ANSI standard or from empirical results. The April 2011 NOPR for the standards rulemaking used the BLE procedures specified in the test procedure SNOPR to propose energy conservation standards.

The final rule for the active mode test procedure, which was published in the

Federal Register

on May 4, 2011, adopted the BLE metric proposed in the SNOPR with a few modifications. 76 FR 25211. To account for the increase in lamp efficacy associated with high-frequency lamp operation versus low-frequency, DOE had proposed an adjustment to the BLE of low-frequency systems. DOE had proposed that low-frequency BLE be multiplied by 0.9 to account for the approximately 10 percent increase in lighting efficacy associated with high-frequency lamp operation. For the final rule, DOE assigned specific lamp operating frequency adjustment factors for each ballast type considered. The adjustment factors more accurately approximated the increase in lighting efficacy associated with high-frequency lamp operation. In addition, in the final rule, DOE did not adopt a BF measurement procedure because BF was no longer used to define product classes for energy conservation standards.

This final rule for energy conservation standards evaluates standards for ballasts in terms of the BLE metric adopted in the active mode test procedure. Appendix Q1 of 10 CFR part 430 Subpart B will be used to evaluate compliance with the standards adopted in this final rule. 76 FR 25211, 25213 (May 4, 2011)

DOE received comments in response to the April 2011 NOPR regarding the new fluorescent ballast testing procedure and BLE metric. Several stakeholders expressed support for the BLE metric. The Pacific Gas and Electric Company, Southern California Edison, the Southern California Gas Company, and San Diego Gas and Electric (hereafter the “CA Utilities”) commented that the new BLE metric is an improvement over the existing BEF metric because it allows for efficiency comparison across a wider range of ballasts. (CA Utilities, No. 45 at p. 1) NEEP and CA Utilities stated that the new BLE metric successfully simplifies testing requirements and enables the vast consolidation of product classes, which will make the compliance and enforcement processes easier. (NEEP, No. 92 at p. 3; CA Utilities, No. 45 at pp. 1-2) CA Utilities also approved of the new test procedure, commenting that they support the use of lamps to measure lamp arc power instead of sets of resistor banks designed to simulate lamps. CA Utilities stated that actual lamps, which have varying impedance based on power, more accurately represent real world loads on ballasts. They added that maintaining different sets of resistor banks at every ballast factor would have increased the testing burden for manufacturers. (CA Utilities, No. 45 at p. 2)

DOE also received several comments requesting clarification on the new test procedure. These comments are discussed in the following sections.

2. Transfer Function

GE asked if DOE would be creating transfer functions, similar to those proposed in the active mode test procedure NOPR, to convert BLE to BEF for marketing purposes. GE noted that as BEF will continue to be more relevant for consumers using lumens and system watts, manufacturers will continue to publish those numbers even though they will not test the ballasts with that metric. (GE, Public Meeting Transcript, No. 43 at p. 237) As discussed in section VII.D, to verify that no backsliding had occurred, DOE developed a method to convert BEF to BLE in order to compare current and newly adopted standards. However, DOE requires manufacturers to certify compliance in terms of the BLE metric only and therefore does not provide a transfer function for converting BLE to BEF for marketing purposes.

3. Reference Lamp

GE noted that it is not always clear what lamp should be used when testing a ballast and requested clarification on this matter. (GE, Public Meeting Transcript, No. 43 at pp. 236-7) DOE notes that Table A in the ballast test procedure, Appendix Q1 of 10 CFR part 430 Subpart B, provides the appropriate lamp wattage, diameter and base to use in testing for each covered ballast type. For example, the first row of Table A shows that ballasts “that operate straight-shaped lamps (commonly referred to as 4-foot medium bipin lamps) with medium bipin bases and a nominal overall length of 48 inches” should be tested with 32W T8 MBP lamps.

4. Total Lamp Arc Power

The People's Republic of China (P.R. China) noted that in the April 2011 NOPR, the term “total lamp arc power” was not well-defined. They noted that ANSI C78.81-2010 specifies “arc wattage” for various fluorescent tube lamps but does not define “total lamp arc power.” Furthermore, while the test procedure SNOPR included a definition for “total lamp arc power,” it also included a table that listed a low and/or high frequency “reference lamp arc power” for each covered ballast type. 75 FR 71570, 71592 (November 24, 2010). P.R. China indicated that these terms caused confusion regarding the appropriate value to be used when calculating the efficiency standard. Therefore, they suggested DOE clarify the specific value of “total lamp arc power” and use consistent terminology to avoid confusion. (P.R. China, No. 51 at p. 3-4)

CA Utilities and NEEA and NPCC agreed that it was unclear which arc power should be used to calculate the applicable BLE standard. CA Utilities recommended that DOE require manufacturers to use the average lamp arc power of the tested sample to determine the BLE for a given model. (CA Utilities, No. 58 at p. 4; NEEA and NPCC, No. 59 at p. 3)

DOE notes that reference lamp arc power refers to the arc wattage listed in ANSI C78.81-2010 and, as shown in that standard, can vary depending on whether the reference ballast operates at low or high frequency settings.

These values were provided in the test procedure SNOPR for the purposes of calculating ballast factor. However, because the test procedure final rule did not adopt a procedure for calculating ballast factor, reference lamp arc powers are no longer relevant. Total lamp arc power is a measured, not listed, value and is evaluated according to the recently adopted test procedure.

The test procedure defines a low frequency ballast as a fluorescent lamp ballast that operates at a supply frequency of 50 to 60 Hz and operates the lamp at the same frequency as the supply. The test procedure incorporates the ANSI C82.13 definition of high frequency ballast as a device which operates at a supply frequency of 50 or 60 Hz and operates the lamp at frequencies greater than 10 kHz.

DOE also notes that 10 CFR 429.26 does not currently reflect the new ballast luminous efficiency metric. DOE plans to consider certification procedures in upcoming rulemakings related to compliance certification and enforcement.

For this final rule, DOE

computed the reported ballast luminous efficiency and total lamp arc power assuming the ballast basic models would be certified in the following manner. To certify compliance, manufacturers would calculate the total lamp arc power and BLE for each sample tested according to 10 CFR 430, Subpart B, Appendix Q1. They would then average the total lamp arc power of each sample and input that average into the appropriate energy conservation standard efficiency level. The output of that equation dictates the minimum BLE that the reported BLE for each basic model must meet or exceed. To calculate the reported BLE for each basic model, manufacturers would follow the provisions laid out in 10 CFR 429.26(a)(2)(ii).

Details on certification and enforcement procedures can be found at:

www1.eere.energy.gov/

buildings/appliance_standards/certification_enforcement.html.

B. Technological Feasibility

1. General

In each standards rulemaking, DOE conducts a screening analysis based on information it has gathered on all current technology options and prototype designs that could improve the efficiency of the products that are the subject of the rulemaking. As the first step in such analysis, DOE develops a list of technology options for consideration in consultation with manufacturers, design engineers, and other interested parties. DOE then determines which of these means for improving efficiency are technologically feasible. DOE considers technologies incorporated in commercially available products or in working prototypes to be technologically feasible. 10 CFR 430, subpart C, appendix A, section 4(a)(4)(i).

Once DOE has determined that particular technology options are technologically feasible, it further evaluates each of them in light of the following additional screening criteria: (1) Practicability to manufacture, install, or service; (2) adverse impacts on product utility or availability; and (3) adverse impacts on health or safety. For further details on the screening analysis for this rulemaking, see chapter 4 of the final rule TSD.

2. Maximum Technologically Feasible Levels

When DOE considers an amended standard for a type or class of covered product, it must determine the maximum improvement in energy efficiency or maximum reduction in energy use that is technologically feasible for that product. (42 U.S.C. 6295(p)(1)) Accordingly, DOE determined the maximum technologically feasible (“max tech”) ballast efficiency in the engineering analysis, using the design options identified in the screening analysis (see chapter 5 of the final rule TSD).

As a first step to identifying the max tech efficiency level, DOE conducted testing of commercially available ballasts. DOE was unable to identify working prototypes that had a higher efficiency than the tested products. Therefore, DOE has determined that TSL 3B, which is based on the most efficient commercially available ballasts tested, represents the highest efficiency level that is technologically feasible for a sufficient diversity of commercially available products (spanning several ballast factors, number of lamps per ballast, and types of lamps operated) within each product class. The max tech efficiency levels require the use of electronic ballasts with improved components (such as high efficiency transformers, diodes, capacitors, and transistors). The max tech levels also require IS instead of RS ballasts, or some form of cathode cut-out technology for PS ballasts. Table IV.1 presents the max tech levels for each product class.

Table IV.1—Max Tech Levels

BLE = A/(1 + B * total lamp arc power ‸-C) where A, B, and C are as follows

Product class

IS and RS ballasts (not classified as residential) that operate

0.993

0.27

0.25

4-foot MBP lamps

2-foot U-shaped lamps

8-foot slimline lamps

PS ballasts (not classified as residential) that operate

0.993

0.51

0.37

4-foot MBP lamps

2-foot U-shaped lamps

4-foot MiniBP SO lamps

4-foot MiniBP HO lamps

IS and RS ballasts (not classified as sign ballasts) that operate 8-foot HO lamps

0.993

0.28

0.25

PS ballasts (not classified as sign ballasts) that operate 8-foot HO lamps

0.973

0.52

0.37

Sign ballasts that operate 8-foot HO lamps

0.993

0.47

0.25

IS and RS residential ballasts that operate

0.993

0.29

0.25

4-foot MBP lamps

2-foot U-shaped lamps

8-foot slimline lamps

PS residential ballasts that operate:

0.973

0.50

0.37

4-foot MBP lamps

2-foot U-shaped lamps

C. Energy Savings

1. Determination of Savings

DOE used its national impact analysis (NIA) spreadsheet to estimate energy savings from new or amended standards for the ballasts that are the subject of this final rule. (The NIA spreadsheet model is described in section V.F of this final rule and in chapter 11 of the final rule TSD.) DOE forecasted energy savings for each TSL, beginning in 2014, the year that compliance with the new and amended standards is required, and ending in 2043. DOE quantified the energy savings attributable to each TSL as the difference in energy consumption between the standards case and the base case. The base case represents the forecast of energy consumption in the absence of new and amended

mandatory efficiency standards, and considers market demand for higher-efficiency products. For example, DOE models a shift in the base case from covered fluorescent lamp ballasts toward emerging technologies such as light emitting diodes (LEDs).

The NIA spreadsheet model calculates the electricity savings in “site energy” expressed in kilowatt-hours (kWh). Site energy is the energy directly consumed by ballasts at the locations where they are used. DOE reports national energy savings on an annual basis in terms of the aggregated source (primary) energy savings, which is the savings in energy used to generate and transmit the site energy. (See final rule TSD chapter 11.) To convert site energy to source (also known as primary) energy, DOE derived time-dependent conversion factors from the model used to prepare the Energy Information Administration's (EIA's)

Annual Energy Outlook 2010

(

AEO2010

2. Significance of Savings

As noted in section I, under 42 U.S.C. 6295(o)(3)(B) DOE is prohibited from adopting a standard for a covered product if such standard would not result in “significant” energy savings. While the term “significant” is not defined in the Act, the U.S. Court of Appeals, in

Natural Resources Defense Council

Herrington,

768 F.2d 1355, 1373 (DC Cir. 1985), indicated that Congress intended “significant” energy savings in this context to be savings that were not “genuinely trivial.” The energy savings for all of the TSLs considered in this final rule are nontrivial, and therefore DOE considers them “significant” within the meaning of section 325 of EPCA.

D. Economic Justification

1. Specific Criteria

As noted in section II.A, EPCA provides seven factors to be evaluated in determining whether a potential energy conservation standard is economically justified. (42 U.S.C. 6295(o)(2)(B)(i)) The following sections discuss how DOE addresses each of those seven factors in this rulemaking.

a. Economic Impact on Manufacturers and Consumers

In determining the impacts of a new or amended standard on manufacturers, DOE first determines the quantitative impacts using an annual cash-flow approach. This includes both a short-term assessment—based on the cost and capital requirements during the period between the announcement of a regulation and when the regulation requires compliance—and a long-term assessment over the 30-year analysis period. The impacts analyzed include INPV (which values the industry based on expected future cash flows), cash flows by year, changes in revenue and income, and other measures of impact, as appropriate. Second, DOE analyzes and reports the impacts on different types of manufacturers, including an analysis of impacts on small manufacturers. Third, DOE considers the impact of standards on domestic manufacturer employment and manufacturing capacity, as well as the potential for standards to result in plant closures and loss of capital investment. DOE also takes into account cumulative impacts of different related DOE regulations and other regulatory requirements on manufacturers.

For individual consumers, measures of economic impact include the changes in LCC and the payback period associated with new or amended standards. The LCC, which is separately specified as one of the seven factors to consider when determining the economic justification for a new or amended standard, (42 U.S.C. 6295(o)(2)(B)(i)(II)), is discussed in the following section. For consumers in the aggregate, DOE calculates the NPV from a national perspective of the economic impacts on consumers over the forecast period used in a particular rulemaking.

b. Life-Cycle Costs

The LCC is the sum of the purchase price of a product (including its installation) and the operating expense (including energy, maintenance, and repair expenditures) discounted over the lifetime of the product. The LCC savings for the considered efficiency levels are calculated relative to a base case that reflects likely trends in the absence of new or amended standards. The LCC analysis requires a variety of inputs, such as product prices, product energy consumption, energy prices, maintenance and repair costs, product lifetime, and consumer discount rates. DOE assumes in its analysis that consumers purchase the product in 2014.

To account for uncertainty and variability in specific inputs, such as product lifetime and discount rate, DOE uses a distribution of values with probabilities attached to each value. A distinct advantage of this approach is that DOE can identify the percentage of consumers estimated to achieve LCC savings or experiencing an LCC increase, in addition to the average LCC savings associated with a particular standard level. In addition to identifying ranges of impacts, DOE evaluates the LCC impacts of potential standards on identifiable sub-groups of consumers that may be disproportionately affected by a national standard.

c. Energy Savings

While significant conservation of energy is a separate statutory requirement for imposing an energy conservation standard, EPCA requires DOE, in determining the economic justification of a standard, to consider the total projected energy savings that are expected to result directly from the standard. (42 U.S.C. 6295(o)(2)(B)(i)(III)) DOE uses the NIA spreadsheet results in its consideration of total projected savings.

d. Lessening of Utility or Performance of Products

In establishing classes of products, and in evaluating design options and the impact of potential standard levels, DOE seeks to develop standards that would not lessen the utility or performance of the products under consideration. The efficiency levels considered in this final rule will not affect any features valued by consumers, such as starting method, ballast factor, or cold temperature operation. Therefore, none of the TSLs presented in section VII.A would reduce the utility or performance of the ballasts that are the subject of this final rule. (42 U.S.C. 6295(o)(2)(B)(i)(IV))

e. Impact of Any Lessening of Competition

EPCA directs DOE to consider any lessening of competition likely to result from standards. It directs the Attorney General to determine the impact, if any, of any lessening of competition likely to result from standards and to transmit this determination to the Secretary, not later than 60 days after the publication of a proposed rule, together with an analysis of the nature and extent of this impact. (42 U.S.C. 6295(o)(2)(B)(i)(V) and (B)(ii)) To assist the Attorney General in making this determination, DOE transmitted a copy of the April 2011 NOPR and TSD to the Attorney General for review. The Attorney General's response is discussed in section VII.B.5, and is reprinted at the end of this rule.

f. Need of the Nation To Conserve Energy

The non-monetary benefits of the standards in this final rule are likely to be reflected in improvements to the security and reliability of the nation's energy system. Reduced demand for electricity may also result in reduced costs for maintaining the reliability of

the nation's electricity system. DOE conducts a utility impact analysis to estimate how standards may affect the nation's needed power generation capacity.

Energy savings from the standards in this final rule are also likely to result in environmental benefits in the form of reduced emissions of air pollutants and greenhouse gases (GHG) associated with energy production. DOE reports the environmental effects from the new and amended standards—and from each TSL it considered for ballasts—in the environmental assessment contained in chapter 16 of the final rule TSD. DOE also reports estimates of the economic value of reduced emissions reductions resulting from the considered TSLs.

g. Other Factors

The Act allows the Secretary of Energy to consider any other factors he or she deems relevant in determining whether a standard is economically justified. (42 U.S.C. 6295(o)(2)(B)(i)(VII)) Under this provision, DOE considers subgroups of consumers that may be adversely affected by the standards established in this rule. DOE specifically assesses the impact of standards on low-income consumers, institutions of religious worship, and institutions that serve low-income populations. In considering these subgroups, DOE analyzes variations on electricity prices, operating hours, discount rates, and baseline ballasts. See section V.G for further detail.

2. Rebuttable Presumption

As set forth in 42 U.S.C. 6295(o)(2)(B)(iii), EPCA provides for a rebuttable presumption that an energy conservation standard is economically justified if the additional cost to the consumer of a product that meets the standard is less than three times the value of the first-year energy (and, as applicable, water) savings resulting from the standard, as calculated under the applicable DOE test procedure. DOE's LCC and PBP analyses generate values that calculate the payback period for consumers of potential new and amended energy conservation standards. These analyses include, but are not limited to, the 3-year payback period contemplated under the rebuttable presumption test. However, DOE routinely conducts an economic analysis that considers the full range of impacts to the consumer, manufacturer, nation, and environment, as required under 42 U.S.C. 6295(o)(2)(B)(i). The results of this analysis serve as the basis for DOE to evaluate the economic justification for a potential standard level (thereby supporting or rebutting the results of any preliminary determination of economic justification). The rebuttable presumption payback calculation is discussed in section VII.B.1.c.

V. Methodology and Discussion

DOE used three spreadsheets to estimate the impact of the adopted standards. The first spreadsheet calculates LCCs and payback periods of potential new energy conservation standards. The second provides shipments forecasts and then calculates national energy savings and NPV impacts of new energy conservation standards. Through the third, the Government Regulatory Impact Model (GRIM), DOE assesses manufacturer impacts.

Additionally, DOE uses a version of EIA's National Energy Modeling System (NEMS) to estimate the impacts of energy efficiency standards on electric utilities and the environment. The NEMS model simulates the energy sector of the U.S. economy. The version of NEMS used for appliance standards analysis is called NEMS-BT, and is based on the

AEO2010

version of NEMS with minor modifications. The NEMS-BT accounts for the interactions between the various energy supply and demand sectors and the economy as a whole.

The EIA approves the use of the name “NEMS” to describe only an

AEO

version of the model without any modification to code or data. Because the present analysis entails some minor code modifications and runs the model under various policy scenarios that deviate from

AEO

assumptions, the name “NEMS-BT” refers to the model as used here. (BT stands for DOE's Building Technologies Program.) For more information on NEMS, refer to

The National Energy Modeling System: An Overview,

DOE/EIA-0581 (98) (Feb.1998), available at:

tonto.eia.doe.gov/FTPROOT/forecasting/058198.pdf.

As a basis for this final rule, DOE has continued to use the spreadsheets and approaches explained in the April 2011 NOPR. DOE used the same general methodology as applied in the NOPR, but revised some of the assumptions and inputs for the final rule in response to public comments. The following sections discuss these revisions.

A. Product Classes

In evaluating and establishing energy conservation standards, DOE divides covered products into classes by the type of energy used, or by capacity or other performance-related feature that justifies a different standard for products having such feature. (See 42 U.S.C. 6295(q)) In deciding whether a feature justifies a different standard, DOE must consider factors such as the utility of the feature to users.

Id.

DOE establishes energy conservation standards for different product classes based on the criteria set forth in 42 U.S.C. 6295(o).

For the April 2011 NOPR, DOE undertook extensive testing of fluorescent lamp ballasts to evaluate the impact of numerous ballast characteristics on BLE. Using this test data, DOE empirically found a relationship between the BLE metric and lamp arc power. In general, as lamp arc power increases, BLE increases as well. DOE believes this association is due to the fixed losses of a ballast becoming proportionally less significant at higher lamp arc powers. This relationship allowed DOE to set efficiency levels as a function of total lamp arc power across a wide range of power levels, which simplified the product class structure and the amount of scaling required among product classes. In addition, setting efficiency levels with an equation allows for easier adaption of standards to future innovations. For example, an equation could account for the introduction of new ballast factors. It would also not necessarily have to be revised if the test procedure were modified to require testing with reduced-wattage lamps, toward which manufacturers have commented the market is moving. NEMA agreed that an efficiency standard using pure electrical measurements on a ballast operating a lamp load is appropriate provided the equation accounts for different operating characteristics of the various ballast types that are grouped into each product class. (NEMA, No. 47 at p. 3) NEMA's specific comments regarding the appropriate grouping of various ballast types are discussed later in this section.

After considering several potential class-setting factors, DOE proposed in the April 2011 NOPR to separate product classes based on starting method (instant start and rapid start versus programmed start), ballasts that operate 8-foot HO lamps, and ballasts that operate 8-foot HO lamps in cold-temperature outdoor signs. DOE noted that for each of those three ballast types, a difference in utility was accompanied by a difference in the BLE predicted by the power-efficiency relationship. These three distinctions resulted in five product classes for: IS/RS ballasts that operate 4-foot MBP and 8-foot slimline lamps; PS ballasts that operate 4-foot MBP, T5 SO, and T5 HO lamps, IS/RS ballasts that operate 8-foot HO lamps, PS ballast that operate 8-foot HO lamps, and ballasts that operate 8-foot HO lamps in cold temperature outdoor signs.

ASAP and CA Utilities commented that the reduction from the 70 product classes considered in the preliminary analysis to the five product classes proposed in the NOPR provides a simpler standard and thus facilitates compliance and enforcement. (ASAP, Public Meeting Transcript, No. 43 at p. 80; CA Utilities, No. 45 at pp. 1-2) In addition, DOE received several comments related to the inclusion of residential and commercial ballasts in a single product class, the definition of the sign ballast product class, the grouping of ballasts with different starting methods, and the potential for additional subclasses within the 8-foot HO product class. These comments are discussed in the following sections.

1. Residential Ballasts

Separate minimum power factor and electromagnetic interference requirements exist for residential and commercial ballasts. Specifically, residential ballasts have more stringent (or lower maximum allowable) EMI requirements than commercial ballasts; they also have less stringent (or lower minimum allowable) power factor requirements.

Based on these differing requirements, in the April 2011 NOPR, DOE concluded that residential ballasts offer a unique utility in that they serve distinct market sectors and applications. However, because the April 2011 NOPR test data indicated residential ballasts could achieve similar levels of efficiency as commercial ballasts at the highest standard levels analyzed, DOE did not propose a separate product class for residential ballasts. In response to the April 2011 NOPR, DOE received several comments regarding this conclusion.

ANSI C82.77-2002 requires residential ballasts to have a minimum power factor of 0.5 and commercial ballasts to have a minimum power factor of 0.9.

CA Utilities agreed with DOE's proposal that a separate product class is not necessary for residential ballasts because no specific characteristic affects efficiency. They stated that residential ballasts are not subject to more stringent FCC standards for EMI because these standards only apply to devices operating at frequencies greater than 30 megahertz (MHz). Thus, CA Utilities emphasized that starting method is more relevant to the efficiency of the ballast than the distinction of residential or commercial. (CA Utilities, No. 58 at p. 4; CA Utilities, No. 45 at p. 7) NEMA disagreed, commenting that not only are residential ballasts subject to more stringent standards for EMI, but that this requirement decreases ballast efficiency. NEMA and Universal added that while they support the inclusion of residential ballasts in this rulemaking, they oppose the inclusion of residential ballasts in the same product class as commercial ballasts, given their different efficiencies and application requirements. (NEMA, No. 47 at p. 4; Universal, Public Meeting Transcript, No. 43 at pp. 76-7)

Current regulatory requirements subject residential ballasts to more stringent conducted EMI requirements than commercial ballasts. In particular, DOE notes that separate FCC standards exist for both radiated and conducted EMI emissions. The 30 MHz standards cited by CA Utilities correspond to radiated EMI emissions frequencies, not to ballast operating frequencies. Devices that operate at frequencies less than 1.705 MHz, such as fluorescent lamp ballasts, are not required to measure radiated emissions that exist at frequencies above 30 MHz; therefore, radiated EMI standards do not apply to fluorescent lamp ballasts. Ballasts with

conducted

EMI emissions in the frequency range of 0.45 to 30 MHz, however, must comply with FCC standards for conducted EMI. The conducted EMI requirements are applicable to all fluorescent lamp ballasts, but are more stringent for residential ballasts, necessitating added interference filtration in order to comply.

CA Utilities also commented that although residential ballasts are subject to a lower minimum power factor requirement, they do not necessarily have low power factors; in fact, ballasts with either high or low power factors can be installed in the residential sector. CA Utilities concluded that therefore, many high-efficiency commercial ballasts available on the market today can be used in the residential sector without issue. (CA Utilities, No. 45 at pp. 6-7) Philips agreed that ballasts with high power factors can be installed in the residential sector, noting that the ENERGY STAR program for residential fixtures may soon require some level of power factor correction. Philips commented that increased power factor correction actually reduces the efficiency of residential ballasts because the losses associated with meeting FCC Class B requirements become more significant when including power factor correction. (Philips, Public Meeting Transcript, No. 43 at pp. 77-9)

Acuity Brands added that a residential ballast that achieves the same efficiency as the most efficient commercial product would be 50 percent more expensive because of the FCC EMI requirements. (Acuity Brands, Public Meeting Transcript, No. 43 at p. 79) NEMA pointed out that that a higher price could influence consumers to migrate from fluorescent luminaires to lower efficiency incandescent or halogen fixtures. (NEMA, No. 47 at p. 4) Edison Electric Institute (EEI) also expressed concern regarding the prices of residential ballasts, stating that a separate product class for residential ballasts is needed to improve economics for residential and low-income consumers. (EEI, No. 48 at p. 2)

DOE agrees that high power factor ballasts, similar to the power factors possessed by commercial products, can be installed in the residential sector. However, the addition of a power factor correction stage to a ballast circuit substantially increases the amount of electromagnetic interference due to the presence of high speed switches. Therefore, to meet the FCC requirements for residential products, commercial ballasts would require a more significant EMI filter and thus incur additional power losses.

As stated previously, DOE determined in the April 2011 NOPR that despite the differences in power factor and EMI requirements between residential and commercial 2-lamp 4-foot MBP IS/RS ballasts, both ballast types could reach achieve similar levels of efficiency at the highest levels analyzed. Based on the similarity in efficiency, DOE included both ballast types in the same product class. Since publication of the April 2011 NOPR, however, DOE has obtained additional test data for residential ballasts that indicate a separate product class for residential ballasts is warranted. Specifically, DOE tested 4-lamp residential ballasts and was unable to confirm that it was technologically feasible for 4-lamp residential ballasts to meet the commercial ballast efficiency levels. Thus, in the August 2011 NODA, DOE considered establishing a separate product class for residential ballasts. Because DOE proposed extending coverage to residential ballasts with both IS/RS and PS starting methods, DOE considered two new product classes: (1) IS/RS ballasts that operate 4-foot MBP lamps in the residential sector and (2) PS ballasts that operate 4-foot MBP lamps in the residential sector. A separate product class for residential ballasts would allow DOE to adopt separate standard levels for these products based on their associated consumer economics.

In response to the August 2011 NODA, the CA Utilities, NEEA and NPCC, and ASAP, the American Council for an Energy-Efficient Economy, and the Natural Resources Defense Council, in a second Joint

Comment, disagreed with the establishment of a separate product class for residential ballasts because residential ballasts can meet the same efficiency levels as commercial ballasts. The second Joint Comment added that although the data indicates that 4-lamp residential ballasts cannot achieve the same efficiency as their commercial counterparts, DOE should not establish a separate product class for this reason. They argued that 2-lamp ballasts are far more common in the residential sector than 4-lamp ballasts, which are often installed in commercial buildings. (CA Utilities, No. 58 at p. 4; NEEA and NPCC, No. 59 at p. 3; Second Joint Comment, No. 57 at p. 1-2)

In addition, the second Joint Comment, CA Utilities, and NEEA and NPCC stated that even if there were a difference in efficiency, DOE has not demonstrated that residential ballasts provide a unique consumer utility. (Second Joint Comment, No. 57 at pp. 1-2; CA Utilities, No. 58 at p. 4; NEEA and NPCC, No. 59 at p. 3) These interested parties stated that residential ballasts are not subject to more stringent FCC requirements for electromagnetic interference. CA Utilities added that even if they were, EMI filters are available and they do not believe these components affect efficiency. These interested parties also reiterated previous comments that, while residential ballasts have lower minimum power factor requirements, this did not prevent high power factor ballasts from being installed in this market sector. The second Joint Comment, CA Utilities, and NEEA and NPCC concluded that commercial ballasts could be used in the residential sector without issue.

DOE notes that both 2-lamp ballasts and 4-lamp ballasts are used in the residential sector. In addition, while 2-lamp ballasts may be more popular in the residential sector, ballasts that operate different numbers of lamps, such as the 4-lamp ballasts described by the second Joint Comment above, provide a unique utility, as explained in the following paragraph. EPCA requires DOE to consider any lessening of the utility or the performance of the covered products likely to result from the imposition of a standard. 42 U.S.C. 6295(o)(2)(B)(i)(IV). EPCA also prohibits DOE from establishing standards that are likely to result in the unavailability of performance characteristics, features, sizes, capacities and volumes that are substantially the same as those generally available in the United States when the standard is established. 42 U.S.C. 6295(o)(4). EPCA further requires DOE to prescribe a lower energy efficiency level for product classes in which the products have a performance-related feature, considering the utility of that feature to consumers and other factors, that justifies a lower efficiency level. 42 U.S.C. 6295(q). Available data indicates that these products cannot achieve the same efficiencies as their commercial counterparts and that, therefore, a separate product class and efficiency standard is warranted.

DOE disagrees with the assertion that commercial ballasts can be used as substitutes for residential products. Although both ballasts can have high power factors, residential ballasts are subject to more stringent FCC standards for conducted EMI emissions. DOE agrees that EMI can be mitigated by the addition of a filter, but disputes the CA Utilities' claim that the filter does not affect efficiency. If a residential ballast were designed to have a high power factor, the addition of a power factor correction stage would increase the amount of conducted emissions. Thus, the residential ballast must possess a stronger EMI filter to comply with FCC requirements. DOE notes that only one T8 residential ballast in the data set had a power factor greater than 0.9, and this model did not meet the most efficient EL considered for the residential product class. For these reasons, DOE concludes that residential ballasts are less efficient than commercial ballasts and also offer unique consumer utility. Therefore, as stated above, DOE has established a separate product class for these products in this final rule.

DOE also received comments regarding the types of ballasts that should be included in the residential product class. NEMA suggested that the residential ballast product class include ballasts that operate 8-foot slimline lamps in addition to ballasts that operate 4-foot MBP lamps. (NEMA, No. 47 at p. 6) In its search of the market, DOE discovered a small number of 8-foot slimline ballasts in product catalogs that are intended for use in the residential sector. DOE also noted that residential ballasts that are designed to operate 4-foot MBP lamps can also operate 2-foot U-shaped lamps. As described above, DOE finds that residential ballasts cannot achieve the same efficiency levels as commercial ballasts and that they offer the consumer unique utility. Therefore, DOE has modified the description of the residential product class to include: (1) IS/RS ballasts that operate 4-foot MBP, 2-foot U-shaped, and 8-foot slimline lamps in the residential sector and (2) PS ballasts that operate 4-foot MBP and 2-foot U-shaped lamps in the residential sector.

PS ballasts are not used in combination with 8-foot slimline lamps because the base of these lamps only has a single pin rather than the two required for electrode heating.

2. Sign Ballasts

In the April 2011 NOPR, DOE proposed establishing a separate product class for ballasts that operate 8-foot HO lamps in cold temperature outdoor signs. This proposal was based on their unique utility and associated decrease in efficiency relative to standard 8-foot HO ballasts. Sign ballasts operate outdoors in wet and cold temperature environments and have highly flexible lamp pairing possibilities, both in terms of varied individual lamp lengths and different total lamp length (sum of the length of all lamps operated by the ballast). In response to the April 2011 NOPR, DOE received comments that the proposed sign ballast product class description was not sufficient.

ASAP encouraged DOE to ensure that the definition of the sign ballast product class is sufficiently narrow. (ASAP, No. 46 at p. 2) CA Utilities commented that DOE should reevaluate the defining characteristics of sign ballasts because it does not seem to accurately capture the products for which it was intended. In particular, CA Utilities and ASAP cited the description “ballasts that operate 8-foot HO lamps” as problematic because it could leave out sign ballasts that are designed for other lamp lengths. (CA Utilities, No. 45 at p. 7; ASAP, No. 46 at p. 2)

DOE agrees that sign ballasts capable of operating other lamp lengths, in addition to 8-foot lamps, should be included in the sign ballast product class. However, DOE does not agree that ballasts designed to operate solely these alternate lamps, other than 8-foot HO lamps, should be considered in the sign ballast product class or scope of coverage. In determining the scope of fluorescent ballasts covered by this rulemaking, DOE's research indicated that the vast majority of sign ballasts are capable of operating 8-foot HO lamps, in addition to other lamp lengths. Because sign ballasts that cannot operate 8-foot HO lamps were so rare, there was insufficient available data to analyze the efficiency potential of these ballasts. DOE does not include those ballasts that cannot operate 8-foot HO lamps in the sign ballast product class. DOE defined the added scope of sign ballasts based on their operation of 8-foot HO lamps and assessed the BLE of sign ballasts based on their performance when

operating 8-foot HO lamps. Therefore, if the sign ballast cannot operate an 8-foot HO lamp, DOE did not include it in the scope of coverage of this rulemaking.

For these same reasons, the test procedure in Subpart B of 10 CFR Part 430 Appendix Q1 specifies that a sign ballast must be tested with the maximum number of 8-foot HO (either T8 or T12) lamps it is designed to operate.

CA Utilities also commented that it is not clear in the NOPR whether the usage of the phrase “cold temperature” in the product class description is a key factor in the definition of sign ballasts. They pointed out that some standard commercial ballasts and NEMA Premium products are rated for negative 20 degree F temperatures. (CA Utilities, Public Meeting Transcript, No. 43 at pp. 83-5) ASAP and the CA Utilities encouraged DOE to define the sign ballast product class in a way that does not reference cold temperature operation because it is not unique to these products. If the definition does not include better identifying characteristics, the CA Utilities expressed concern that sign ballasts that are not designed for cold temperature environments might be exempt from standards (ASAP, Public Meeting Transcript, No. 43 at p. 87; CA Utilities, Public Meeting Transcript, No. 43 at pp. 89-90) CA Utilities concluded that DOE must ensure that products not intended to provide the specific utility of outdoor sign ballasts cannot be construed as outdoor sign ballasts, and that products which are intended to provide this utility are covered by the standards. (CA Utilities, No. 45 at p. 7) Universal explained that cold temperature does have an effect on efficiency and is one of several characteristics that would separate a sign ballast application from another application. GE also noted that more energy is required to strike at a cold temperature with a longer lamp and it becomes more difficult for a system to start as lamp length increases and as temperature decreases. (Universal, Public Meeting Transcript, No. 43 at pp. 84-5; GE, Public Meeting Transcript, No. 43 at pp. 86-7, 89)

Available data support the CA Utilities assertion that cold temperature is not a key factor in the description of sign ballasts. Although sign ballasts are rated to operate in cold temperature environments, often down to −20 degrees Fahrenheit, DOE surveyed the market and found that all ballast types covered by this rulemaking have product offerings that include cold temperature ratings, including 8-foot HO ballasts designed and marketed for traditional non-outdoor sign applications. While a cold-temperature rating may affect efficiency, DOE found that these cold temperature rated non-sign ballasts were among the most efficient ballasts of their respective types. Therefore, DOE agrees that the cold-temperature rating is not a descriptor specific to ballasts intended to be used in outdoor signs.

Several manufacturers described alternative characteristics for defining the sign ballast product class. Universal and Osram Sylvania (OSI) commented that a sign ballast has a much longer striking distance, which requires a much higher open circuit voltage. GE added that striking distance and open circuit voltage add to efficiency losses. (Universal, Public Meeting Transcript, No. 43 at pp. 84-5; OSI, Public Meeting Transcript, No. 43 at p. 87; GE, Public Meeting Transcript, No. 43 at pp. 86-7, 89) However, Philips pointed out that IS ballasts are not as affected by wiring distances. (Philips, Public Meeting Transcript, No. 43 at pp. 88-9) Philips also stated that outdoor sign ballasts have a different weather rating than traditional ballasts. (Philips, Public Meeting Transcript, No. 43 at pp. 88-9) GE added that many manufacturers design to higher transient ratings for protection of the ballast in its outdoor application. (GE, Public Meeting Transcript, No. 43 at pp. 86-7, 89)

In DOE's assessment of the market, electronic sign ballasts use the IS starting method and therefore may not be as affected by wiring distances and increased open circuit voltage as RS ballasts. DOE also examined the available product literature to see if the increased wiring distances led to a significant difference in open circuit voltage. Higher open circuit voltages can require different components capable of withstanding those high voltages. These components may have decreased losses due to their more rugged build. If open circuit voltage were significantly different for sign ballasts, DOE could use that voltage to define the sign ballast product class. However, because open circuit voltage information is not readily available in product specification sheets, DOE could not further specify the sign ballast product class using open circuit voltage. DOE agrees with GE that higher transient ratings might lead to increased ballast losses, but was unable to determine a typical transient rating specific to sign ballasts from product literature.

Through a review of product datasheets, DOE did find that sign ballasts have a UL Type 2 rating for the enclosure whereas regular 8-foot HO ballasts are rated for UL Type 1. Type 2 enclosures are moisture resistant and have a rust resistant coating so that the ballast can be used in plastic sign applications without a separate metal enclosure.

Because the UL Type 2 enclosure rating distinguishes currently commercially available sign ballasts from regular ballasts that operate 8-foot HO lamps, DOE will use this enclosure rating as a distinction in defining the sign ballast product class.

Universal Lighting Technologies Inc.

The Sign Ballast Today.

2010.

www.signasign.com/news/signindustry.html.

ASAP suggested that the phrase “designed and marketed” should be added to the product class description for sign ballasts. ASAP also commented that sign ballasts should be labeled with the designation “for use only in outdoor signs.” (ASAP, No. 46 at pp. 2-3) DOE agrees with ASAP that these types of descriptors should be added to strengthen the product class description. Therefore, DOE has modified the description of these products to include “designed, labeled, and marketed for use in outdoor signs.”

In summary, in this final rule, DOE adopted the description “ballasts with a UL Type 2 rating designed, labeled, and marketed for use in outdoor signs that operate 8-foot HO lamps” to define the sign ballast product class. DOE finds that this description is the most specific definition that can be accurately applied to all sign ballasts. While redesign of traditional 8-foot HO ballasts to meet the definition of the sign ballast product class is possible, DOE believes this to be an unlikely scenario due to the added cost of manufacturing the UL Type 2 enclosure and resulting increased price to the end-user. Customers currently purchasing traditional 8-foot HO systems would likely not tolerate a price increase resulting from added features that are not necessary for traditional applications.

3. Starting Method

In the April 2011 NOPR, based on DOE's determination that IS and RS ballasts provide the same utility to the consumer, DOE proposed to include both of these starting methods in one product class. DOE proposed a separate product class for PS ballasts because these ballasts were less efficient yet increased lamp lifetime in frequent on/off cycling applications. NEMA commented that lower performance RS ballasts should be grouped with PS ballasts instead of IS, citing their similarity in applications and operating characteristics. (NEMA, No. 47 at p. 3, 6)

DOE acknowledges that ballasts have different operating characteristics based on starting method. For example, IS ballasts are more efficient than RS and

PS ballasts because the latter contain extra components and use extra power to provide filament heating to the lamp, thereby increasing the lamp's lifetime. In the BLE metric, such cathode heating is counted as a loss because it does not directly contribute to the creation of light. Therefore, RS and PS ballasts will have lower BLEs than comparable IS ballasts. DOE confirmed that RS and IS ballasts were commonly used as substitutes for each other, indicating consumers find no added benefit or utility associated with RS relative to IS. Both RS and PS ballasts use cathode heating; however, only PS ballasts limit the voltage across the lamp tube to prevent glow discharge during the initial cathode heating. This prevention of glow discharge also increases lamp lifetime in frequent on/off cycling applications. DOE found PS ballasts were commonly used in conjunction with occupancy sensors (a frequent on/off cycling application). DOE determined that because of their ability to limit voltage, PS ballasts offer the user a distinct utility. As a result of this unique utility and the difference in efficiency associated with these ballasts, DOE decided to establish separate product classes for programmed start ballasts.

4. 8-Foot HO

In the April 2011 NOPR, DOE included ballasts that operate all types of 8-foot HO lamps in one product class. NEMA commented that separate product classes should be established for ballasts that operate 8-foot HO T8 lamps and those that operate 8-foot HO T12 lamps. NEMA indicated that 8-foot T8 HO ballasts are typically electronic. (NEMA, No. 47 at p. 5) Though T8 electronic ballasts are more efficient than T12 magnetic and electronic ballasts, DOE found the two ballast types were commonly used as replacements and identified no added utility associated with 8-foot T8 electronic or 8-foot T12 ballasts. Therefore, neither lamp diameter nor electronic versus magnetic ballast type justifies the creation of different product classes for 8-foot HO ballasts.

5. Summary

After evaluating potential class-setting factors, DOE has established separate product classes for programmed start ballasts, residential ballasts, ballasts that operate 8-foot HO lamps, and sign ballasts. Table V.1 summarizes the seven product classes.

Table V.1—Fluorescent Lamp Ballast Product Classes

Description

Product class No.

IS and RS ballasts (not classified as residential) that operate:

4-foot MBP lamps

2-foot U-shaped lamps

8-foot slimline lamps

PS ballasts (not classified as residential) that operate:

4-foot MBP lamps

2-foot U-shaped lamps

4-foot MiniBP SO lamps

4-foot MiniBP HO lamps

IS and RS ballasts (not classified as sign ballasts) that operate 8-foot HO lamps

PS ballasts (not classified as sign ballasts) that operate 8-foot HO lamps

Sign ballasts that operate 8-foot HO lamps

IS and RS residential ballasts that operate

4-foot MBP lamps

2-foot U-shaped lamps

8-foot slimline lamps

PS residential ballasts that operate:

4-foot MBP lamps

2-foot U-shaped lamps

B. Engineering Analysis

1. NOPR Approach

The engineering analysis develops cost-efficiency relationships to show the manufacturing costs of achieving increased efficiency. In the April 2011 NOPR, DOE used the following methodology to conduct its engineering analysis.

Determine Representative Product Classes and Representative Ballast Types.

When multiple product classes exist, DOE selects certain classes as “representative” to concentrate analytical effort. The representative product classes represent the most commonly sold ballasts and the majority of the ballast shipment volume. In the April 2011 NOPR, DOE analyzed four of the then five total product classes as representative. These included, 1) IS/RS ballasts that operate 4-foot MBP and 8-foot slimline lamps; 2) PS ballasts that operate 4-foot MBP lamps, 4-foot MiniBP SO lamps, and 4-foot MiniBP HO lamps; 3) IS/RS ballasts that operate 8-foot HO lamps; 4) and ballasts that operate 8-foot HO lamps in cold temperature outdoor signs. DOE did not directly analyze PS ballasts that operate 8-foot HO lamps due to their relatively low market share.

Within each representative product class, DOE selected at least one representative ballast type for each lamp type. For the IS/RS product class, DOE analyzed ballasts that operate: Two 4-foot MBP lamps; (2) four 4-foot MBP lamps; two 8-foot slimline lamps; and two 4-foot MBP lamps in the residential sector. For the PS product class, DOE analyzed ballasts that operate: (1) Two 4-foot T5 SO lamps; two 4-foot T5 HO; two 4-foot MBP lamps; and four 4-foot MBP lamps. For the 8-foot HO IS/RS product class, DOE analyzed 2-lamp ballasts as the representative ballast type, whereas for the sign ballast product class DOE analyzed 4-lamp ballasts as representative. DOE limited its representative ballast types to include only those ballasts that exhibit a normal ballast factor

, as this BF is most common.

DOE defines low ballast factor as being less than or equal to 0.78, normal ballast factor as being greater than 0.78 but less than 1.10, and high ballast factor as being greater than or equal to 1.10.

Collecting and Analyzing Test Data.

DOE then tested a range of ballasts from multiple manufacturers including extensive testing of the representative ballast types. DOE attempted to test

five

samples for ballasts included in the representative ballast type categories (purchased over two years) and three samples for non-representative ballast types. DOE conducted testing at two laboratories or “labs,” one primary lab where the majority of testing occurred and another lab to analyze possible lab-to-lab variation. DOE conducted this testing in accordance with the lamp-based ballast luminous efficiency procedure in Appendix Q1 of 10 CFR 430.

Because certain models were placed on backorder due to limited supply/production, only about 60 percent of representative ballast types in the April 2011 NOPR were tested with five or more samples.

Determine Efficiency Levels.

Next, using the test data, DOE empirically found a relationship between BLE and the natural logarithm or “log” of total lamp arc power. In general, as total lamp arc power increased, BLE increased as well. DOE's hypothesis was that this behavior was due to the fixed losses of a ballast becoming proportionally less significant at higher arc powers. DOE established efficiency levels as a natural logarithmic function of total lamp arc power based on this power-efficiency relationship.

After compiling the test data, DOE plotted BLE versus total lamp arc power for both standard and high efficiency product lines from multiple manufacturers. Based on analysis of test data for representative ballast types, DOE identified certain natural divisions in BLE. DOE then adjusted the coefficient and constant of the logarithmic power-efficiency equation to create efficiency levels that corresponded to these divisions. DOE found that the more efficient ballast product lines generally had a reduced (flatter) slope than the standard-efficiency products. To reflect this observation, DOE decreased the coefficient of the more efficient EL equations and increased the coefficient of the less efficient EL equations. In the April 2011 NOPR, DOE established three efficiency levels for each product class except for sign ballasts, for which it developed one efficiency level above the baseline level.

In developing the max tech level, DOE found that no working prototypes existed that had a distinguishably higher BLE than currently available ballasts. Therefore, DOE established TSL3 as the highest level at which a sufficient diversity of products (spanning several ballast factors, number of lamps per ballast, and types of lamps operated) was commercially available.

In the April 2011 NOPR, DOE noted that compliance certification requirements could affect the reported efficiency. The active mode test procedure requires manufacturers to report the lower of either the sample average or the value calculated by an equation intended to account for small sample sizes. DOE's analysis of its own test data showed that it was more likely that manufacturers would be reporting the compliance equation result, as it would be the lower of the two values. Thus, DOE calculated the average difference between the output of the compliance equation and the sample mean to be 0.2 percent and reduced the efficiency levels, based on average BLEs, by this value.

DOE also considered lab-to-lab variation when determining efficiency levels in the April 2011 NOPR. While DOE tested a large number of ballasts at one primary lab, DOE also tested a subset of those ballasts at a second lab to determine the magnitude of any variation. DOE found that tested efficiencies for the ballast models sent to the second lab were slightly lower (by 0.6 percent on average) than the values measured at the main test facility. DOE then applied this additional 0.6 reduction to the efficiency levels, which were based on the primary lab's test data.

Select Baseline and More Efficient Ballasts.

For each representative ballast type, DOE established baseline ballasts to serve as reference points against which DOE measures changes from potential amended energy conservation standards. Generally, a baseline ballast is a commercially available ballast that just meets existing Federal energy conservation standards and provides basic consumer utility. If no standard exists for that specific ballast, the baseline ballast represents the most common ballast sold within a representative ballast type with the lowest ballast luminous efficiency. DOE selected specific characteristics such as starting method, BF, and input voltage to characterize the most common ballast. DOE also selected multiple baseline ballasts for some representative ballast types to ensure consideration of varied consumer economics. Because fluorescent lamp ballasts are designed to operate fluorescent lamps, DOE also considered properties of the entire lamp-and-ballast system. Though ballasts are capable of operating several different lamp wattages, in the April 2011 NOPR, DOE chose the fluorescent lamp most commonly used with each ballast for analysis.

DOE selected commercially available ballasts with higher BLEs as replacements for each baseline ballast by considering the design options identified in the technology assessment and screening analysis (see chapter 4 of the NOPR TSD). DOE also included two substitution cases in the engineering analysis. In the first substitution case, the consumer is not able to change the spacing of the fixture and therefore replaces one baseline ballast with a more efficient ballast. This generally represents the lighting retrofit scenario where fixture spacing is predetermined by the existing installation. In this case, light output is generally maintained to within 10 percent of the baseline system lumen output.

In the second substitution case, the consumer is able to change the spacing of the fixture and purchases either more or fewer ballasts to maintain light output. This represents a new construction scenario in which the consumer has the flexibility to assign fixture spacing based on the light output of the new system. In this case, DOE normalizes the light output relative to the baseline ballast.

In some instances (

e.g.,

when switching from T12 to T8 ballasts), light output exceeds these limits.

Conduct Price Analysis.

In the April 2011 NOPR, DOE developed ballast manufacturer selling prices using three main inputs: (1) Teardown data; (2) manufacturer price lists (blue books); and (3) confidential manufacturer-supplied MSPs and incremental MPC values. In general, DOE used a combination of information from teardowns and manufacturer price lists throughout the analysis and used the aggregated manufacturer-supplied MSPs for comparison purposes. DOE used ratios of online supplier retail prices to scale to ELs where data from both teardowns and manufacturer price lists were unavailable.

Scaling to Non-Representative Product Classes.

DOE scales ELs from representative product classes to those product classes it did not analyze directly. In the NOPR analysis, DOE applied a two percent reduction to the efficiency levels for the 8-foot HO IS/RS representative product class to determine efficiency levels for the 8-foot HO PS product class.

Comments Received.

In response to the April 2011 NOPR and subsequent NODA, DOE received comments on the available data, methodology, engineering results, and efficiency levels. All of these comments are discussed in further detail in the following sections.

2. Available Test Data

For the April 2011 NOPR, DOE tested more than 450 ballasts to develop proposed energy conservation standards. At the time the NOPR was published, DOE posted test data to its public Web site as Appendix 5C of the TSD. Appendix 5C contained a listing of all ballast models tested at DOE's primary lab for the April 2011 NOPR, including identifying characteristics such as lamp type operated, number of lamps operated, starting method, ballast factor, input voltage, and catalog performance value. For each ballast model, DOE also reported average

tested values for input power, total lamp arc power, and BLE.

The average across several samples for each model number.

DOE obtained these values in accordance with the active mode test procedure in Appendix Q1 of 10 CFR 430.

At the May 2011 public meeting, NEMA presented data collected from several manufacturers.

NEMA's data included average BLE test results from three manufacturers that were subsequently reduced by 0.8 percent to account for compliance certification requirements. Attendees of the public meeting noted that the BLE values of the most efficient ballast models tested by NEMA appeared to be less than the most efficient ballast models tested by DOE. NEMA also noted that about 60 percent of DOE's test data represented ballast models with less than four tested samples, which is not consistent with the minimum number of samples required to demonstrate compliance with DOE's standards. The CA Utilities stated that if possible, DOE should conduct testing of four or more samples to more accurately reflect the testing process that must be completed by manufacturers for certification purposes. (NEMA, No. 52 at p. 9; CA Utilities, No. 45 at p. 3)

These test results were contained in a Power Point presentation that was subsequently posted to the public meeting Web site at:

http://www1.eere.energy.gov/buildings/appliance_standards/residential/fluorescent_ballasts_nopr_public_meeting.html.

Following the May 2011 public meeting, DOE posted to the public meeting Web site a more comprehensive set of test data used to develop the April 2011 NOPR, which specified ballasts by serial numbers, added round robin test results, and included results for each sample tested, rather than the average across several samples for each model number. DOE also purchased and tested more than 120 additional ballasts to increase tested models' sample size to a minimum of four samples consistent with compliance certification requirements in 10 CFR 429.26. Furthermore, DOE tested additional ballast models, particularly for sign ballasts and residential ballasts, to gain more market information about these products. All available test data—the NEMA-provided data, the data utilized for the April 2011 NOPR, and the results of additional testing conducted after publication of the April 2011 NOPR—were posted on DOE's Web site in conjunction with the publication of the August 2011 NODA.

The August 2011 NODA and accompanying data are available here:

www1.eere.energy.gov/buildings/appliance_standards/residential/notice_of_data_availability.html.

3. NEMA-Provided and DOE BLE Data Comparison

As described in the previous section, at the May 2011 public meeting, NEMA members presented test results for the highest efficiency NEMA Premium products. NEMA emphasized that its results represented only high efficiency products, which generally exceeded NEMA Premium efficiency requirements. Therefore the comparisons did not include hundreds of products in lower-efficiency product lines that would be eliminated at the proposed standard level. NEMA compared its results to TSL3, the proposed standard level in the April 2011 NOPR. Based on its data and analysis, NEMA determined that 88 percent of its highest efficiency products failed to meet the proposed standard level. NEMA added that these IS and PS ballasts are likely 80 to 85 percent of the total market. NEMA concluded that the implementation of the proposed standards would cause a catastrophic ballast shortage in the market. (NEMA, Public Meeting Transcript, No. 43 at pp. 25-7; NEMA, No. 98 at pp. 2, 6)

A comparison of DOE and NEMA data sets showed that BLE values reported by NEMA were consistently lower than those reported by DOE. For example, NEMA noted that its data showed no ballast with a BLE higher than 91 percent at 50 watts, while DOE's data showed a BLE as high as 94 percent at the same wattage. NEMA also found that the variation between samples of each ballast model was much smaller within manufacturer-provided data than within DOE's data. NEMA underscored the significance of its data, stating that it would submit data derived using these same methods to demonstrate compliance with new standards. (NEMA, Public Meeting Transcript, No. 43 at pp. 47-8, 50, 99; NEMA, No. 98 at p. 6)

Earthjustice, Northwest Energy Efficiency Alliance (NEEA), ASAP, NEEP, and the CA Utilities emphasized the importance of determining the cause of the differences between DOE and NEMA test data. (Earthjustice, Public Meeting Transcript, No. 43 at p. 66; NEEA, Public Meeting Transcript, No. 43 at pp. 120-1; ASAP, Public Meeting Transcript, No. 43 at pp. 46-7; NEEP, No. 49 at pp. 1, 2; CA Utilities, Public Meeting Transcript, No. 43 at p. 62; CA Utilities, No. 45 at p. 2) NEEA noted that the source of the discrepancy between DOE and NEMA data should be determined before any efficiency levels are fit to either data set. (NEEA, Public Meeting Transcript, No. 43 at pp. 138-9) Acuity Brands suggested DOE divide its test data according to manufacturer and compare it with the test data from the individual manufacturers obtained under non-disclosure agreements. (Acuity Brands, Public Meeting Transcript, No. 43 at p. 149)

ASAP suggested DOE continue to use its own data for the final rule analysis and any supplemental data provided by manufacturers should be assessed in its raw form to ensure comparability with DOE data. (ASAP, No. 46 at p. 1) CA Utilities also advised DOE to continue to use its own test results for the final rule unless it determined a specific fault with the testing process of the labs used by DOE. (CA Utilities, No. 45 at p. 4)

Following the May 2011 public meeting, under non-disclosure agreements, several manufacturers provided the model numbers and efficiencies for the ballasts included in NEMA's data set. Upon receiving this information, DOE conducted a comparative analysis between NEMA data and DOE's independently tested data. DOE published the results of its analysis in the August 2011 NODA. DOE concluded that its data collection methods were consistent with Appendix Q1 of 10 CFR 430 and that, after removing NEMA's reduction factor as discussed in section V.B.3.a, the remaining differences between the two data sets arise primarily from normal measurement variation. Subsequent comments received on the NODA reaffirmed DOE's conclusions. Therefore, for this final rule, DOE continued to use its own data and utilized NEMA-provided data for comparison. The sections below detail DOE's comparative analysis and discuss several comments by interested parties suggesting possible sources of differences between the two datasets.

a. NEMA Reduction Factor

As described above, the data contained in NEMA's presentation at

the May 2011 public meeting represented the mean of four or five samples decreased by 0.8 percent to account for compliance certification requirements. To calculate this 0.8 reduction factor, NEMA referred DOE to an analysis NEMA submitted in a comment in response to the preliminary TSD. In that analysis, NEMA calculated the 0.8 percent reduction factor based on application of the certification equation described in 10 CFR 429.26. NEMA assumed that each sample set's three standard deviation spread was equal to five percent of the mean efficiency (2.5 percent for design variation and 2.5 percent for measurement variation). NEMA then calculated a mean efficiency adjustment factor (from sample sizes of four and five) by inserting this standard deviation into the certification equation. This adjustment factor represented NEMA's estimate of the percent difference between the sample mean and the value NEMA anticipated reporting to DOE for certification. CA Utilities commented that NEMA's reduction of its test results by 0.8 percent may have been a misinterpretation of the test procedure and could have caused the discrepancy between DOE's and NEMA's BLEs. (CA Utilities, No. 45 at p. 2) ASAP agreed that DOE should not directly compare its data to NEMA's reduced points. (ASAP, No. 46 at p. 1)

In the August 2011 NODA, DOE stated that to understand potential discrepancies between NEMA and DOE's test data, it was necessary to ensure that similar calculation methodologies had been undertaken for the two data sets. Therefore, for the purpose of comparing the efficiency data, DOE removed the 0.8 percent reduction factor from NEMA's presented ballast efficiencies, resulting in values that represented mean tested efficiencies. DOE compared these efficiency values to DOE's mean tested efficiencies presented in the April 2011 NOPR.

b. Arc Power Versus Rated Power

Due to the relationship between total lamp arc power and ballast efficiency, in the April 2011 NOPR, DOE proposed establishing efficiency levels as logarithmic equations dependent on total lamp arc power. When NEMA plotted their test data against the DOE proposed efficiency levels, however, NEMA paired their ballast efficiency test data with approximated arc powers rather than measured arc powers. CA Utilities and NEEA and NPCC noted that NEMA appeared to list a batch of products all at the same “rated power,” and compared the performance of all of those products against the same BLE standard. They stated that their understanding was that standards are to be calculated based on the measured lamp arc power specific to each ballast, not the rated lamp power. (NEEA and NPCC, No. 44 at p. 5; CA Utilities, No. 45 at pp. 2-3)

DOE agrees that total lamp arc power, measured in accordance with the active mode test procedure, should be used when comparing manufacturer-provided data to DOE's efficiency levels. In the August 2011 NODA, DOE noted that the lamp arc power associated with a particular ballast in NEMA's data was an approximation rather than a test result. DOE found NEMA's approximation to be higher than typical test results in DOE's data set, with differences as high as 27.6 percent. As this discrepancy could potentially cause NEMA's test data to appear to have artificially lower efficiencies relative to DOE's efficiency levels, DOE revised NEMA's approximate lamp arc powers using ANSI reference lamp arc powers to calculate total expected lamp arc power. 76 FR 52892, 52895-6 (August 24, 2011). These lamp arc powers better aligned with expected total lamp arc powers for similar ballast types. DOE used these calculated powers when comparing the efficiency levels to the manufacturer-provided data as discussed in section V.B.5.

c. Test Procedure and Lab Accreditation

NEMA commented that the difference between the data it collected and DOE's results may be due to DOE's labs not having proper accreditation. NEMA stated that all of the labs used for its testing were certified according to ANSI C82.11-2002 and DOE should only test in similarly certified labs. NEMA specifically noted that it did not believe the Lighting Research Center (LRC) was ANSI C82.11-2002 certified. (NEMA, Public Meeting Transcript, No. 43 at pp. 30, 116) GE emphasized that labs should be accredited in accordance with ISO 17025, which is a definition of laboratory performance and accreditation for test equipment and test engineers using that equipment. (GE, Public Meeting Transcript, No. 43 at p. 116) Similarly, CA Utilities suggested that the difference between NEMA's and DOE's test results could be because the BLE test procedure is new and may require clarification. (CA Utilities, No. 45 at p. 2)

DOE notes that 10 CFR 430.25 requires testing of fluorescent lamp ballasts to be performed in accordance with Appendix Q1 of 10 CFR part 430 Subpart B by test laboratories accredited by National Volunteer Laboratory Accreditation Program (NVLAP) or a NVLAP-recognized organization, Underwriter Laboratories, or Council of Canada in accordance with ISO 17025. 76 FR 25211, 25219 (May 4, 2011). ISO 17025 is an international standard that outlines general requirements for the competence of testing and calibration laboratories. NVLAP operates an accreditation system that requires applicant laboratories to be assessed against all ISO 17025 requirements.

As described in the August 2011 NODA, DOE contacted both test laboratories utilized for DOE testing and verified each is properly accredited and that all testing was conducted in accordance with the active mode test procedure in Appendix Q1. CA Utilities stated that this action greatly improved the overall credibility of DOE's dataset. (CA Utilities, No. 58 at pp. 1-2) Given the verification of data collection methods, DOE continues to use its own data in this final rule.

d. Sample Size

NEMA also commented that the number of samples tested for several ballast models was too small, potentially resulting in test data unrepresentative of the mean efficiencies of the ballast model's population. They pointed out that about 60 percent of DOE's test data represented an average efficiency calculated with fewer than four samples, which is less than the minimum number of samples required to demonstrate compliance with DOE's standards. (NEMA, No. 52 at p. 9) CA Utilities also stated that if possible, DOE should conduct testing of four or more samples to more accurately reflect the testing process that must be completed by manufacturers for compliance. (CA Utilities, No. 45 at p. 3)

Since the publication of the April 2011 NOPR, DOE has conducted additional testing to increase the sample size of selected ballast models. More than 90 percent of tested ballast models now have a minimum of four samples. Only in those cases where models have been discontinued or were unavailable for purchase was DOE unable to test a minimum of four samples. DOE posted a complete set of test data on its Web site at the time the August 2011 NODA was published.

CA Utilities and NEEA and NPCC commended DOE for conducting additional testing to increase the sample size to a minimum of four ballast samples, consistent with the certification requirements in 10 CFR 429.26. NEEA and NPCC stated that the additional testing conducted improved the dataset's accuracy and credibility,

which contributed to the development of appropriate standard levels. (CA Utilities, No. 58 at p. 2; NEEA and NPCC, No. 59 at p. 2) DOE discusses how it utilized all available data in sections V.B.4 and V.B.5.

e. Measured Versus Calculated BLE

In response to the April 2011 NOPR, NEMA commented that it found several samples of DOE test data in which the measured BLE reported in appendix 5C of the NOPR TSD was not consistent with the BLE calculated by NEMA. Though some of the differences were small, NEMA provided examples of four ballast models with differences up to 8 percent. (NEMA, Public Meeting Transcript, No. 43 at pp. 28-9) DOE addressed these discrepancies in the August 2011 NODA.

For the small discrepancies identified by NEMA, DOE noted that the information provided by NEMA was consistent with calculating the BLE values by dividing the average arc power of all samples by the average input power of all samples. This method is not consistent with the active mode test procedure. In contrast, DOE's average BLE reported in appendix 5C of the TSD was determined, as required in the test procedure, by averaging the BLE of each individual sample. Based on DOE's analysis, this difference in methodology accounts for the small discrepancies observed between the values reported in appendix 5C and those calculated by NEMA.

DOE also worked to resolve the large differences cited by NEMA. DOE identified six samples with measured-versus-calculated BLE differences ranging from 7.8 to 8.0 percentage points, which included the specific examples cited by NEMA. These six samples were all magnetic ballasts; in accordance with the active mode test procedure (see Table A, Appendix Q1 of 10 CFR part 430 Subpart B), DOE calculated BLE for these samples by reducing the measured ballast efficiency (total lamp arc power divided by ballast input power) by a frequency adjustment factor (1.00 for high-frequency ballasts and values ranging from 0.93 to 0.95 for low-frequency ballasts). These larger discrepancies are consistent with NEMA not including this adjustment factor in its calculation of BLE. Thus, given the above explanation and the absence of any additional comments regarding this subject, DOE's measured BLE values are correctly calculated and consistent with the active mode test procedure.

f. Ballast Factor

NEMA also identified differences in appendix 5C of the NOPR TSD between catalog and tested values for ballast factor, in some cases as large as 10 or 15 percent. NEMA reported that based on its own tests, it would expect the average difference between catalog BF and tested BF to be 1.5 percent. (NEMA, Public Meeting Transcript, No. 43 at pp. 27-8) DOE acknowledges that there might be differences between ballast factor values reported in catalogs and DOE's test data. Catalogs generally report ballast factor using the procedure in Appendix Q of 10 CFR part 430 subpart B, which requires photometric measurements. DOE calculated ballast factor in the April 2011 NOPR using electrical measurements by measuring the lamp arc power for the test ballast and dividing it by the reference lamp arc power as specified by ANSI standards. Available information suggests that manufacturing variation, coupled with application of a different test procedure to determine BF, accounts for the difference between catalog BF and DOE measured BF. Because DOE did not establish product classes or standards using BF and the active mode test procedure final rule did not adopt a new method for its calculation, however, ballast factor is not relevant to this rulemaking.

g. Variation Within DOE's Data

Stakeholders also questioned the variation present within DOE's data and offered several suggestions on how to measure variation within the test results. Lutron and NEMA suggested DOE perform a gauge repeatability and reproducibility (R&R) analysis, a recognized technique to reconcile differences among measurements. (Lutron, Public Meeting Transcript, No. 43 at pp. 118-9; NEMA, Public Meeting Transcript, No. 43 at p. 121) Philips suggested that DOE look at the variation among each unit and among each lab, and then use the total variation to conduct a 3-sigma

analysis. Philips noted, however, that three samples is not a very statistically large sample size in examining this kind of variation. (Philips, Public Meeting Transcript, No. 43 at p. 113)

3-sigma is a statistical calculation that refers to data within three standard deviations from a mean. It is based on the rule that for a normal distribution, nearly all values lie within three standard deviations of the mean.

As described in the previous sections, DOE evaluated several factors to verify the integrity of its data. DOE has confirmed that testing was conducted in accordance with the active mode test procedure and that its calculations of BLE are accurate. Furthermore, additional testing has increased sample size such that it is consistent with compliance certification requirements. After accounting for the above items, DOE believes that variation in its data reflects expected measurement, design, and lab-to-lab variation. DOE addresses these sources of variation in the following sections.

4. Accounting for Variation and Compliance Certification Requirements

In the April 2011 NOPR, DOE accounted for lab-to-lab variation and complianc

This text is long and has been trimmed here. Open the source document for the complete record.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.