Energy Conservation Program: Energy Conservation Standards for General Service Fluorescent Lamps and Incandescent Reflector Lamps

Federal RegisterApr 29, 2014

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DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket Number EERE-2011-BT-STD-0006]

RIN 1904-AC43

Energy Conservation Program: Energy Conservation Standards for General Service Fluorescent Lamps and Incandescent Reflector Lamps

AGENCY:

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

ACTION:

Notice of proposed rulemaking (NOPR) and public meeting.

SUMMARY:

The Energy Policy and Conservation Act of 1975 (EPCA), as amended, prescribes energy conservation standards for various commercial and industrial equipment and certain consumer products, including general service fluorescent lamps (GSFLs) and incandescent reflector lamps (IRLs). EPCA also requires the U.S. Department of Energy (DOE) to determine whether more-stringent, amended standards would be technologically feasible and economically justified, and would save a significant amount of energy. In this notice, DOE proposes amended energy conservation standards for GSFLs and IRLs. The notice also announces a public meeting to receive comment on these proposed standards and associated analyses and results.

DATES:

DOE will hold a public meeting on Thursday, May 1, 2014, from 9 a.m. to 4 p.m., in Washington, DC. The meeting will also be broadcast as a webinar. See section IX Public Participation for webinar registration information, participant instructions, and information about the capabilities available to webinar participants.

DOE will accept comments, data, and information regarding this NOPR before and after the public meeting, but no later than June 30, 2014. See section IX Public Participation for details.

ADDRESSES:

The public meeting will be held at the U.S. Department of Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue SW., Washington, DC 20585. To attend, please notify Ms. Brenda Edwards at (202) 586-2945. Please note that foreign nationals visiting DOE Headquarters are subject to advance security screening procedures. Any foreign national wishing to participate in the meeting should advise DOE as soon as possible by contacting Ms. Edwards to initiate the necessary procedures. Please also note that those wishing to bring laptops into the Forrestal Building will be required to obtain a property pass. Visitors should avoid bringing laptops, or allow an extra 45 minutes. Persons can attend the public meeting via webinar. For more information, refer to the Public Participation section near the end of this notice.

Any comments submitted must identify the NOPR for Energy Conservation Standards for general service fluorescent lamps and incandescent reflector lamps and provide docket number EE-2011-BT-STD-0006 and/or regulatory information number (RIN) number 1904-AC43. Comments may be submitted using any of the following methods:

Federal eRulemaking Portal: www.regulations.gov

. Follow the instructions for submitting comments.

Email:GSFL-IRL_2011-STD-0006@ee.doe.gov

. Include the docket number and/or RIN in the subject line of the message.

Mail:

Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Program, Mailstop EE-2J, 1000 Independence Avenue SW., Washington, DC 20585-0121. If possible, please submit all items on a CD. It is not necessary to include printed copies.

Hand Delivery/Courier:

Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Program, 950 L'Enfant Plaza SW., Suite 600, Washington, DC 20024. Telephone: (202) 586-2945. If possible, please submit all items on a CD, in which case it is not necessary to include printed copies.

Written comments regarding the burden-hour estimates or other aspects of the collection-of-information requirements contained in this proposed rule may be submitted to Office of Energy Efficiency and Renewable Energy through the methods listed above and by email to

Chad_S_Whiteman@omb.eop.gov

For detailed instructions on submitting comments and additional information on the rulemaking process, see section IX of this document (Public Participation).

Docket:

The docket, which includes

Federal Register

notices, public meeting attendee lists and transcripts, comments, and other supporting documents/materials, is available for review at regulations.gov. All documents in the docket are listed in the regulations.gov index. However, some documents listed in the index, such as those containing information that is exempt from public disclosure, may not be publicly available.

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

www1.eere.energy.gov/buildings/appliance_standards/rulemaking.aspx/ruleid/24

. This Web page contains a link to the docket for this notice on the regulations.gov site. The regulations.gov Web page contains instructions on how to access all documents, including public comments, in the docket. See section IX for further information on how to submit comments through

www.regulations.gov

For further information on how to submit a comment, review other public comments and the docket, or participate in the public meeting, contact Ms. Brenda Edwards at (202) 586-2945 or by email:

Brenda.Edwards@ee.doe.gov

FOR FURTHER INFORMATION CONTACT:

Ms. Lucy deButts, 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) 287-1604. Email:

General_Service_Fluorescent_Lamps@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:

Table of Contents

I. Summary of the Proposed Rule

A. Benefits and Costs to Consumers

B. Impact on Manufacturers

C. National Benefits

II. Introduction

A. Authority

B. Background

1. Current Standards

2. Corrections to Codified Standards

3. History of Standards Rulemaking for General Service Fluorescent Lamps and Incandescent Reflector Lamps

4. Test Procedure Standby and Off Mode Energy Consumption

III. General Discussion

A. Product Classes and Scope of Coverage

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

a. Economic Impact on Manufacturers and Consumers

b. Savings in Operating Costs Compared to Increase in Price

c. Energy Savings

d. Lessening of Utility or Performance of Products

e. Impact of Any Lessening of Competition

f. Need for National Energy Conservation

g. Other Factors

2. Rebuttable Presumption

IV. Issues Affecting Rulemaking Schedule

V. Issues Affecting Scope

A. Clarifications of General Service Fluorescent Lamp Definition

B. General Service Fluorescent Lamp Scope of Coverage

1. Additional General Service Fluorescent Lamp Types

2. Additional General Service Fluorescent Lamp Wattages

C. Incandescent Reflector Lamp Scope of Coverage

1. Incandescent Reflector Lamp Types

2. Incandescent Reflector Lamp Wattages

D. Summary of Scope of Coverage

VI. Methodology and Discussion

A. Market and Technology Assessment

1. General Service Fluorescent Lamp Technology Options

2. Incandescent Reflector Lamp Technology Options

B. Screening Analysis

1. General Service Fluorescent Lamp Design Options

2. Incandescent Reflector Lamp Design Options

C. Product Classes

1. General Service Fluorescent Lamp Product Classes

2. Incandescent Reflector Lamp Product Classes

D. Engineering Analysis

1. General Approach

2. General Service Fluorescent Lamp Engineering

a. Data Approach

b. Representative Product Classes

c. Baseline Lamps

d. More Efficacious Substitutes

e. General Service Fluorescent Lamp Systems

f. Maximum Technologically Feasible

g. Efficacy Levels

h. Scaling to Other Product Classes

i. Rare Earth Phosphors

3. Incandescent Reflector Lamp Engineering

a. Metric

b. Representative Product Classes

c. Baseline Lamps

d. More Efficacious Substitutes

e. Maximum Technologically Feasible

f. Efficacy Levels

g. Scaling to Other Product Classes

h. Xenon

i. Proposed Standard

E. Product Pricing Determination

F. Energy Use

1. Operating Hours

2. Lighting Controls

a. General Service Fluorescent Lamp Lighting Controls

b. Incandescent Reflector Lamp Lighting Controls

G. Life-Cycle Cost Analysis and Payback Period Analysis

1. Consumer Product Price

2. Sales Tax

3. Installation Cost

4. Annual Energy Use

5. Product Energy Consumption Rate

6. Electricity Prices

7. Electricity Price Projections

8. Replacement and Disposal Costs

9. Lamp Purchase Events

10. Product Lifetime

a. Lamp Lifetime

b. Ballast Lifetime

11. Discount Rates

12. Analysis Period

13. Compliance Date of Standards

14. General Service Fluorescent Lamp Life-Cycle Cost Results in the Preliminary Analysis

15. Incandescent Reflector Lamp Life-Cycle Cost Results in the Preliminary Analysis

H. Consumer Subgroup Analysis

I. Shipments Analysis

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

1. National Energy Savings

2. Net Present Value of Consumer Benefit

a. Total Annual Installed Cost

b. Total Annual Operating Cost Savings

K. Manufacturer Impact Analysis

1. Overview

2. GRIM Analysis and Key Inputs

a. Capital and Product Conversion Costs

b. Manufacturer Production Costs

c. Shipment Scenarios

d. Markup Scenarios

3. Discussion of Comments

a. Potential Shift to Other Lighting Technologies

b. Cumulative Regulatory Burden

c. Potential Decrease in Competition

4. Manufacturer Interviews

a. Rare Earth Oxides in General Service Fluorescent Lamps

b. Unknown Impacts of the 2009 Lamps Rule

c. Technology Shift

d. Impact on Residential Sector

L. Emissions Analysis

M. Monetizing Carbon Dioxide and Other Emissions Impacts

1. Social Cost of Carbon

a. Monetizing Carbon Dioxide Emissions

b. Social Cost of Carbon Values Used in Past Regulatory Analyses

c. Current Approach and Key Assumptions

2. Valuation of Other Emissions Reductions

N. Utility Impact Analysis

O. Employment Impact Analysis

P. Other Comments

VII. Analytical Results

A. Trial Standard Levels

B. Economic Justification and Energy Savings

1. Economic Impacts on Individual Consumers

a. Life-Cycle Cost and Payback Period

b. Consumer Subgroup Analysis

c. Rebuttable Presumption Payback

2. Economic Impacts on Manufacturers

a. Industry Cash-Flow Analysis Results

b. Impacts on Employment

c. Impacts on Manufacturing Capacity

d. Impacts on Sub-Groups of Manufacturers

e. Cumulative Regulatory Burden

3. Shipments Analysis and National Impact Analysis

a. Significance of Energy Savings

b. Net Present Value of Consumer Costs and Benefits

c. Impact of Product Class Switching

d. Alternative Scenario Analyses

e. Indirect Impacts on Employment

4. Impact on Utility or Performance

5. Impact of Any Lessening of Competition

6. Need of the Nation To Conserve Energy

7. Summary of National Economic Impacts

8. Other Factors

C. Proposed Standards

1. Benefits and Burdens of Trial Standard Levels Considered for General Service Fluorescent Lamps

2. Summary of Benefits and Costs (Annualized) of the Proposed Standards for General Service Fluorescent Lamps

3. Benefits and Burdens of Trial Standard Levels Considered for Incandescent Reflector Lamps

4. Summary of Benefits and Costs (Annualized) of the Proposed Standards for Incandescent Reflector Lamps

VIII. Procedural Issues and Regulatory Review

A. Review Under Executive Orders 12866 and 13563

B. Review Under the Regulatory Flexibility Act

1. Description and Estimated Number of Small Entities Regulated

a. Methodology for Estimating the Number of Small Entities

b. Manufacturer Participation

c. General Service Fluorescent Lamp and Incandescent Reflector Lamp Industry Structures and Nature of Competition

d. Comparison Between Large and Small Entities

2. Description and Estimate of Compliance Requirements

3. Duplication, Overlap, and Conflict With Other Rules and Regulations

4. Significant Alternatives to the Proposed Rule

5. Significant Issues Raised by Public Comments

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

IX. Public Participation

A. Attendance at the Public Meeting

B. Procedure for Submitting Prepared General Statements for Distribution

C. Conduct of the Public Meeting

D. Submission of Comments

E. Issues on Which DOE Seeks Comment

X. Approval of the Office of the Secretary

I. Summary of the Proposed 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 GSFLs and IRLs, 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, 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 proposes amended energy conservation standards for GSFLs and IRLs. The proposed standards, which are the minimum lumen output per watt of a lamp, are shown in Table I.1 and Table I.2. These proposed standards, if adopted, would apply to all products listed in Table I.1 and manufactured in, or imported into, the United States on or after the date three years after the publication of the final rule for this rulemaking.

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

With the exception of certain IRLs, these proposed standards, if adopted, would apply to all products listed in Table I.2 and manufactured in, or imported into, the United States on or after the date three years after the publication of the final rule for this rulemaking. The Consolidated Appropriations Act, 2014 (Public Law 113-76, Jan. 17, 2014), in relevant part, restricts the use of appropriated funds in connection with several aspects of DOE's incandescent lamps program. Specifically, section 322 states that none of the funds made available by the Act may be used to implement or enforce standards for BPAR incandescent reflector lamps, BR incandescent reflector lamps, and ER incandescent reflector lamps. The majority of IRLs in this rulemaking are PAR IRLs and therefore do not fall into category of lamps prohibited by section 322. The small number of lamps that are BPAR, ER, and BR IRLs are not included in this rulemaking pursuant to section 322. DOE had initiated a separate rulemaking for lamps rated 50 watts or less that are ER30, BR30, BR40, or ER40; lamps rated 65 watts that are BR30, BR40, or ER40 lamps; and R20 IRLs rated 45 watts or less, but has suspended activity on this rulemaking as a result of section 322 of Public Law 113-76. (See section II.B.3 for further details.)

Table I.1—Proposed Energy Conservation Standards for General Service Fluorescent Lamps

Lamp type

Correlated color

temperature

Proposed level

lm/W

Percent

increase over current

standards or

baseline

4-Foot Medium Bipin

≤4,500 K

92.4

3.8

>4,500 K

90.6

3.0

2-Foot U-Shaped

≤4,500 K

86.9

3.5

>4,500 K

84.3

4.1

8-Foot Slimline

≤4,500 K

99.0

2.1

>4,500 K

94.1

1.2

8-Foot Recessed Double Contact High Output

≤4,500 K

97.6

6.1

>4,500 K

95.6

8.6

4-Foot Miniature Bipin Standard Output

≤4,500 K

97.1

12.9

>4,500 K

91.3

12.7

4-Foot Miniature Bipin High Output

≤4,500 K

82.7

8.8

>4,500 K

78.6

9.2

Table I.2—Proposed Energy Conservation Standards for Incandescent Reflector Lamps

Lamp type

Diameter

inches

Voltage

Proposed level *

lm/W

Percentage

increase over current

standards or

baseline

Standard Spectrum 40 W—205 W

>2.5

≥125

7.1P

0.27

4.4

<125

6.2P

0.27

5.1

≤2.5

≥125

6.0P

0.27

5.3

<125

5.2P

0.27

4.0

Modified Spectrum 40 W—205 W

>2.5

≥125

6.0P

0.27

3.4

<125

5.2P

0.27

4.0

≤2.5

≥125

5.1P

0.27

4.1

<125

4.4P

0.27

4.8

* P = lamp rated wattage.

Note 1: BPAR, ER, and BR IRLs and R20 IRLs rated 45 watts or less are not subject to the proposed standards for IRLs.

A. Benefits and Costs to Consumers

DOE calculates a range of life-cycle cost (LCC) savings and mean payback period (PBP) results for various purchasing events and sectors. These results are presented in section VII.B.1 and chapter 8 of the NOPR TSD. Table I.3 presents DOE's evaluation of the economic impacts of the proposed standards on consumers of GSFLs, as measured by the weighted average LCC savings and the weighted average mean PBP. The weighted average LCC savings are positive for all product classes with the exception of the 8-foot recessed double contact high output (HO) product class. Table I.4 presents DOE's evaluation of economic impacts of the proposed standards on consumers of IRLs, as measured by the weighted average LCC and mean PBP. The weighted average LCC savings are positive for all product classes.

Table I.3—Impacts of Proposed Standards on Consumers of General Service Fluorescent Lamps

Product class

Weighted

average LCC savings

2012$

Weighted

average mean payback

period *

years

4-foot medium bipin ≤4,500 K

3.14

3.6

4-foot T5 miniature bipin standard output ≤4,500 K

2.76

4.3

4-foot T5 miniature bipin high output ≤4,500 K

2.28

3.0

8-foot single pin slimline ≤4,500 K

2.08

4.5

8-foot recessed double contact HO ≤4,500 K

−16.76

NER

* Does not include weighting for “NER” Scenarios. “NER” indicates standard levels that do not reduce operating costs, which prevents the consumer from recovering the increased purchase cost.

Table I.4—Impacts of Proposed Standards on Consumers of Incandescent Reflector Lamps

Product class

Weighted

average LCC savings

2012$

Weighted

average mean payback

period

years

Standard spectrum, >2.5 inches, <125 V

2.95

5.4

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 (2013 to 2046). Using a real discount rate of 9.2 percent, DOE estimates that the INPV for manufacturers of GSFLs is $1,542.5 million in 2012$. Under the proposed standards, DOE expects that manufacturers may lose up to 2.6 percent of their INPV, which is approximately $39.9 million in 2012$. Additionally, based on DOE's interviews with the manufacturers of GSFLs, DOE does not expect any plant closings or significant loss of employment based on the energy conservation standards proposed for GSFLs.

For IRLs, DOE estimates that the INPV for manufacturers of IRLs is $176.0 million in 2012$ using a real discount rate of 9.2 percent. Under the proposed standards, DOE expects that manufacturers may lose up to 29.5 percent of their INPV, which is approximately $51.8 million in 2012$. Additionally, manufacturers of IRLs stated in interviews with DOE that there is the potential for IRL manufacturers to close existing U.S. manufacturing plants or for a potential loss of domestic IRL manufacturing employment based on the energy conservation standards proposed for IRLs.

C. National Benefits

All monetary values in this section are expressed in 2012$ and are discounted to 2013.

DOE's analyses indicate that the proposed standards for GSFLs would save a significant amount of energy. The lifetime savings for GSFLs purchased in the 30-year period that begins in the year of compliance with amended standards (2017-2046) amount to 3.5 quads.

DOE's analyses indicate that the proposed standards for IRLs would save a significant amount of energy. The lifetime savings for IRLs purchased in the 30-year period that begins in the year of compliance with amended standards (2017-2046) amount to 0.013 quads.

The cumulative net present value (NPV) of total consumer costs and savings of the proposed standards for GSFLs ranges from $3.1 billion (at a 7-percent discount rate) to $8.1 billion (at a 3-percent discount rate). This NPV expresses the estimated total value of future operating-cost savings minus the estimated increased product costs for products purchased in 2017-2046.

The NPV of total consumer costs and savings of the proposed standards for IRLs ranges from $0.18 billion (at a 7-percent discount rate) to $0.28 billion (at a 3-percent discount rate). This NPV expresses the estimated total value of future operating-cost savings minus the estimated increased product costs for products purchased in 2017-2046.

In addition, the proposed standards for GSFLs would have significant environmental benefits. The energy savings would result in cumulative emission reductions of 170 million metric tons (Mt)

of carbon dioxide (CO

), 730 thousand tons of methane, 250 thousand tons of sulfur dioxide (SO

), 210 thousand tons of nitrogen oxides (NO

), 2.8 thousand tons of nitrous oxide (N

O), and 0.32 tons of mercury (Hg). The energy savings would result in cumulative emission reductions of 98 Mt of CO

through 2030.

A metric ton is equivalent to 1.1 short tons. Results for NO

and Hg are presented in short tons.

The proposed standards for IRL would also have significant environmental benefits. The energy savings would result in cumulative emission reductions of 0.70 Mt of CO

, 2.7 thousand tons of methane, 0.69 thousand tons of SO

, 0.79 thousand tons of NO

, 0.01 thousand tons of N

O, and 0.001 tons of Hg. The energy savings would result in cumulative emission reductions of 1 Mt of CO

through 2030.

The value of the CO

reductions for the proposed standards for GSFLs is calculated using a range of values per metric ton of CO

(otherwise known as the Social Cost of Carbon, or SCC) developed by an interagency process. The derivation of the SCC values is discussed in section VI.M. Using discount rates appropriate for each set of SCC values, DOE estimates the present monetary value of the CO

emissions reduction is between $1.3 billion and $17 billion. DOE also estimates the present monetary value of the NO

emissions reduction, is $200 million at a 7-percent discount rate and $340 million at a 3-percent discount rate.

DOE is currently investigating monetary valuation of avoided Hg and SO

emissions.

The value of the CO

reductions for the proposed standards of IRL is calculated using the same SCC values and discount rates used for GSFLs. DOE

estimates the present monetary value of the CO

emissions reduction is between $0.0062 billion and $0.076 billion. DOE also estimates the present monetary value of the NO

emissions reduction, is $1.1 million at a 7-percent discount rate and $1.6 million at a 3-percent discount rate.

Table I.5 and Table I.6 summarize the national economic costs and benefits expected to result from the proposed standards for GSFLs and IRLs.

Table I.5—Summary of National Economic Benefits and Costs of Proposed Energy Conservation Standards for General Service Fluorescent Lamps *

Category

Present value

Billion 2012$

Discount rate

(Percent)

Benefits

Operating Cost Savings

0.07

0.11

Reduction Monetized Value ($11.8/t case) **

0.006

Reduction Monetized Value ($39.7/t case) **

0.03

Reduction Monetized Value ($61.2/t case) **

0.04

2.5

Reduction Monetized Value $117/t case) *

0.08

Reduction Monetized Value (at $2,639/ton) **

0.001

0.002

Total Benefits†

0.10

0.13

Costs

Incremental Installed Costs‡

−0.11

−0.17

Total Net Benefits

Including Emissions Reduction Monetized Value†

0.20

0.31

* This table presents the costs and benefits associated with IRLs shipped in 2017-2046. These results include benefits to consumers which accrue after 2046 from the products purchased in 2017-2046. The results account for the incremental variable and fixed costs incurred by manufacturers due to the standard, some of which may be incurred in preparation for the rule.

** The CO

is the average of the low and high values used in DOE's analysis.

† Total Benefits for both the 3% and 7% cases are derived using the series corresponding to average SCC with 3-percent discount rate.

‡ This reduction in product costs occurs because the more efficacious products have substantially longer lifetimes than the products that would be eliminated by the proposed standard.

The benefits and costs of today's proposed standards, for products sold in 2017-2046, can also be expressed in terms of annualized values. The annualized monetary values are the sum of (1) the annualized national economic value of the benefits from consumer operation of products that meet the proposed standards (consisting primarily of operating cost savings from using less energy, minus increases in product purchase and installation costs, which is another way of representing consumer NPV), and (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 2013, 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.5 and Table I.6. From the present value, DOE then calculated the fixed annual payment over a 30-year period (2017 through 2046) that yields the same present value. 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 combining the values of operating savings and CO

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

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 is measured for the lifetime of GSFLs and IRLs shipped in 2017-2046. The SCC values, on the other hand, reflect the present value of some future climate-related impacts resulting from the emission of one ton of CO

in each year. These impacts continue well beyond 2100.

Estimates of annualized benefits and costs of the proposed standards for GSFLs are shown in Table I.7. 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 average SCC series that uses a 3-percent discount rate, the cost of the standards proposed in today's rule is $873 million per year in increased product costs; while the estimated benefits are $1,180 million per year in reduced product operating costs, $314 million per year in CO

reductions, and $19.3 million per year in reduced NO

emissions. In this case, the net benefit would amount to $642 million per year. Using a 3-percent discount rate for all benefits and costs and the average SCC series, the estimated cost of the standards proposed in today's rule is $751 million per year in increased product costs; while the estimated benefits are $1,200 million per year in reduced operating costs, $314 million per year in CO

reductions, and $18.9 million per year in reduced NO

emissions. In this case, the net benefit would amount to approximately $783 million per year.

Estimates of annualized benefits and costs of the proposed standards for IRLs are shown in Table I.8. 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 average SCC series that uses a 3-percent discount rate, the annualized cost of today's proposed standards is negative $10.4 million per year in reduced product costs,

and the annualized benefits are $7.2 million per year in reduced product operating costs, $1.4 million per year in CO

reductions, and $0.11 million per year in reduced NO

emissions. In this case, the net benefit would amount to $19 million per year. Using a 3-percent discount rate for all benefits and costs and the average SCC series, the estimated annualized cost of the standards proposed in today's rule is negative $9.7 million per year in reduced product costs, and the annualized benefits of the standards proposed in today's rule are $5.9 million per year in reduced operating costs, $1.4 million per year in CO

reductions, and $0.09 million per year in reduced NO

emissions. In this case, the net benefit would amount to approximately $17 million per year.

This negative cost represents a reduction in product costs compared to the base case, because the more efficacious products have substantially longer lifetimes than the products that would be eliminated by the proposed standard.

Table I.7—Annualized Benefits and Costs of Proposed Energy Conservation Standards for General Service Fluorescent Lamps

Discount rate

Primary estimate *

Low net benefits estimate *

High net benefits estimate *

million 2012$/year

Benefits

Operating Cost Savings

1,180

1,160

1,220

1,200

1,170

1,250

Reduction Monetized Value ($11.8/t case) **

Reduction Monetized Value ($39.7/t case) **

314

Reduction Monetized Value ($61.2/t case) **

2.5%

456

Reduction Monetized Value ($117/t case) **

968

Reduction Monetized Value (at $2,639/ton) **

19.3

18.9

Total Benefits†

7% plus CO

range

1,300 to 2,160

1,280 to 2,140

1,340 to 2,210

1,520

1,490

1,560

3% plus CO

range

1,320 to 2,180

1,290 to 2,160

1,370 to 2,230

1,530

1,510

1,580

Costs

Incremental Product Costs

873

910

873

751

785

751

Net Benefits

Total †

7% plus CO

range

426 to 1,291

367 to 1,232

469 to 1,330

642

583

685

3% plus CO

range

567 to 1,432

505 to 1,370

615 to 1,480

783

722

831

* This table presents the annualized costs and benefits associated with GSFLs shipped in 2017−2046. These results include benefits to consumers which accrue after 2046 from the products purchased in 2017−2046. The results account for the incremental variable and fixed costs incurred by manufacturers due to the standard, some of which may be incurred in preparation for the rule. The Primary Benefits Estimate assumes the central energy prices from

AEO 2013

and a decreasing incremental product cost, due to price learning. The Low Benefits Estimate assumes the low estimate of energy prices from

AEO 2013

and constant real product prices. The High Benefits Estimate assumes the high energy price estimates from

AEO 2013

and decreasing incremental product costs, due to price learning.

** The CO

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 series corresponding to average SCC with 3-percent discount rate. In the rows labeled “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.

Table I.8—Annualized Benefits and Costs of Proposed Energy Conservation Standards for Incandescent Reflector Lamps

Discount rate

Primary estimate *

Low net benefits estimate *

High net benefits estimate *

million 2012$/year

Benefits

Operating Cost Savings

7.2

7.1

5.9

5.8

Reduction Monetized Value ($11.8/t case) **

0.5

Reduction Monetized Value ($39.7/t case) **

1.4

Reduction Monetized Value ($61.2/t case) **

2.5%

2.0

Reduction Monetized Value ($117/t case) *

4.2

Reduction Monetized Value (at $2,639/ton) **

0.11

0.16

0.09

Total Benefits †

7% plus CO

range

7.8 to 12

7.7 to 11

7.8 to 12

8.7

8.6

8.7

3% plus CO

range

6.4 to 10

7.4

7.3

Costs

Incremental Product Costs ‡

−10.4

−10.5

−10.4

−9.7

−9.8

−9.7

Net Benefits

Total †

7% plus CO

range

18 to 22

3% plus CO

range

16 to 20

* This table presents the annualized costs and benefits associated with IRLs shipped in 2017−2046. These results include benefits to consumers which accrue after 2046 from the products purchased in 2017−2046. The results account for the incremental variable and fixed costs incurred by manufacturers due to the standard, some of which may be incurred in preparation for the rule. The Primary Benefits Estimate assumes the central energy prices from

AEO 2013

and a decreasing incremental product cost, due to price learning. The Low Benefits Estimate assumes the low estimate of energy prices from

AEO 2013

and constant real product prices. The High Benefits Estimate assumes the high energy price estimates from

AEO 2013

and decreasing incremental product costs, due to price learning.

** The CO

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 series corresponding to average SCC with 3-percent discount rate. In the rows labeled “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.

‡ This reduction in product costs occurs because the more efficacious products have substantially longer lifetimes than the products that would be eliminated by the proposed standard.

DOE has tentatively concluded that the proposed standards represent the maximum improvement in energy efficiency that is technologically feasible and economically justified, and would result in the significant conservation of energy. DOE further notes that products achieving these standard levels are already commercially available. Based on the analyses described above, DOE has tentatively concluded that the benefits of the proposed standards to the nation (energy savings, positive NPV of consumer benefits, consumer LCC savings, and emission reductions) would outweigh the burdens (loss of INPV for manufacturers and LCC increases for some consumers).

Based on consideration of the public comments DOE receives in response to this notice and related information collected and analyzed during the course of this rulemaking effort, DOE may adopt energy efficiency levels presented in this notice that differ from the proposed standards, or some combination of level(s) that incorporate the proposed standards in part.

II. Introduction

The following section briefly discusses the statutory authority underlying today's proposal, as well as some of the relevant historical background related to the establishment of standards for GSFLs and IRLs.

A. Authority

Title III, Part B of the EPCA, 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 GSFLs and IRLs that are the subject of this rulemaking. (42 U.S.C. 6292(a)(14)) EPCA prescribed energy conservation standards for these products (42 U.S.C. 6295(i)(1)), and directed DOE to conduct two cycles of rulemakings to determine whether to amend these standards. (42 U.S.C. 6295(i)(3)-(5)) On July 14, 2009, DOE published a final rule in the

Federal Register

, which completed the first rulemaking cycle to amend energy conservation standards for GSFLs and IRLs (hereafter the “2009 Lamps Rule”). 74 FR 34080. That rule adopted standards for additional GSFLs, amended the definition of “colored fluorescent lamp” and “rated wattage,” and also adopted test procedures applicable to the newly covered GSFLs. Information regarding the 2009 Lamps Rule can be found on regulations.gov, docket number EERE-2006-STD-0131 at

www.regulations.gov/#!docketDetail;D=EERE-2006-STD-0131

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

This rulemaking encompasses DOE's second cycle of review to determine whether the standards in effect for GSFLs and IRLs should be amended, including whether the standards should be applicable to additional GSFLs.

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 GSFLs and IRLs currently appear at title 10 of the Code of Federal Regulations (CFR) part 430, subpart B, appendix R.

DOE must follow specific statutory criteria for prescribing amended standards for covered products. As indicated above, any 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 GSFLs and IRLs, if no test procedure has been established for the product, or (2) if DOE determines by rule that the proposed standard is not technologically feasible or economically justified. (42 U.S.C. 6295(o)(3)(A)-(B)) In deciding whether a proposed 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 (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 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 an amended or new standard if interested persons have established by a preponderance of the evidence that the standard is likely to result in the unavailability in the United States of 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 that have the same function or intended use if DOE determines that 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. (42 U.S.C. 6294(q)(1)) 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 the 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)).

Any final rule for new or amended energy conservation standards promulgated after July 1, 2010, must also 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 standby mode and off mode do not apply to GSFLs and IRLs and that their energy use is accounted for entirely in the active mode. Therefore, DOE is not addressing standby and off modes, and will only address active mode in this rulemaking.

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 believes that today's NOPR 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 rulemaking, the energy efficiency standard proposed herein by DOE achieves maximum net benefits.

B. Background

1. Current Standards

In the 2009 Lamps Rule, DOE prescribed the current energy conservation standards for GSFLs and IRLs manufactured on or after July 14, 2012 (hereafter the “July 2012 standards”). 74 FR 34080. The current standards are set forth in Table II.1 and Table II.2.

Table II.1—July 2012 Standards for General Service Fluorescent Lamps

Lamp type

Correlated color temperature

Minimum

average lamp

efficacy

lm/W

Four-Foot Medium Bipin

≤4,500 K

>4,500 K and ≤7,000 K

Two-Foot U-Shaped

≤4,500 K

>4,500 K and ≤7,000 K

Eight-Foot Slimline

≤4,500 K

>4,500 K and ≤7,000 K

Eight-Foot High Output

≤4,500 K

>4,500 K and ≤7,000 K

Four-Foot Miniature Bipin Standard Output

≤4,500 K

>4,500 K and ≤7,000 K

Four-Foot Miniature Bipin High Output

≤4,500 K

>4,500 K and ≤7,000 K

Table II.2—July 2012 Standards for Incandescent Reflector Lamps

Rated lamp wattage

Lamp spectrum

Lamp diameter

inches

Rated voltage

Minimum average lamp efficacy

lm/W

40-205

Standard Spectrum

>2.5

≥125 V

<125 V

6.8*P

0.27

5.9*P

0.27

≤2.5

≥125 V

<125 V

5.7*P

0.27

5.0*P

0.27

40-205

Modified Spectrum

>2.5

≥125 V

<125 V

5.8*P

0.27

5.0*P

0.27

≤2.5

≥125 V

<125 V

4.9*P

0.27

4.2*P

0.27

Note 1: P is equal to the rated lamp wattage, in watts.

Note 2: Standard Spectrum means any incandescent reflector lamp that does not meet the definition of modified spectrum in 430.2.

2. Corrections to Codified Standards

In this

rulemaking, DOE is proposing to correct errors in the codified standards for GSFLs and IRLs. In particular, DOE is proposing to correct the typographical errors in the sections of the CFR that lay out the GSFL standards specified in EPCA and the IRL standards established by the 2009 Lamps Rule. Specifically, for the GSFL standards codified at 10 CFR 430.32(n)(1), the “less than or equal to 35 W” associated with the 8-foot single pin (SP) slimline lamp type should instead be associated with the 2-foot U-shaped lamp type. For 8-foot SP slimline product class with a minimum color rendering index (CRI) of 45 and a minimum average lamp efficacy of 80.0 lumens per watt (lm/W), the rated wattage should be less than or equal to 65 W, not greater than 65 W. The revised table should read as follows:

Shown correctly in this table; erroneously written as “≤125V” in the CFR.

Table II.3—GSFL Standards Prescribed by EPAct

Lamp type

Nominal lamp wattage

Minimum CRI

Minimum

average lamp

efficacy

lm/W

Effective date

4-foot medium bipin

>35 W

75.0

Nov. 1, 1995.

≤35 W

75.0

Nov. 1, 1995.

2-foot U-shaped

>35 W

68.0

Nov. 1, 1995.

≤35 W

64.0

Nov. 1, 1995.

8-foot slimline

>65 W

80.0

May 1, 1994.

≤65 W

80.0

May 1, 1994.

8-foot high output

>100 W

80.0

May 1, 1994.

≤100 W

80.0

May 1, 1994.

For the IRL standards adopted by the 2009 Lamps Rule that are codified in 10 CFR 430.32(n)(5), the minimum lamp efficacy of 5.8P

0.27

is for lamps with a rated wattage of 40-205 W, modified spectrum, diameter greater than 2.5 inches, and rated voltage of “greater than or equal to 125 V” rather than “less than or equal to 125 V.” The revised table should read as follows:

Table II.4—IRL Standards Adopted by the 2009 Lamps Rule

Rated lamp wattage

Lamp spectrum

Lamp diameter

inches

Rated voltage

Minimum

average lamp

efficacy

lm/W

40-205

Standard Spectrum

>2.5

≥125 V

<125 V

6.8*P

0.27

5.9*P

0.27

≤2.5

≥125 V

<125 V

5.7*P

0.27

5.0*P

0.27

40-205

Modified Spectrum

>2 .5

≥125 V

<125 V

5.8*P

0.27

5.0*P

0.27

≤2.5

≥125 V

<125 V

4.9*P

0.27

4.2*P

0.27

3. History of Standards Rulemaking for General Service Fluorescent Lamps and Incandescent Reflector Lamps

As mentioned in the previous section, EPCA, as amended, established energy conservation standards for certain classes of GSFLs and IRLs, and required DOE to conduct two rulemaking cycles to determine whether these standards should be amended. (42 U.S.C. 6291(1), 6295(i)(1) and (3)-(4)) EPCA also authorized DOE to adopt standards for additional GSFLs if such standards were warranted. (42 U.S.C. 6295(i)(5))

DOE completed the first cycle of amendments by publishing a final rule in the

Federal Register

in July 2009. 74 FR 34080 (July 14, 2009). The 2009 Lamps Rule amended existing GSFL and IRL energy conservation standards and adopted standards for additional GSFLs. That rule also amended the definition of “colored fluorescent lamp” and “rated wattage,” and adopted test procedures applicable to the newly covered GSFLs.

The Energy Policy Act of 1992 (EPAct 1992, Pub. L. 102-486) amendments to EPCA added as covered products IRLs with wattages of 40 watts (W) or higher. In defining the term “incandescent reflector lamp,” EPAct 1992 excluded lamps with elliptical reflector (ER) and bulged reflector (BR) bulb shapes, and with diameters of 2.75 inches or less. Therefore, such IRLs were neither included as covered products nor subject to EPCA's standards for IRLs.

Section 322(a)(1) of the Energy Independence and Security Act of 2007 (EISA 2007) subsequently amended EPCA to expand the Act's definition of “incandescent reflector lamp” to include lamps with a diameter between 2.25 and 2.75 inches, as well as lamps with ER, BR, bulged parabolic aluminized reflector (BPAR), or similar bulb shapes. (42 U.S.C. 6291(30)(C)(ii) and (F)) Section 322(b) of EISA 2007, in amending EPCA to set forth revised standards for IRLs in new section 325(i)(1)(C), exempted from these standards the following categories of IRLs: (1) lamps rated 50 W or less that are ER30, BR30, BR40, or ER40; (2) lamps rated 65 W that are BR30, BR40, or ER40 lamps; and (3) R20 IRLs rated 45 W or less. (42 U.S.C. 6295(i)(C)) DOE refers to these three categories of lamps collectively as certain R, ER, and BR IRLs.

DOE has concluded, for the reasons that follow, that it has the authority under EPCA to adopt standards for these R, ER, and BR IRLs, and that these lamps are covered by the directive in 42 U.S.C. 6295(i)(3) to amend EPCA's standards for IRLs. First, by amending the definition of “incandescent reflector lamp” (42 U.S.C. 6291(30)(C)(ii) and (F)), EISA 2007 effectively brought these R, ER, and BR IRLs into the federal energy conservation standards program as covered products, thereby subjecting them to DOE's regulatory authority. Second, although 42 U.S.C. 6295(i)(1)(C) exempts these R, ER, and BR IRLs from the standards specified in 42 U.S.C. 6295(i)(1)(B), EPCA directs that DOE amend the standards laid out in 42 U.S.C. 6295(i)(1), which includes subparagraph (C). As a result, the statutory text exempted these bulbs only from the standards specified in 42 U.S.C. 6295(i)(1), not from future regulation. Consequently, DOE began considering energy conservation standards for these R, ER, and BR IRLs. DOE initiated a new rulemaking for these products by completing a framework document and publishing a notice announcing its availability. 75 FR 23191 (May 3, 2010). DOE held a public meeting on May 26, 2010 to seek input from interested parties on its methodologies, assumptions, and data sources.

DOE has suspended activity on this rulemaking as a result of section 315 of Public Law (Pub. L.) 112-74 (Dec. 23, 2011), which prohibits DOE from using appropriated funds to implement or enforce standards for ER, BR, and bulged parabolic reflector IRLs.

To initiate the second rulemaking cycle to consider amended energy conservation standards for GSFLs and IRLs (other than the certain R, ER, and BR IRLs discussed in the preceding paragraphs), on September 14, 2011, DOE published a notice announcing the availability of the framework document, “Energy Conservation Standards Rulemaking Framework Document for General Service Fluorescent Lamps and Incandescent Reflector Lamps,” and a public meeting to discuss the proposed analytical framework for the rulemaking. 76 FR 56678. DOE also posted the framework document on its Web site, in which DOE described the procedural and analytical approaches DOE anticipated using to evaluate the establishment of energy conservation standards for GSFLs and IRLs.

DOE held the public meeting for the framework document on October 4, 2011,

to present the framework document, describe the analyses it planned to conduct during the rulemaking, seek comments from stakeholders on these subjects, and inform stakeholders about and facilitate their involvement in the rulemaking. At the public meeting, and during the comment period, DOE received many comments that both addressed issues raised in the framework document and identified additional issues relevant to this rulemaking.

The framework document and public meeting information are available at regulations.gov under docket number EERE-2011-BT-STD-0006.

DOE issued the preliminary analysis for this rulemaking on February 20, 2013 and published it in the

Federal Register

on February 28, 2013. 78 FR 13563 (February 28, 2013). DOE posted the preliminary analysis, as well as the complete preliminary technical support document (TSD), on its Web site.

The preliminary TSD includes the results of the following DOE preliminary analyses: (1) market and technology assessment; (2) screening analysis; (3) engineering analysis; (4) energy use characterization;

(5) product price determinations; (6) LCC and PBP analyses; (7) shipments analysis; and (8) national impact analysis (NIA).

The preliminary analysis, preliminary TSD, and preliminary analysis public meeting information are available at regulations.gov under docket number EERE-2011-BT-STD-0006.

In the preliminary analysis, DOE described and sought comment on the analytical framework, models, and tools (

e.g.,

LCC and national energy savings [NES] spreadsheets) DOE used to analyze the impacts of energy conservation standards for GSFLs and IRLs. Specifically, DOE invited comment on the following issues: (1) consideration of additional GSFLs; (2) amended definitions; (3) market trends; (4) technology options; (5) product classes; (6) market and technology assessment methodology; (7) screening of design options; (8) representative product classes; (9) baseline lamps; (10) more efficacious substitutes; (11) lamp-and-ballast systems; (12) 4-foot T5 miniature bipin (MiniBP) HO model lamp; (13) candidate standard levels (CSLs); (14) compliance requirements; (15) scaling to product classes not analyzed; (16) engineering analysis methodology; (17) product price determination; (18) GSFL ballast prices; (19) dimmed GSFL systems; (20) lighting controls market penetration; (21) lighting controls performance characteristics; (22) operating profiles for energy use characterization; (23) residential GSFL LCC analysis; (24) sales tax in the LCC analysis; (25) spacing adjustments in the LCC analysis; (26) LCC analysis overall methodology and results; (27) T5s in the residential market; (28) the shipments and national impact analyses; (29) LCC subgroups; (30) small businesses that manufacture GSFLs and IRLs; (31) manufacturer subgroup analysis; (32) key issues and data for the manufacturer impact analysis (MIA); (33) valuing airborne emission reductions; (34) data and programs for the regulatory impact analysis (RIA); and (35) TSLs. (See executive summary and chapter 2 of the preliminary TSD.)

DOE held a public meeting on April 9, 2013, to present the methodologies and results for the preliminary analyses. Manufacturers, trade associations, and environmental advocates attended the meeting. The participants discussed multiple issues, including the methodology and results of the market and technology assessment, screening analysis, engineering analysis, product price determination, energy use, LCC analysis, shipments analysis, and NIA. Other issues brought up during the public meeting included regulatory authority and rulemaking schedule. Finally, the MIA and additional analyses that are undertaken during the NOPR stage were discussed. The comments received during the public meeting, along with the written comments submitted to DOE since publication of the preliminary analysis, have contributed to DOE's proposed resolution of the issues in this rulemaking. This NOPR responds to the issues raised in these public comments.

4. Test Procedure

EPCA sets forth generally applicable criteria and procedures for DOE's adoption and amendment of test procedures. (42 U.S.C. 6293) Manufacturers of covered products must use these test procedures to certify to DOE that their product complies with EPCA energy conservation standards and to quantify the efficiency of their product. Similarly, DOE uses the test procedure to determine compliance with energy conservation standards. DOE's test procedures for fluorescent and incandescent reflector lamps are set forth in title 10 of the CFR, part 430, subpart B, appendix R. These test procedures provide instructions for measuring GSFL and IRL performance, largely by incorporating industry standards. The test procedures were updated in a final rule published in July 2009. 74 FR 31829 (July 6, 2009). The rule updated citations to industry standards and made several other modifications. DOE further amended the test procedures to update references to industry standards for GSFLs in a final rule published in January 2012. 77 FR 4203 (January 27, 2012).

Standby and Off Mode Energy Consumption

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)) EPCA defines active mode as the condition in which an energy-using piece of equipment is connected to a main power source, has been activated, and provides one or more main functions. (42 U.S.C. 6295)(gg)(1)(A)) Standby mode is defined as the condition in which an energy-using piece of equipment is connected to a main power source and offers one or more of the following user-oriented or protective functions: facilitating the activation or deactivation of other functions (including active mode) by remote switch (including remote control), internal sensor, or timer; or providing continuous functions, including information or status displays (including clocks) or sensor-based functions.

Id.

Off mode is defined as the condition in which an energy-using piece of equipment is connected to a main power source, and is not providing any standby or active mode function.

Id.

To satisfy the EPCA definitions of standby mode and off mode (42 U.S.C. 6295(gg)(1)), the lamp must not be providing any active mode function (

i.e.,

emitting light). However, to reach such a state, the lamp must be entirely disconnected from the main power source (

i.e.,

switched off), thereby not satisfying the requirements of operating in off mode or standby mode. Further, neither GSFLs nor IRLs covered under this rulemaking provide any secondary user-oriented or protection functions or continuous standby mode functions. Thus, these lamps do not satisfy the EPCA definition of standby mode. While EPCA allows DOE to amend the mode definitions (42 U.S.C. 6295(gg)(1)(B)), DOE believes that the energy use of GSFLs and IRLs is accounted for entirely in the active mode. Therefore, DOE is not addressing lamp operation in the standby and off modes in this rulemaking.

III. General Discussion

A. Product Classes and Scope of Coverage

When evaluating and establishing energy conservation standards, DOE divides covered products into product classes by the type of energy used or by capacity or other performance-related features that justifies a different standard. In making a determination whether a performance-related feature justifies a different standard, DOE must consider such factors as the utility to the consumer of the feature and other factors DOE determines are appropriate. (42 U.S.C. 6295(q)) For further details on the scope of coverage for this rulemaking, see section V. For further details on product classes, see section VI.C and chapter 3 of the NOPR TSD.

B. Technological Feasibility

1. General

In each standards rulemaking, DOE conducts a screening analysis based on information gathered on all current technology options and prototype designs that could improve the efficiency of the products or equipment that are the subject of the rulemaking. As the first step in such an 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 those 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)

After DOE has determined that particular technology options are technologically feasible, it further evaluates each technology option 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. Section VI.B of this notice discusses the results of the screening analysis for GSFLs and IRLs, particularly the designs DOE considered, those it screened out, and those that are the basis for the TSLs in this rulemaking. For further details on the screening analysis for this rulemaking, see chapter 4 of the NOPR TSD.

2. Maximum Technologically Feasible Levels

When DOE proposes to adopt 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 such product. (42 U.S.C. 6295(p)(1)) Accordingly, in the engineering analysis, DOE determined the maximum technologically feasible (“max tech”) improvements in energy efficiency for GSFLs and IRLs, using the design parameters for the most efficient products available on the market or in working prototypes. (See chapter 5 of the NOPR TSD.) The max tech levels that DOE determined for this rulemaking are described in section VI.D.2.f for GFSLs and VI.D.3.e for IRLs of this proposed rule.

C. Energy Savings

1. Determination of Savings

For each TSL, DOE projected energy savings from the products that are the subject of this rulemaking purchased in the 30-year period that begins in the year of compliance with any amended standards (2017-2046). The savings are measured over the entire lifetime of products purchased in the 30-year period.

DOE quantified the energy savings attributable to each TSL as the difference in energy consumption between each standards case and the base case. The base case represents a projection of energy consumption in the absence of amended mandatory efficiency standards, and considers market forces and policies that affect demand for more efficient products.

DOE previously presented energy savings results for the 30-year period that begins in the year of compliance. In the calculation of economic impacts, however, DOE considered operating cost savings measured over the entire lifetime of products purchased in the 30-year period. DOE has modified its presentation of NES to be consistent with the approach used for its national economic analysis.

DOE used its NIA spreadsheet model to estimate energy savings from amended standards for the products that are the subject of this rulemaking. The NIA spreadsheet model (described in section VI.J of this notice) calculates energy savings in site energy, which is the energy directly consumed by products at the locations where they are used. For electricity, DOE reports NES in terms of the savings in the energy that is used to generate and transmit the site electricity. To calculate this quantity, DOE derives annual conversion factors from the model used to prepare the U.S. Energy Information Administration's (EIA's)

Annual Energy Outlook

(

AEO

DOE also estimates full-fuel-cycle (FFC) energy savings. 76 FR 51282 (Aug. 18, 2011), as amended at 77 FR 49701 (August 17, 2012). The FFC metric includes the energy consumed in extracting, processing, and transporting primary fuels (

i.e.,

coal, natural gas, petroleum fuels), and thus presents a more complete picture of the impacts of energy efficiency standards. DOE's approach is based on calculation of an FFC multiplier for each of the energy types used by covered products. For more information on FFC energy savings, see section VI.J.

2. Significance of Savings

As noted above, 42 U.S.C. 6295(o)(3)(B) prevents DOE from adopting a standard for a covered product unless such standard would result in “significant” energy savings. Although 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 (D.C. 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 rulemaking (presented in section VII.A) are nontrivial, and, therefore, DOE considers them “significant” within the meaning of section 325 of EPCA.

D. Economic Justification

1. Specific Criteria

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 has addressed each of those seven factors in this rulemaking.

a. Economic Impact on Manufacturers and Consumers

In determining the impacts of an amended standard on manufacturers, DOE first uses an annual cash-flow approach to determine the quantitative impacts. This step includes both a short-term assessment—based on the cost and capital requirements during the period between when a regulation is issued and when entities must comply with the regulation—and a long-term assessment over a 30-year period. The industry-wide impacts analyzed include INPV, which values the industry on the basis of 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 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. Finally, DOE takes into account cumulative impacts of various DOE regulations and other regulatory requirements on manufacturers. For this rulemaking, these impacts include those resulting from the 2009 Lamps Rule.

For individual consumers, measures of economic impact include the changes in LCC and PBP associated with new or amended standards. These measures are discussed further in the following section. For consumers in the aggregate, DOE also calculates the national NPV of the economic impacts applicable to a particular rulemaking. DOE also evaluates the LCC impacts of potential standards on identifiable subgroups of consumers that may be affected disproportionately by a national standard.

b. Savings in Operating Costs Compared to Increase in Price

EPCA requires DOE to consider the savings in operating costs throughout the estimated average life of the covered product compared to any increase in the price of the covered product that is likely to result from the imposition of the standard. (42 U.S.C. 6295(o)(2)(B)(i)(II)) DOE conducts this comparison in its LCC and PBP analysis. 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. 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. For its analysis, DOE assumes that consumers will purchase the covered products in the first year of compliance with amended standards.

The LCC savings and the PBP for the considered efficacy levels (ELs) are calculated relative to a base case that reflects projected market trends in the absence of amended standards. DOE identifies the percentage of consumers estimated to receive LCC savings or experience an LCC increase, in addition to the average LCC savings associated with a particular standard level.

c. Energy Savings

Although 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)) As discussed in section VI.J, DOE uses the NIA spreadsheet to project NES.

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 evaluates standards that would not lessen the utility or performance of the considered products. (42 U.S.C. 6295(o)(2)(B)(i)(IV)) The standards proposed in today's notice will not reduce the utility or performance of the products under consideration in this rulemaking.

e. Impact of Any Lessening of Competition

EPCA directs DOE to consider the impact of any lessening of competition, as determined in writing by the Attorney General, that is likely to result from the imposition of a standard. (42 U.S.C. 6295(o)(2)(B)(i)(V) It also directs the Attorney General to determine the impact, if any, of any lessening of competition likely to result from a proposed standard and to transmit such determination to the Secretary, together with an analysis of the nature and extent of the impact. (42 U.S.C. 6295(o)(2) (B)(ii)) DOE will transmit a copy of today's proposed rule to the Attorney General with a request that the U.S. Department of Justice (DOJ) provide its determination on this issue. DOE will address the Attorney General's determination in the final rule.

f. Need for National Energy Conservation

The energy savings from the proposed standards are likely to provide improvements to the security and reliability of the nation's energy system. Reductions in the demand for electricity also may 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.

The proposed standards also are likely to result in environmental benefits in the form of reduced emissions of air pollutants and greenhouse gases (GHGs) associated with energy production. DOE reports the emissions impacts from today's standards, and from each TSL it considered, in section VI.L of this notice. DOE also reports estimates of the economic value of emissions reductions resulting from the considered TSLs.

g. Other Factors

EPCA allows the Secretary, in determining whether a standard is economically justified, to consider any other factors that the Secretary deems to be relevant. (42 U.S.C. 6295(o)(2)(B)(i)(VII))

2. Rebuttable Presumption

As set forth in 42 U.S.C. 6295(o)(2)(B)(iii), EPCA creates 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's energy savings resulting from the standard, as calculated under the applicable DOE test procedure. DOE's LCC and PBP analyses generate values used to calculate the effects that proposed energy conservation standards would have on the payback period for consumers. These analyses include, but are not limited to, the 3-year payback period contemplated under the rebuttable-presumption test. In addition, DOE routinely conducts an economic analysis that considers the full range of impacts to consumers, manufacturers, the nation, and the environment, as required under 42 U.S.C. 6295(o)(2)(B)(i). The results of this analysis serve as the basis for DOE's evaluation of 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 III.D of this proposed rule.

IV. Issues Affecting Rulemaking Schedule

In the schedule presented in the framework document of this rulemaking, the preliminary analysis was scheduled to be published in September 2012, the NOPR in August 2013, and the final rule establishing any amended standards in 2014. During the framework stage, stakeholders expressed concerns that because the 2009 Lamps Rule standards would require compliance July 14, 2012, the preliminary analysis published in September 2012 would not be able to account for the impacts of the July 2012 standards. DOE noted these concerns and extended the schedule, publishing the preliminary analysis in February 2013. DOE received additional comments regarding the timing of this rulemaking in the preliminary analysis phase.

Philips questioned whether this rulemaking is statutorily required to be completed at this time, specifically asking if EPAct 1992 provided a date by which the final rule of the second cycle of energy conservation standards for GSFLs and IRLs has to be published. (Philips, Public Meeting Transcript, No. 30 at pp. 27-28)

In a Joint Comment, the Appliance Standards Awareness Project (ASAP), the Natural Resources Defense Council (NRDC), the Alliance to Save Energy, the American Council for an Energy-Efficient Economy (ACEEE), the Consumer Federation of America, and the National Consumer Law Center, (hereafter the “Joint Comment”) and Northeast Energy Efficiency Partnerships (NEEP) emphasized that EPAct 1992 requires DOE to complete two rounds of rulemakings for IRLs and GSFLs. The Joint Comment noted that final rule of the first cycle was required to be published by April 1997. (42 U.S.C. 6295(i)(3)) DOE was required to publish the final rule of the second cycle five years later. (42 U.S.C. 6295(i)(4)) NEEP and the Joint Comment stated that as DOE failed to publish a final rule for the first cycle until July 2009, it is not possible for DOE to meet the required deadline date for the second cycle. Therefore, NEEP and the Joint Comment agreed that the second cycle should occur within the interval contemplated by Congress when it set out the original deadlines, and a final rule should be issued no later than 2014. (NEEP, No. 33 at p. 1; Joint Comment, No. 35 at pp. 1-2) ASAP agreed stating that given that the 2009 Lamps Rule was complete, it was not

discretionary for DOE to have any other schedule than the one currently in place for this rulemaking. (ASAP, Public Meeting Transcript, No. 30 at pp. 192-193)

General Electric (GE) stated its concern that this rulemaking is occurring too soon after the 2009 Lamps Rule, making it difficult for manufacturers to recover investments in new technologies or to develop products meeting even higher standards. GE indicated that the close proximity of the rulemakings will have a severe and negative impact on manufacturers. (GE, Public Meeting Transcript, No. 30 at p. 192) National Electrical Manufacturers Association (NEMA) noted that for certain GSFL product classes, Office of Hearing and Appeals (OHA) issued waivers providing a stay of enforcement for many manufacturers due to the limited availability of rare earth phosphors. NEMA pointed out that as a result, the July 2012 standards still have not been fully implemented. (Philips, Public Meeting Transcript, No. 30 at pp. 27-28; NEMA, No. 36 at p. 1) Therefore, NEMA stated that the market has not fully shifted to reflect the impacts of the July 2012 standards and there is little to no accurate information available regarding future market shares and technology capability. Hence, NEMA concluded that as it is too soon after the 2009 Lamps Rule to set new energy conservation standards, DOE and the Secretary should declare no new standard in this rulemaking. (NEMA, No. 36 at p. 1) Further, NEMA called attention to DOE's newer authority to review energy conservation standards six years after a final rule is published. NEMA found that this review will provide an opportunity to better assess standards for GSFLs and IRLs. (NEMA, No. 36 at pp. 1-2)

The California investor-owned utilities, including Pacific Gas and Electric Company (PG&E), Southern California Gas Company (SCGC), San Diego Gas and Electric (SDG&E), and Southern California Edison (SCE), (hereafter the “CA IOUs”) approved of the current timeline for this rulemaking. They commented that because DOE waited until after the July 2012 standards required compliance before completing the preliminary analysis and due to the amount of time before standards promulgated by this rulemaking would require compliance, now is the correct time to proceed with the second cycle of energy conservation standards for these products. (CA IOUs, Public Meeting Transcript, No. 30 at pp. 30-31)

The Joint Comment emphasized the significance of this rulemaking as a reason to proceed within the five-year timeframe. They stated that according to the 2010 U.S. Lighting Market Characterization (2010 LMC),

the U.S. inventory of installed IRLs was estimated to be in excess of 641 million lamps, representing almost 8 percent of the total installed lighting base, consuming an estimated 39 terawatt hours (TWh) annually. The 2010 LMC estimated an inventory of nearly 2.4 billion GSFLs, representing 29 percent of the total installed base, consuming approximately 294 TWh annually. While the Joint Comment recognized that these numbers will likely begin to decrease over time with the increased prevalence of light-emitting diode (LED) alternatives, they noted that IRLs and GSFLs will still likely command a significant portion of the lighting market for decades to come, as a perceived cheaper alternative to LEDs. Due to this and the findings of the preliminary analysis that this rulemaking offers the potential for significant, cost-effective savings for U.S. consumers and businesses, the Joint Comment urged DOE to place this rulemaking's completion as a high priority. (Joint Comment, No. 35 at p. 2)

U.S. Department of Energy.

2010 U.S. Lighting Market Characterization.

January 2012. Available at

http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/2010-lmc-final-jan-2012.pdf

DOE is obligated to conduct this second review of GSFL and IRL standards. EPCA required DOE to initiate the first review of standards no earlier than three years after October 24, 1992, and publish a final rule no later than four years and six months after that date. 42 U.S.C. 6295(i)(3) The second review of standards was to be initiated no earlier than eight years after October 24, 1992, and the final rule published no later than nine years and six months after that date. 42 U.S.C. 6295(i)(4) DOE published the final rule for the first review of standards in July 2009. DOE is conducting this rulemaking to satisfy the EPCA requirement for a second review of the standards. Applying the schedule DOE developed for the second review of standards would result in an interval of five years between the publications of the final rules for the first and second review of standards, and any final rule for this rulemaking would be published in 2014.

To address comments that product availability, product pricing, and investment decisions in response to the July 2012 standards would not be finalized within the proposed scheduled, DOE delayed the publication of the preliminary analysis to update its product databases and assessments based on changes that took place after the compliance date on July 14, 2012. Additionally, for the preliminary analysis stage, DOE obtained information during interviews with manufacturers regarding new product lines they were preparing to launch to ensure that DOE's analysis captured the initial market impacts of the July 2012 standards. The analysis presented in this NOPR was updated and finalized more than a year after the July 2012 standards required compliance, reflecting the most recent data available. Further, in manufacturer interviews conducted for this NOPR, DOE learned that most manufacturers were not planning to introduce any additional covered products to market. Therefore, DOE believes that the revised schedule for this GSFL and IRL rulemaking has allowed the preliminary analysis and NOPR analysis to be conducted so as to have adequately captured the impacts of the July 2012 standards for these products. Any additional data received will be considered in the development of any final rule.

V. Issues Affecting Scope

A. Clarifications of General Service Fluorescent Lamp Definition

The scope of this rulemaking for GSFLs is defined by the terms “fluorescent lamp” and “general service fluorescent lamp.” 10 CFR 430.2 The definition of general service fluorescent lamp includes certain exemptions. DOE has received several questions on the application of these exemptions. Therefore, in the preliminary analysis DOE evaluated each exemption and determined that the following exemption categories could be further clarified: “impact-resistant fluorescent lamps,” “reflectorized or aperture lamps,” “fluorescent lamps designed for use in reprographic equipment,” and “lamps primarily designed to produce radiation in the ultra-violet region of the spectrum.” For these exemption categories, the terminology was either not defined elsewhere or the application of the exemption could be further clarified. DOE examined product literature and industry reference sources to determine language that would further explain these exemptions. DOE determined that the exemptions should be clarified as follows:

Impact-resistant fluorescent lamp

means a lamp that:

a. Has a coating or equivalent technology that is compliant with NSF/ANSI 51 (incorporated by reference;

see

§ 430.3) and designed to contain the glass if the glass envelope of the lamp is broken; and

b. Is designated and marketed for the intended application, with:

i. The designation on the lamp packaging; and

ii. Marketing materials that identify the lamp as being impact-resistant, shatter-resistant, shatter-proof, or shatter-protected.

Reflectorized or aperture lamp

means a fluorescent lamp that contains an inner reflective coating on the bulb to direct light.

Fluorescent lamp designed for use in reprographic equipment

means a fluorescent lamp intended for use in equipment used to reproduce, reprint, or copy graphic material.

Lamps primarily designed to produce radiation in the ultra-violet region of the spectrum

mean fluorescent lamps that primarily emit light in the portion of the electromagnetic spectrum where light has a wavelength between 10 and 400 nanometers.

In the preliminary analysis, DOE also considered clarifications of the terms “designed” and “marketed” as applied to definitions of lighting products covered under DOE standards. These terms are generally used to ensure that exemptions from applicable standards apply only to lamps used in certain intended applications and/or functions. Therefore, DOE considered the terms “designed,” “designated,” “designation,” “designated and marketed,” and “designed and marketed,” for covered lighting products to mean that manufacturers explicitly state the intended application of the lamp in a publicly available document (

e.g.,

product literature, catalogs, packaging labels, and labels on the product itself).

NEMA agreed with the proposed clarifications to definitions for GSFLs. (NEMA, Public Meeting Transcript, No. 30 at p. 45; NEMA, No. 36 at pp. 4-5) NEMA noted that the definitions have been in use since the early 1990s and are well understood within the industry; the additional clarification suggested is in line with current industry practice. NEMA stated that no further definitions are required beyond this clarification. (NEMA, No. 36 at pp. 4-5)

The CA IOUs agreed that DOE should clearly define the lamp types exempted from standards. Specifically, the CA IOUs recommended further clarifying the definition for fluorescent lamps “designed for cold temperature applications.” (CA IOUs, Public Meeting Transcript, No. 30 at pp. 31-32; CA IOUs, No. 32 at p. 12) The CA IOUs expressed concern that that many common GSFLs are currently being designed with amalgam to be operated in lower temperatures, but without a negative effect on the lamps' efficacy and not intended to be exempt from standards. The CA IOUs stated their understanding that the exemption for cold temperature lamps has been preserved to accommodate uncommon lamps designed to be used outdoors in extreme, sub-freezing temperatures that cannot meet the efficacy requirements established for GSFLs. (CA IOUs, No. 32 at p. 12)

The Northwest Energy Efficiency Alliance (NEEA) and Northwest Power and Conservation Council (NPCC) agreed with the CA IOUs and found the descriptor “designed for cold temperature applications” to be too vague to adequately differentiate between products that are covered currently and those that have design features that make it impossible for them to meet the standards. NEEA and NPCC commented that this lack of clarity seems to create a significant loophole. (NEEA and NPCC, No. 34 at p. 3) In addition to clearly defining the exempt cold temperature lamps, the CA IOUs asked DOE to revisit the market share and performance of these lamps to confirm that they do in fact justify an exemption. (CA IOUs, No. 32 at p. 12)

The exemption for cold temperature lamps is stated in the CFR as “Fluorescent lamps specifically designed for cold temperature applications.” Further the CFR provides a definition for “cold temperature fluorescent lamp” stated as follows:

Cold temperature fluorescent lamp

means a fluorescent lamp specifically designed to start at −20 °F when used with a ballast conforming to the requirements of American National Standards Institute (ANSI) C78.81 (incorporated by reference; see § 430.3) and ANSI C78.901 (incorporated by reference; see § 430.3), and is expressly designated as a cold temperature lamp both in markings on the lamp and in marketing materials, including catalogs, sales literature, and promotional material. 10 CFR 430.2

Cold weather starting is accomplished through both the lamp and ballast design. Product literature indicates that cold temperature fluorescent lamps paired with the appropriate ballast can be started at temperatures as low as -20 °F. Therefore, the existing definition, which includes the specific starting temperature and the requirement of being marketed and designed for cold temperature applications, is a sufficient description of fluorescent lamps designed to be operated in cold temperatures. Additionally, product offerings of cold temperature fluorescent lamps remain limited, indicating their specialty use. Hence, DOE is not proposing any further clarification for the exemption category of fluorescent lamps designed for cold temperature applications.

DOE did not receive any further comment on definitions considered in the preliminary analysis. In this NOPR, DOE is also considering providing a definition for 700 series fluorescent lamps. OHA has granted several manufacturers waivers from standards for their 700 series T8 products. (See section VI.D.2.a for further discussion regarding OHA waivers.) A definition for 700 series lamps would provide clarification regarding these lamp types.

The term “700 series” is widely used in industry when referring to fluorescent lamps with a CRI in the range of 70 to 79. The Illuminating Engineering Society of North America (IESNA) Lighting Handbook

presents fluorescent lamp nomenclature and states that color is represented by a three digit number (

i.e.,

735 or 835) beginning with the first digit of the lamp's CRI (

i.e.,

7 or 8) and followed by the first two digits of the lamp's correlated color temperature (CCT) (

e.g.,

30, 35, 41). DOE explained this nomenclature in chapter 3 of the 2009 Lamps Rule TSD,

stating that typically lamps with a CRI in the 60s use only less efficient halophosphors, while lamps with a CRI in the 70s (700 series phosphor) and in the 80s (800 series phosphor) use more efficient rare earth phosphors. The DOE test procedure at 10 CFR part 430, subpart B, appendix R requires CRI to be measured and reported to demonstrate compliance with standards. Thus, the measured CRI of a lamp is used to determine if the lamp qualifies as a 700 series lamp. Hence DOE is proposing to define 700 series fluorescent lamps to mean a fluorescent lamp with a CRI that is in the range of 70 to 79.

DiLaura, D. L., K. W. Houser, R. G. Mistrick, and G. R. Steffy.

Lighting Handbook: Reference and Application, 10th Edition.

New York: IESNA, 2011.

The 2009 Lamps Rule TSD is available at

www.regulations.gov/#!documentDetail;D=EERE-2006-STD-0131-0147

In this NOPR, DOE is proposing the definitions as previously specified in this section and in the preliminary analysis for “impact-resistant fluorescent lamps,” “reflectorized or aperture lamps,” “fluorescent lamps designed for use in reprographic equipment,” and “lamps primarily designed to produce radiation in the ultra-violet region of the spectrum.” DOE is also proposing a definition of “designed and marketed.” This definition is intended to apply to the use of these and similar terms (i.e., designated or labeled) in any

grammatical form or combination. In addition, DOE is proposing a definition for “700 series fluorescent lamp.”

B. General Service Fluorescent Lamp Scope of Coverage

1. Additional General Service Fluorescent Lamp Types

In this rulemaking, DOE evaluates energy efficiency standards for additional GSFLs beyond those for which standards have already been established. (42 U.S.C. 6295(i)(5)) Any additional GSFLs considered for coverage under standards must meet the definition of a fluorescent lamp in 42 U.S.C. 6291(30)(A); satisfy the majority of fluorescent lighting applications; not be within the exclusions specified in 42 U.S.C. 6291(30)(B); and not already be subject to energy conservation standards. 73 FR 13620, 13629 (March 13, 2008). For each additional GSFLs that meets these criteria, DOE then assesses whether standards could result in significant energy savings and are technologically feasible and economically justified. Standards for any applicable additional GSFLs are adopted based on the same criteria used to set new or amended standards for products pursuant to 42 U.S.C. 6295(o).

Using these criteria, DOE evaluated whether the following GSFL types warranted coverage under standards: (1) pin base compact fluorescent lamps (CFLs); (2) non-linear fluorescent lamps (

e.g.,

circline); and (3) fluorescent lamps with alternate lengths (

e.g.,

2-, 3-, and 5-foot lamps).

For pin base CFLs, DOE determined that these lamp types fall within the definition of “general service lamps,” which excludes GSFLs. (42 U.S.C. 6291(30)(BB)) Therefore, these lamp types cannot be considered under this rulemaking. DOE is evaluating these lamp types in the rulemaking for general service lamps. Documents related to this rulemaking can be found on regulations.gov, docket number EERE-2013-BT-STD-0051.

For non-linear fluorescent lamps, DOE considered circline fluorescent lamps, the primary shape not currently covered under standards. DOE used the miscellaneous category of fluorescent lamps reported by the 2010 LMC to determine market share and energy consumption of circline fluorescent lamps. This category included fluorescent lamps other than the T5, T8, T12 linear lamps, and T8 and T12 U-shaped lamps, and is therefore mainly comprised of circline lamps and lamps with unknown characteristics. The 2010 LMC reported this category made up 2.1 percent of lighting and consumed 4 TWh of electricity in 2010. Interviews with manufacturers also confirmed the low market share of these lamp types. Therefore, DOE tentatively concluded that coverage should not be expanded to non-linear fluorescent lamps as standards would not likely result in significant energy savings.

For linear lengths not already covered by standards, DOE focused on linear medium bipin (MBP) fluorescent lamps ranging from 1 to 6 feet, with the exception of the 4-foot MBP, which is already subject to standards. DOE's analysis showed that 5- and 6-foot lengths comprise a very low percentage of the linear MBP product offerings. For the T8

MBP lamps with lengths less than 4 feet, according to the 2010 LMC, these lamps comprised about 0.2 percent of all installed lighting and consumed 1 TWh of electricity in 2010. Feedback from manufacturers also indicated a low market share for these lamp types. Therefore, DOE tentatively concluded that coverage should not be expanded to linear fluorescents of lengths not covered by standards as standards would not likely result in significant energy savings.

The majority of T12 MBP lamps with lengths less than 4 feet do not comply with the July 2012 standards.

DOE received several comments on its assessment not to extend coverage to linear fluorescent lamps of lengths not already covered. In particular, several stakeholders asserted that the 2-foot linear fluorescent lamps comprised a market share that warranted coverage under standards. The CA IOUs urged DOE to reassess the 2-foot linear fluorescent lamp market share and recommended that they be included in the scope of coverage of this rulemaking. (CA IOUs, Public Meeting Transcript, No. 30 at pp. 32-33; CA IOUs, No. 32 at pp. 11-12) NEEA and NPCC advised that 2-foot linear fluorescent lamps be included under scope of coverage and in their own product class, if appropriate. (NEEA and NPCC, No. 34 at pp. 2-3) Specifically, the CA IOUs asserted that DOE should have considered the proportion of GSFL market share that these lamps represent and also included T12 lamps in its assessment, as these lamps would be covered by standards for 2-foot linear lamps. (CA IOUs, No. 32 at pp. 11-12)

In assessing whether additional GSFL types should be included under coverage of standards in the preliminary analysis, DOE evaluated the market share and energy consumption of the lamp type relative to the entire lighting market. DOE's analysis provided a comprehensive representation of the lamp type and the energy savings potential of standards for the lamp type. In the NOPR, DOE also evaluated market share relative to the entire fluorescent lamp market. Based on the 2010 LMC, T8 MBP lamps less than 4 feet comprised 0.7 percent of the fluorescent lamp market versus 0.2 percent of the entire lighting market. Therefore, the evaluation of these lamps relative to the fluorescent lamp market also indicates that 2-foot MBP linear lamps have a very low market share.

DOE excluded T12 lamps from this analysis to reflect future market trends. The 2011 final rule amending energy conservation standards for fluorescent lamp ballasts (hereafter the “2011 Ballast Rule”), which will require compliance on November 14, 2014, set standards difficult for T12 ballasts to meet.

76 FR 70548 (Nov. 14, 2011). Therefore, the market will likely shift away from T12 lamps. Additionally, historical shipments of most T12 lamps have been decreasing steadily and manufacturer feedback from interviews suggests that this trend will continue. Therefore, DOE focused on T8 lamps when evaluating the energy savings of additional GSFL types to include under coverage of standards.

The full text and all related documents of the 2011 Ballast Rule can be found on regulations.gov, docket number EERE-2007-BT-STD-0016 at

www.regulations.gov/#!docketDetail;D=EERE-2007-BT-STD-0016

The CA IOUs also asserted that in the 2010 LMC, T8 and T12 lamps less than 4 feet have GSFL market shares very similar to the market shares for three other product types currently subject to DOE standards: T8 lamps greater than 4 feet (1.4 percent of the linear fluorescent market), T8 U-shaped lamps (2 percent of the linear fluorescent market), and T12 U-shaped lamps (0.5 percent of the linear fluorescent market). (CA IOUs, No. 32 at pp. 11-12; NEEA and NPCC, No. 34 at pp. 2-3)

The standards for GSFL types cited by the CA IOUs, specifically, the 2-foot U-shaped lamps, 8-foot SP slimline lamps, and 8-foot recessed double contact (RDC) HO lamps, were established in EPAct 1992. (42 U.S.C. 6295(i)(1)) As noted, for this rulemaking, in determining whether additional GSFL types should be covered under standards pursuant to 42 U.S.C. 6295(i)(5) DOE considers several criteria. In particular, DOE assesses whether a potential standard for an additional GSFL type would result in significant energy savings. Therefore, DOE examined parameters such as market share and energy consumption of each lamp type under consideration relative to the fluorescent lighting

market. DOE believes that this evaluation of each potential additional GSFL provides the most useful indication of whether significant energy savings could be gained from regulation of the lamp type.

Stakeholders also cited data sources in addition to the 2010 LMC indicating that 2-foot linear lamps should be included under coverage of standards. The CA IOUs asserted that an anecdotal survey from their lighting audit teams suggest 2-foot linear lamps may be 5 to 10 percent of lamps installed in the CA IOUs' service territory, which is higher than suggested by the 2010 LMC. The CA IOUs also reported that the vast majority of commercial buildings in California have some two-by-two fixtures, and many of these have been retrofitted from U-shaped to 2-foot linear lamps within the last several years, indicating a growing trend toward 2-foot linear lamps over U-shaped lamps. (CA IOUs, Public Meeting Transcript, No. 30 at pp. 32-34; CA IOUs, No. 32 at pp. 11-12) NEEA and NPCC stated that they would submit field data to DOE and asserted that currently available data indicates 2-foot linear GSFLs make up a notably larger fraction of the market than the preliminary analysis suggests. (NEEA and NPCC, No. 34 at pp. 2-3)

The CA IOUs and NEEA and NPCC referred to a Navigant Consulting, Inc. (Navigant) study published in October 2012 that surveyed existing commercial and industrial building stock in Vermont, the

2011 Vermont Market Characterization and Assessment Study.

The raw data from the Navigant study, obtained in May 2013 from the state of Vermont by NEEP, shows that of more than 136,000 lamps surveyed, 2-foot lamps represented 6.3 percent of installed fluorescent lamps. This included 3.6 percent of high performance T8s, 9.3 percent of standard efficiency T8s, 3.9 percent of T12s, and 5.2 percent of T5s. Behind 4-foot lamps, 2-foot lamps were by far the most common lamp length in these sectors. The CA IOUs stated that 6.3 percent of fluorescent lamp sales represent a significant amount of energy and, as explained in previous comments submitted by the CA IOUs, 2-foot lamps are available in a wide range of efficacies. (CA IOUs, No. 32 at pp. 11-12; NEEA and NPCC, No. 34 at pp. 2-3)

Navigant Consulting, Inc.

2011 Vermont Market Characterization and Assessment Study.

October 2012. Available at

http://publicservice.vermont.gov/sites/psd/files/Topics/Energy_Efficiency/EVT_Performance_Eval/VT%20CI%20Existing%20Buildings%20Market%20Assessment%20and%20Characterization_2012-10-6_FINAL.pdf

NEMA, however, stated that the 2010 LMC showed a low market share

for these products, which does not justify standards for these lamps. (NEMA, No. 36 at p. 4) Edison Electric Institute (EEI) stated its belief that 2-foot linear lamps were mainly installed in task lighting applications. (EEI, Public Meeting Transcript, No. 30 at p. 34) GE advised that 2-foot linear lamps should not be included in the scope of this rulemaking. While installing these lamps may be customary in California, GE stated that they are not very common across the nation. Further, GE commented that DOE had received shipment data in preliminary manufacturer interviews that showed the sales of 2-foot straight lamps to be significantly less than the sales of 4-foot lamps. (GE, Public Meeting Transcript, No. 30 at pp. 35-36) ASAP requested DOE make the shipment data publicly available so stakeholders could determine the significance. (ASAP, Public Meeting Transcript, No. 30 at pp. 36-39)

DOE's assessment indicated that the T8 MBP lamps less than 4 feet comprised 0.2 percent of the entire lighting market. NEMA's written comment had incorrectly quoted this number as 0.02 percent.

DOE did not receive shipment data specifically for 2-foot linear lamps and based its assessment of market share and energy consumption provided in the 2010 LMC report and feedback received in manufacturer interviews. The anecdotal survey and the Vermont study cited by the CA IOUs are focused on very specific areas of the nation, while the 2010 LMC is the most recent assessment of installed stock and energy use of fluorescent lighting at the national level. The Vermont study collected primary data through on-site visits from a random selection of 120 commercial and industrial buildings in specific regions in Vermont. Therefore, DOE found the 2010 LMC provided a more comprehensive basis for its assessment. A comparison of the installed stock provided in the 2000 LMC report

and the 2010 LMC report shows that installed stock for both T8 and T12 lamps less than 4 feet has declined by about 50 percent over that 10-year period. DOE also received feedback from manufacturers in interviews stating that 2-foot linear lamps, both in the MBP and MiniBP categories, comprise a low market share that will either stay the same or decline. Further, manufacturers noted in interviews that the 2-foot linear lamps are generally used for kitchens, bathrooms, vanity lighting, hospitality applications, cabinets, and to round out edges of ceilings in commercial spaces.

U.S. Department of Energy.

U.S. Lighting Market Characterization Volume I: National Lighting Inventory and Energy Consumption Estimate.

September 2002. Available at

http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/lmc_vol1_final.pdf

Given the above, DOE finds insufficient evidence to indicate that the market share or energy consumption of 2-foot linear fluorescent lamps would result in significant energy savings if DOE established standards for these lamps. DOE is not proposing standards for any additional GSFL types that are not currently covered.

2. Additional General Service Fluorescent Lamp Wattages

DOE specifies a certain minimum wattage for each lamp type included in the definition of “fluorescent lamp.” In this rulemaking, DOE also evaluates whether coverage should be extended to additional wattages of these lamp types. (42 U.S.C. 6295(i)(5)) As part of this assessment, DOE reviewed product offerings for covered lamp types to determine if any new, lower wattage products had been introduced since publication of the 2009 Lamps Rule. DOE found the following reduced wattage lamps not covered under standards: 49 W, 50 W, 51 W 8-foot SP slimline, 25 W 4-foot T5 MiniBP standard output (SO), and 44 W, 47 W 4-foot T5 MiniBP HO lamps. DOE currently covers 8-foot SP slimline lamps with wattages of 52 W or more; 4-foot T5 MiniBP SO lamps with wattages of 26 W or more; and 4-foot T5 MiniBP HO lamps with wattages of 49 W or more. Therefore, in the preliminary analysis, DOE considered extending coverage to the following GSFLs:

• 8-foot SP slimline lamps with wattages ≥49 W and <52 W;

• 4-foot T5 MiniBP SO lamps with wattages ≥25 W and <26 W; and

• 4-foot T5 MiniBP HO lamps with wattages ≥44 W and <49 W.

These reduced wattage lamps are generally more efficacious than their full wattage counterparts and offer the potential for increased energy savings.

Philips commented that if a product is already highly efficacious, DOE does not need to consider standards for the product. (Philips, Public Meeting Transcript, No. 30 at pp. 44-45)

The emergence of these new reduced wattage lamps on the market since the 2009 Lamps Rule and the number of product offerings indicate that there is significant consumer demand for these lamps. Further, because reduced wattage lamps are often incentivized by utilities and promoted as an easy

pathway to energy savings, they are likely to increase in market share. DOE's review of product catalogs indicated that lamps with these wattages generally have a range of efficacies. The lower wattages of these lamps and their potential to achieve higher efficacies indicate that including these wattages under energy conservation standards have the potential to realize significant energy savings.

NEMA agreed with expanding the GSFL wattages covered by this rulemaking, but cautioned DOE that reduced wattage GSFLs are often “energy saver” models. These lamps do not have the same performance as full wattage GSFLs. Specifically, NEMA stated that reduced wattage GSFLs have difficulty operating in low-temperature applications and do not have full dimming functionality, a performance feature that is highly desired considering the proliferation of dimming systems. (NEMA, Public Meeting Transcript, No. 30 at pp. 23-24; NEMA, No. 36 at p. 4)

DOE acknowledges there are certain issues related to dimming associated with “energy saver” or reduced wattage lamps. Therefore, in this rulemaking, DOE has ensured that full wattage lamps can achieve the levels proposed for GSFLs. See section VI.D.2.g for further details on this issue.

C. Incandescent Reflector Lamp Scope of Coverage

1. Incandescent Reflector Lamp Types

In this rulemaking, DOE does not consider the following IRL types: (1) Lamps rated 50 W or less that are ER30, BR30, BR40, or ER40; (2) lamps rated 65 W that are BR30, BR40, or ER40 lamps; and (3) R20 IRLs rated 45 W or less. (42 U.S.C. 6295(i)(C)) These IRLs are the subject of a separate rulemaking on which further information can be found on regulations.gov under docket ID EERE-2010-BT-STD-0005 at

www.regulations.gov/#!docketDetail;D=EERE-2010-BT-STD-0005

. DOE has suspended activity on this rulemaking as a result of section 315 of Public Law (Pub. L.) 112-74 (Dec. 23, 2011), which prohibits DOE from using appropriated funds to implement or enforce standards for ER, BR, and bulged parabolic reflector IRLs.

2. Incandescent Reflector Lamp Wattages

In this rulemaking, DOE also does not consider IRLs with wattages lower than 40. EPCA defines an incandescent reflector lamp as a lamp that “has a rated wattage that is 40 watts or higher.” (42 U.S.C. 6291(30)(C), (C)(ii), and (F)) DOE received several comments on this lower limit on wattage for IRLs. EEI reported that highly efficacious 39 W halogen IRLs capable of replacing less efficacious 60 W IRLs are on the market. (EEI, Public Meeting Transcript, No. 30 at pp. 24-25) The CA IOUs considered the presence of commercially available 39 W lamps to suggest that DOE should extend the IRL wattage range covered. (CA IOUs, Public Meeting Transcript, No. 30 at p. 33) EEI also noted that the 39 W IRLs are close to covered lamps in efficacy and serve as replacements for IRLs of higher wattages, possibly increasing efficacy by 30 to 40 percent. (EEI, Public Meeting Transcript, No. 30 at pp. 34-35) The CA IOUs responded that in the California market there is a wide range of efficacy for the 39 W products. (CA IOUs, Public Meeting Transcript, No. 30 at p. 35)

GE stated that EPAct 1992 gave 40 W as the lower wattage limit for IRLs and that this limit is appropriate. GE asserted that there was no need to cover lower wattage IRLs as they use less energy, and a market shift to them would still fulfill the purpose of this rulemaking. (GE, Public Meeting Transcript, No. 30 at p. 36) ASAP questioned whether DOE had the authority to cover lower wattages if the 40 W limit was a statutorily defined scope. (ASAP, Public Meeting Transcript, No. 30 at p. 39) NEMA asserted that because the CFR stipulates coverage for 40 W IRLs and above, DOE does not have the authority to expand the scope to lower wattages. (NEMA, No. 36 at p. 2)

NEEA noted that if the 40 W limit was statutory, it is doubtful DOE would change it. However, NEEA found that a lower wattage limit is an increasingly less useful way to describe coverage as technologies shift. Additionally, NEEA noted that a wattage limit was not an appropriate qualifier for products subject to a lm/W standard that drives products to use fewer watts to deliver a certain lumen output, such as a 20 W IRL that has the same lumen output as a 60 W IRL. NEEA commented that it had seen a similar shift occur in the market for street lighting. (NEEA, Public Meeting Transcript, No. 30 at pp. 43-44)

As described by commenters, the 40 W limit is included in the EPCA definition of IRLs. (42 U.S.C. 6291(30)(C), (C)(ii), and (F)) Therefore, proposed standards in this notice apply only to covered IRLs 40 W or higher. Additionally, while the definition of IRLs does not provide an upper wattage limit, DOE did not assess covered IRLs higher than 205 W in this proposed rule. DOE research indicated that wattages greater than 205 W comprise a very small portion of the market and are typically designed for specialty uses, and therefore, do not represent significant energy savings.

D. Summary of Scope of Coverage

In conclusion, in this rulemaking DOE is proposing extending the scope of coverage for GSFLs to certain wattages but not additional GSFL types. Further, DOE is proposing clarifying certain exemptions noted under the definition of “general service fluorescent lamp.” DOE is not considering IRLs less than 40 W or greater than 205 W and is also not considering the following IRL types: (1) Lamps rated 50 W or less that are ER30, BR30, BR40, or ER40; (2) lamps rated 65 W that are BR30, BR40, or ER40 lamps; and (3) R20 IRLs rated 45 W or less.

VI. Methodology and Discussion

In the preliminary phase of this rulemaking, DOE conducted a market and technology assessment, screening analysis, engineering analysis, product price determination, energy-use characterization, LCC and PBP analyses, shipments analysis and NIA, as well as a preliminary MIA. These analyses were then updated and revised as appropriate based on feedback received for this NOPR. Further, in this NOPR DOE conducted an LCC subgroup analysis, a complete MIA, a utility impact assessment, an employment impact assessment, an emissions analysis, a determination of monetization of reduced emissions from proposed standard levels, and an RIA.

DOE used three spreadsheet tools to estimate the impact of standards proposed in this NOPR. The first spreadsheet calculates LCCs and payback periods of potential new energy conservation standards. The second provides shipments forecasts and then calculates NES and NPV impacts of potential new energy conservation standards. The Department also assessed manufacturer impacts, largely through use of the Government Regulatory Impact Model (GRIM).

DOE used a version of EIA's National Energy Modeling System (NEMS) for the utility and environmental analyses. The NEMS model simulates the energy sector of the U.S. economy. EIA uses NEMS to prepare its

AEO,

a widely known baseline energy forecast for the United States. The version of NEMS used for appliance standards analysis is called NEMS-BT

, and is based on the

AEO 2013

version 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 (2009), available at:

http://www.eia.gov/oiaf/aeo/overview/index.html.

NEEA and NPCC stated that analyses presented in the preliminary analysis phase need further development before stakeholders will be able to comment in depth. NEEA and NPCC also offered to provide DOE field data from 2012-2013 on lamp and fixture types from their Residential Building Stock Assessment (RBSA) and the survey data from their Commercial Building Stock Assessment (CBSA). (NEEA and NPCC, No. 34 at p. 6) NEEA and NPCC strongly support the comments provided by the CA IOUs for this rulemaking. (NEEA and NPCC, No. 34 at p. 2)

In the preliminary analyses, DOE assessed the products that are the subject of this rulemaking, as well as the achievable levels of efficiency and their impacts. As noted, DOE has updated these analyses with more recent data and, where appropriate, made adjustments based on comments received from stakeholders in the preliminary analysis phase. DOE will also consider any additional data submitted by commenters in response to the NOPR.

A. Market and Technology Assessment

In the energy conservation standards rulemaking process, DOE conducts a market and technology assessment to provide an overall picture of the market for products concerned. Based primarily on publicly available information, the analysis provides both qualitative and quantitative information. The market and technology assessment includes the major manufacturers, product classes, retail market trends, shipments of covered products, regulatory and non-regulatory programs, and technologies that could be used to improve the efficacy of GSFLs and IRLs. DOE identified several technology options after conducting this assessment for the preliminary analysis.

DOE received a general comment from NEMA on the market and technology assessment questioning why a rulemaking is justified given the lack of technological innovations and changes since the 2009 Lamps Rule, the steep decline in GSFL and IRL sales expected, as shown in DOE's projections, and the waivers still providing certain products a stay of enforcement from the July 2012 standards. (NEMA, No. 36 at p. 6)

As explained in II.A, EPCA directs DOE to complete a rulemaking that examines whether current GSFL and IRL standards should be amended and if so, amend them as appropriate based on its analysis. Further, in any rulemaking DOE must adopt standard levels that achieve the maximum energy savings that is technologically feasible (see chapter 3 of the NOPR TSD) and economically justified (see chapters 8 and 12 of the NOPR TSD). Additionally, as noted previously, DOE understands that OHA has granted numerous manufacturers 2-year waivers from standards for their 700 series T8 products that expire in 2014. Because standards from this rulemaking would become effective in 2017, DOE conducts its analysis assuming that the waivers will not be in place.

NEMA also added that whether there are any technological innovations that have happened since the 2009 Lamps Rule is a valid point of discussion, but each potential technology would have to be given the same level of rigor regarding whether it is a feasible pathway or not. (NEMA, Public Meeting Transcript, No. 30 at pp. 178-179) DOE examines the latest industry literature and patents, and receives feedback from manufacturers to develop viable technology options that can increase the efficacy of GSFLs and IRLs. The identified technology options are then subjected to rigorous screening criteria before they can be considered as design options in the engineering analysis (see section VI.B). For further details on the technology options and the screening process, see, respectively, chapters 3 and 4 of the NOPR TSD.

1. General Service Fluorescent Lamp Technology Options

DOE received comments specific to the GSFL technology options put forth in the preliminary analysis. Specifically, stakeholders provided feedback on higher efficiency lamp diameters, higher efficiency lamp fill gas composition, and higher efficiency phosphors.

Higher Efficiency Lamp Diameters

DOE considered more efficient lamp diameters as one of the technology options to increase GSFL efficacy in the preliminary analysis. This option is considered as there is an optimum design diameter for a specific fluorescent lamp type that can increase lamp efficacy.

NEMA stated that strictly speaking the reduction of lamp diameter does not necessarily increase efficacy and that T5 and T8 lamps are already at their optimum diameters. Further, NEMA and GE stated that the market has already shifted to the most efficient diameters. (NEMA, Public Meeting Transcript, No. 30 at pp. 73; NEMA, No. 36 at p. 5; GE, Public Meeting Transcript, No. 30 at pp. 71-72) While NEMA did not believe higher efficiency diameter should be retained as a technology option, NEMA and Philips requested additional clarifying information about DOE's underlying analysis of this option. (NEMA, No. 36 at p. 5; Philips, Public Meeting Transcript, No. 30 at p. 70)

In small diameter lamps, an increase in diameter decreases the number of electrons and mercury ion recombination at the bulb wall, increasing ultraviolet (UV) output and lamp efficacy. In large diameter lamps, this recombination may already be minimal and a further enlargement in diameter causes a greater imprisonment of radiation within the lamp, decreasing light output and efficacy. Therefore, DOE understands this technology option should be applied only in cases where there is a potential to optimize the lamp diameter in order to achieve higher lamp efficacy gain. Based on DOE's assessment there are less efficacious lamps on the market that can be improved by using a higher efficiency diameter. For example, standards-compliant T12 diameter product offerings remain in the 4-foot MBP and 8-foot SP slimline product classes. Therefore, DOE continues to consider higher efficiency lamp diameter as a technology option to increase the efficacy of GSFLs.

Higher Efficiency Lamp Fill Gas Composition

Higher efficiency lamp fill gas composition was another technology option identified in the preliminary analysis. Lamp fill gases in fluorescent lamps increase mobility of mercury ions and electrons, facilitating recombination and resulting in increased UV output and higher lamp efficacy. Gases with lower molecular weight, such as argon, generally result in higher lamp efficacy. Full wattage lamps generally use argon gas. Reduced wattage lamps use a mixture of krypton and argon. Krypton, while a higher molecular weight gas, lowers the wattage of the lamp, thereby resulting in a higher lamp efficacy. NEMA stated that GSFLs are already optimized for the tradeoff of argon and krypton mixes and further efficacy gains are not possible using krypton. (NEMA, No. 36 at p. 14)

Based on DOE's research and feedback from manufacturers in interviews, the type and ratios of fill gases remain a mechanism to increase

lamp efficacy. Because lamps are present on the market at more than one level of efficacy, DOE believes lamp fill gas is one option that can be utilized to improve the efficacy of less efficacious products. Therefore, DOE continues to consider higher efficiency lamp fill gas as a means to improve the efficacy of fluorescent lamps covered under this rulemaking.

Higher Efficiency Phosphors

DOE also identified higher efficiency phosphors as an option for increasing efficacy in GSFLs. The main purpose of phosphor in a fluorescent lamp is to absorb the UV radiation and reemit it as visible radiation. In particular, the lamp efficacy can be improved in this manner by using triband phosphors containing rare earth elements, which can greatly increase UV absorption and emission of radiation in the visible spectrum relative to other phosphors. In response to this technology option, NEMA stated that GSFLs are already optimized for rare earth phosphors. (NEMA, No. 36 at p. 14)

Based on DOE's research and feedback from manufacturers in interviews, the blend, weight, and thickness of rare earth phosphors in fluorescent lamps is a key element in increasing the lamp efficacy. Because lamps are present on the market at more than one level of efficacy, DOE believes higher efficiency phosphor is one option that can be utilized to improve the efficacy of less efficacious products. Therefore, DOE continues to consider higher efficiency phosphors as a means to improve the efficacy of fluorescent lamps covered under this rulemaking.

Summary of GSFL Technology Options

In summary, DOE has developed the list of technology options shown in Table VI.1 to increase efficacy of GSFLs.

Table VI.1—GSFL Technology Options in the NOPR Analysis

Name of technology option

Description

Highly Emissive Electrode Coatings

Improved electrode coatings allow electrons to be more easily removed from electrodes, reducing lamp power and increasing overall efficacy.

Higher Efficiency Lamp Fill Gas Composition

Fill gas compositions improve cathode thermionic emission or increase mobility of ions and electrons in the lamp plasma.

Higher Efficiency Phosphors

Phosphors increase the conversion of ultraviolet light into visible light.

Glass Coatings

Coatings on inside of bulb enable the phosphors to absorb more UV energy, so that they emit more visible light.

Higher Efficiency Lamp Diameter

Optimal lamp diameters improve lamp efficacy.

Multi-Photon Phosphors

Phosphors emit more than one visible photon for each incident UV photon.

2. Incandescent Reflector Lamp Technology Options

DOE received comments specific to the IRL technology options put forth by DOE in the preliminary analysis. Specifically, stakeholders provided feedback on efficient filament placement, higher efficiency inert fill gas, and integrally ballasted low voltage lamps.

Efficient Filament Placement

Efficient filament placement is one of the technology options presented in the preliminary analysis that can increase the efficacy of IRLs. An optimally placed filament allows a portion of the spectrum emitted by the filament to focus back onto it. The additional heat provided to the filament increases the operating temperature and thereby increases lamp efficacy.

NEMA disagreed that efficient filament placement should be considered a technology option for improving efficacy. NEMA commented that filament placement determines the beam spread of a lamp, which is considered a performance characteristic, not a degree of efficacy. If the filament placement were changed to make a lamp more efficacious, it would also change the beam spread, thereby altering a lamp's utility. (NEMA, Public Meeting Transcript, No. 30 at pp. 74-75) Understanding that efficient filament placement refers to the placement of the filament in an infrared (IR) capsule, the CA IOUs stated that filament placement impacts the amount of reflected radiation that hits the filament, which in turn impacts the amount of light emitted by the lamp. (CA IOUs, Public Meeting Transcript, No. 30 at p. 81-82) GE responded that filaments must be placed as close to the center of IR capsules as possible, and their placement has already been optimized. (GE, Public Meeting Transcript, No. 30 at pp. 82) Philips noted that manufacturers do not know how to place filaments any more precisely than they are now, although there is manufacturing variation. (Philips, Public Meeting Transcript, No. 30 at pp. 82-83)

DOE acknowledges that it is theoretically well understood where the filament should be placed to achieve higher efficacy in IRLs. Additionally, the above comments and feedback during manufacturer interviews indicate that lamps are being designed so that the filament is placed in the most optimal position. Therefore, because the optimal filament placement design has been identified and is being applied in all commercially available products, DOE proposes to not consider efficient filament placement as a technology option.

Higher Efficiency Inert Fill Gas

DOE presented high efficiency inert fill gas as another technology option to increase IRL efficacy in the preliminary analysis. Fill gases such as krypton and xenon have low thermal conductivity that decreases the convective cooling of the filament, allowing for higher temperature operation and therefore higher efficacy. These gas molecules are larger relative to other gases, and can more effectively slow down the evaporation of tungsten and thereby extend the life of the lamp. Xenon, having even lower heat conductivity and larger mass than krypton, can more drastically change efficacy and life, but has a higher cost. Most lamps compliant with the July 2012 standards use xenon as a fill gas.

NEEA and NPCC indicated that xenon fill gas should not be considered a technology option as it is already used in all, or nearly all, halogen-based technologies, including those at the lower end of the efficacy scale. Comparatively, there is an approximately 3 percent drop in efficacy when using a fill gas like krypton, and accordingly the market has clearly adopted xenon and uses it almost exclusively. (NEEA and NPCC, No. 34 at p. 2, 5) The CA IOUs also stated that their research indicated that most, if not all, commercially available parabolic aluminized reflector (PAR) lamps, including those that are lower efficacy products or minimally compliant with the 2009 Lamps Rule, are already using xenon as their fill gas. The CA IOUs, therefore, concluded that additional xenon would not be required to meet higher standards. (CA IOUs, No. 32 at pp. 9-10)

Based on feedback from manufacturer interviews, DOE confirmed that the majority of covered standards-compliant

IRLs are utilizing xenon. However, DOE also learned that the amount of xenon used in lamp can vary based on several factors. Because lamps are present on the market at more than one level of efficacy, higher efficiency inert fill gas is one option that can be utilized to improve the efficacy of less efficacious products. Therefore, DOE continues to consider high efficiency inert fill gas as a technology option.

Integrally Ballasted Low Voltage Lamps

DOE also considered integrally ballasted low voltage lamps as a technology option in the preliminary analysis. The use of an integral ballast in an incandescent lamp allows an increase in the efficacy because it converts the line voltage to lower lamp operating voltages, thereby reducing the lamp wattage.

NEMA stated that integrally ballasted low voltage lamps are not viable at high wattages, and the technology is expensive and rarely used. Therefore, NEMA asserted that this technology is for a niche product, and cannot be applied across the board. (NEMA, Public Meeting Transcript, No. 30 at p. 74-75; NEMA, No. 36 at p. 7)

While the technology is not appropriate for higher wattage products, the CA IOUs argued that it is still a valid design option for reduced wattage lamps. The CA IOUs explained that in halogen infrared reflector (HIR) lamps, making the filament a denser target increases the amount of radiation that is successfully reflected back to it, thereby increasing the lamp efficacy. At line voltage, a higher wattage halogen burner incorporates a relatively large diameter filament; however a lower wattage capsule must use a finer filament. For these low wattage lamps, reducing the line voltage to low voltage allows the use of a shorter, fatter filament, which is ideal for HIR technology. While a lamp greater than 50 W is suited for line voltage and may operate at too high of a temperature for an integral ballast, a lamp less than 50 W is better suited for low voltage operation and run at temperatures compatible with an integral transformer. Particularly, as halogen lamps are designed to be more efficacious, lower reduced wattage products will be more common; for this reason, the CA IOUs envisioned integrally ballasted low voltage halogen products to be the predominant design strategy for very high efficacy halogen products going forward. (CA IOUs, No. 32 at p. 9)

In interviews, manufacturers stated that the use of an integral ballast to lower voltage is not a feasible technology in higher wattage lamps due to issues with dissipating heat generated by the electronic components. Manufacturers indicated that heat dissipation becomes a problem at wattages ranging from 20 to 35 W. DOE research also indicated that in converting to a lower voltage, current is increased and greater heat generated from the filament. In higher wattage IRLs, the resulting increased temperature can be damaging to the voltage conversion circuitry. Further, based on manufacturer interviews there are no covered IRLs that currently utilize this technology option. Because the lower limit of IRL wattages covered under standards is 40 W, DOE is no longer considering integrally ballasted low voltage lamps as a technology option for improving lamp efficacy.

Higher Efficiency Burner

DOE did not consider a higher efficiency halogen burner as a technology option in the preliminary analysis. DOE acknowledged that use of a double-ended burner in an IRL can increase the efficacy compared to a single-ended burner. Further, because double-ended burners could not fit into small diameter IRLs (

i.e.,

diameters less than or equal to 2.5 inches), DOE applied a 3.5 percent reduction when scaling efficacy levels from large diameter lamps (

i.e.,

all diameters greater than 2.5 inches) that could utilize a double-ended burner to small diameter lamps. (For further discussion on IRL scaling factor see section VI.D.3.g and chapter 5 of the NOPR TSD.)

Based on further research and interviews with manufacturers, DOE confirmed in the NOPR analysis that a key aspect of higher efficiency IRLs is HIR technology. Because the type of burner utilized is an important component of an HIR lamp, in this NOPR analysis, DOE is considering higher efficiency burners as a technology option to increase IRL efficacy. Single-ended burners feature a lead wire inside of the capsule that carries current between the filament and the electrical connection in the base of the lamp. The presence of this wire inside of the capsule prevents a certain amount of energy from reaching the capsule wall and being reflected (recycled) back to the capsule filament. However, double-ended burners have a lead wire outside of the capsule that does not interfere with the reflectance of energy back to the filament, allowing for a more efficacious lamp. Hence, DOE is proposing higher efficiency burner as a technology option that can increase efficacy of IRLs.

Summary of IRL Technology Options

Of the IRL technology options presented in the preliminary analysis, DOE is no longer considering integrally ballasted low voltage lamps as a technology option. In addition to the IRL technology options identified in the preliminary analysis, DOE is proposing the inclusion of the higher efficiency burner as a technology option. In summary, in this NOPR analysis, DOE is proposing the IRL technology options listed in Table VI.2.

Table VI.2—IRL Technology Options in the NOPR Analysis

Name of technology option

Description

Higher Temperature Operation

Operating the filament at higher temperatures, the spectral output shifts to lower wavelengths, increasing its overlap with the eye sensitivity curve.

Microcavity Filaments

Texturing, surface perforations, microcavity holes with material fillings, increasing surface area and thereby light output.

Novel Filament Materials

More efficient filament alloys that have a high melting point, low vapor pressure, high strength, high ductility, or good radiating characteristics.

Thinner Filaments

Thinner filaments to increase operating temperature. This measure may shorten the operating life of the lamp.

Efficient Filament Coiling

Coiling the filament to increase surface area, thus increasing light output.

Crystallite Filament Coatings

Layers of micron or submicron crystallites deposited on the filament surface that increases emissivity of the filament.

Efficient Filament Orientation

Positioning (horizontal or vertical) the incandescent filament to increase light emission from the lamp. Vertical orientation, used by majority of lamps, allows for greater light emission.

Higher Efficiency Inert Fill Gas

Filling lamps with alternative gases, such as Krypton, to reduce heat conduction.

Higher Pressure Tungsten-Halogen Lamps

Increased halogen bulb capsule pressurization, allowing higher temperature operation.

Non-Tungsten-Halogen Regenerative Cycles

Novel filament materials that regenerate.

Infrared Glass Coatings

When used with a halogen capsule, this is referred to as a HIR lamp. Infrared coatings on the inside of the bulb to reflect some of the radiant energy back onto the filament.

IR Phosphor Glass Coatings

Phosphor coatings that can absorb IR radiation and re-emit it at shorter wavelengths (visible region of light), increasing the lumen output.

UV Phosphor Glass Coatings

Phosphor coatings that convert UV radiation into longer wavelengths (visible region of light), increasing the lumen output.

Electron Stimulated Luminescence

A low voltage cathodoluminescent phosphor that emits green light (visible region of light) upon impingement by thermally ejected electrons, increasing the lumen output.

Higher Efficiency Reflector Coatings

Alternative reflector coatings such as silver, with higher reflectivity increase the amount of directed light.

Corner Reflectors

Individual corner reflectors in the cover glass that reflect light directly back in the direction from which it came.

High Reflectance Filament Supports

Filament supports that include a reflective face that reflects light to another filament, the reflective face of another filament support, or radially outward.

Permanent Infrared Reflector Coating Shroud

Permanent shroud with an IR reflector coating and a removable and replaceable lamp can increase efficiency while reducing manufacturing costs by allowing IR reflector coatings to be reused.

Higher Efficiency Burners

A double-ended burner that features a lead wire outside of the capsule, where it does not interfere with the reflectance of energy from the capsule wall back to the capsule filament in HIR lamps.

B. Screening Analysis

After DOE identifies the technologies that improve the efficacy of GSFLs and IRLs, DOE conducts the screening analysis. The purpose of the screening analysis is to determine which options to consider further and which options to screen out. DOE consults with industry, technical experts, and other interested parties in developing a list of technology options. DOE then applies the following set of screening criteria to determine which options are unsuitable for further consideration in the rulemaking (10 CFR Part 430, subpart C, appendix A at 4(a)(4) and 5(b)):

•

Technological Feasibility:

DOE will consider technologies incorporated in commercially available products or in working prototypes to be technologically feasible.

•

Practicability to Manufacture, Install, and Service:

If mass production of a technology and reliable installation and servicing of the technology could be achieved on the scale necessary to serve the relevant market at the time the standard comes into effect, then DOE will consider that technology practicable to manufacture, install, and service.

•

Adverse Impacts on Product Utility or Product Availability:

If DOE determines a technology to have significant adverse impact on the utility of the product to significant subgroups of consumers, or to result in the unavailability of any covered product type with performance characteristics (including reliability), features, sizes, capacities, and volumes that are substantially the same as products generally available in the United States at the time, it will not further consider this technology.

•

Adverse Impacts on Health or Safety:

If DOE determines that a technology will have significant adverse impacts on health or safety, it will not further consider this technology.

Those technology options not screened out by the above four criteria are called “design options” and are considered as possible methods of improving efficacy in the engineering analysis. DOE received several comments on technology options not screened out and retained as design options in the preliminary analysis for GSFLs and IRLs.

1. General Service Fluorescent Lamp Design Options

In the preliminary analysis, of the GSFL technology options identified, DOE did not consider screening out higher efficiency lamp fill gas composition and glass coatings; however, DOE received several comments on these two design options. DOE did not receive any feedback on the other GSFL design options put forth in the preliminary analysis.

Higher Efficiency Lamp Fill Gas Composition

In the preliminary analysis, DOE determined that higher efficiency lamp fill gas composition met the screening criteria and considered it as a design option. As previously described, lamp fill gases such as argon increase mobility of mercury ions and electrons, facilitating recombination and thereby increasing UV output and resulting in higher lamp efficacy. Krypton is primarily used as a fill gas in reduced wattage lamps because it lowers lamp wattage, thereby resulting in higher lamp efficacy. NEMA noted that the resulting reduced wattage lamps have issues with cold temperature applications, striations, and dimmability due to the use of krypton and pointed out that these items are performance characteristics that should be considered in the screening analysis. NEMA encouraged DOE to explore the trade-offs to ensure the right balance is obtained. (NEMA, Public Meeting Transcript, No. 30 at pp. 78-79)

Based on previous manufacturer feedback, DOE is aware that the presence of krypton in reduced wattage lamps causes issues with lamp starting and striations in cold temperature applications below 60-65 °F. Feedback from manufacturers in interviews has also indicated that problems encountered with dimming linear fluorescent lamps, including lamp starting, striations, and dropout, are exacerbated by the use of krypton in reduced wattage lamps. Krypton, which lowers the wattage of a fluorescent lamp, is the primary fill gas used in reduced wattage fluorescent lamps. Based on feedback from manufacturers the use of any amount of krypton will result in dimming issues and increase with the amount of krypton.

Philips noted that issues with dimming reduced wattage lamps could also be related to the ballast as well as compatibility with the dimmer and lamp. Philips further noted that they had observed that a lamp-ballast system would dim successfully in one building but fail when put in a different building.

(Philips, Public Meeting Transcript, No. 30 at p. 225)

Despite the issues with dimming and operation in cold temperatures, DOE has determined that reduced wattage lamps using krypton can be found on the market in various wattages. Feedback from manufacturers in interviews also indicates that reduced wattage lamps comprise a significant portion of their GSFL shipments. Additionally, consumers have other options, as more reliable dimming can be attained using full wattage lamps and fluorescent lamps designed to be operated in cold temperature applications exist on the market.

Therefore, DOE has determined that higher efficiency lamp fill gas composition, specifically in the form of krypton, meets the criteria of being technologically feasible and practicable to manufacture as it is used in commercially available products. DOE has found no evidence to indicate it has adverse impacts on health and safety. Because DOE is considering standard levels that ensure the availability of both full and reduced wattage lamps, DOE has determined that the use of this technology does not have an adverse impact on product utility or availability. Therefore, DOE proposes to maintain higher efficiency lamp fill gas as a design option for GSFLs.

Glass Coatings

In the preliminary analysis, DOE determined that glass coatings met the screening criteria and considered them as a design option. To increase the UV absorption by the phosphors, the lamp glass can be covered with an antireflective coating. This coating is a refractory oxide, such as aluminum oxide (Al

), silicon oxide (SiO

), and titanium oxide (TiO

) that reflects any UV radiation that passes through the phosphor back onto the phosphor, allowing a greater portion of UV to be absorbed, thereby increasing light output and lamp efficacy. NEMA stated that glass coatings should be screened out as the techniques are not feasible, which is the reason they are not already widely used. (NEMA, No. 36 at p. 7; NEMA, Public Meeting Transcript, No. 30 at pp. 70)

DOE determined that most modern lamps utilize glass coatings that minimize the absorption of mercury and act as reflectors of UV radiation.

An undercoat layer, preferably composed of aluminum oxide and a getter material, reflects UV radiation that has passed through the luminescent material of the lamp back onto the material for increased visible light output and also reduces the contaminants in the lamp. A patent relevant to this technology notes that such undercoating is a common feature of modern fluorescent lamps.

DiLaura, D. L., K. W. Houser, R. G. Mistrick, and G. R. Steffy.

IESNA Lighting Handbook: Reference and Application, 10th Edition.

New York: IESNA, 2011.

Trushell, Charles and Liviu Magean.

Method of manufacturing a fluorescent lamp having getter on a UV reflective base coat.

U.S. Patent No. 7,500,896 B2, filed May 9, 2005, and issued Mar 10, 2009.

Because this technology option is being used in commercially available fluorescent lamps, DOE considers it to be practicable to manufacture. DOE is not aware of any evidence indicating that the technology has adversely impacted product utility or health and safety. Therefore, DOE proposes to maintain glass coatings as a design option for GSFLs.

In summary, in this NOPR analysis DOE is proposing as design options the following GSFL technologies that have met the screening criteria:

• Highly Emissive Electrode Coatings

• Higher Efficiency Lamp Fill Gas Composition

• Higher Efficiency Phosphors

• Glass Coatings

• Higher Efficiency Lamp Diameter

See chapter 4 of the NOPR TSD for further details on the GSFL screening analysis.

2. Incandescent Reflector Lamp Design Options

DOE did not receive any feedback on IRL design options put forth in the preliminary analysis.

Higher Efficiency Burners

As mentioned previously, in this NOPR analysis DOE is proposing the additional technology option of a higher efficiency burner as a means to improve IRL efficacy. DOE evaluated the higher efficiency burner technology against the screening criteria. DOE found that higher efficiency burners, such as the double-ended burner, are currently being utilized in commercially available lamps and have demonstrated that they are technologically feasible, practicable to manufacture, install, and service on a commercial scale by the compliance date of any amended standards, and do not result in adverse impacts on product utility or availability, or health and safety. DOE acknowledges that double-ended burners cannot be used in small diameter lamps without changing the physical shape of the lamp, which may impact whether the lamp can fit standard fixtures, and thereby affect product utility. Therefore, DOE is proposing higher efficiency burners as a design option only for IRLs with diameters greater than 2.5 inches.

In summary, in this NOPR analysis DOE is proposing as design options the following IRL technologies that have met the screening criteria:

• Higher Temperature Operation

• Thinner Filaments

• Efficient Filament Coiling

• Efficient Filament Orientation

• Higher Efficiency Inert Fill Gas

• Higher Pressure Tungsten-Halogen Lamps

• Infrared Glass Coatings

• Higher Efficiency Reflector Coatings (with the exception of gold reflector coatings)

• Higher Efficiency Burner

See chapter 4 of the NOPR TSD for further details on the IRL screening analysis.

C. Product Classes

DOE divides covered products into classes by: (a) The type of energy used; (b) the capacity of the product; or (c) other performance-related features that justify different standard levels, considering the consumer utility of the feature and other relevant factors. (42 U.S.C. 6295(q)) In a general comment, NEMA requested that DOE ensure CSLs do not potentially eliminate utility from the market. (NEMA, No. 36 at p. 20) As noted, when assessing factors for product class divisions, DOE considers consumer utility.

DOE received several comments regarding product classes considered in the preliminary analysis.

1. General Service Fluorescent Lamp Product Classes

In the preliminary analysis DOE considered product classes for GSFLs based on the following three factors: (1) CCT; (2) physical constraints of lamps (

i.e.,

lamp shape and length); and (3) lumen package. DOE received comments regarding the CCT product class division and a suggestion to establish a product class division based on a lamp's dimming functionality. DOE did not receive feedback on the other product class divisions put forth for GSFLs in the preliminary analysis.

CCT

In the preliminary analysis, DOE considered CCT, noted in degrees Kelvin (K), as a class setting factor, specifically, product classes for GSFLs with a CCT less than or equal to 4,500 K and a product class for GSFLs with a CCT greater than 4,500 K. NEEA and NPCC noted that while DOE stated that GSFLs with a CCT greater than 4,500 K show a decline in efficacy, DOE did not

state the degree of the decline of efficacy, whether it was consistent across manufacturers, or if the decline was inherent in the phosphor mixes required to produce the higher CCT values. NEEA and NPCC noted that they may support having a separate product class for these lamps, but that additional data is needed. (NEEA and NPCC, No. 34 at p. 3)

CCT is a measure of the perceived color of white light emitted from a lamp. The lower CCTs correspond to warm light and are in the red wavelengths while the higher CCTs correspond to cooler light and are in blue wavelengths. The human eye is less responsive to light in the blue wavelengths and therefore, efficacy decreases in lamps with higher CCTs. The phosphor blend used in a lamp substantially impacts the lamp's CCT. For example, the use of rare earth phosphors results in light emitted at wavelengths to which the human eye is most sensitive, thereby increasing the lamp efficacy. Therefore, different phosphor blends in lamps achieve different CCTs. (See chapter 3 of the NOPR TSD for further details on fluorescent lamp technology.)

DOE determined through analysis and confirmed with manufacturers that lamps with CCTs greater than 4,500 K start showing a decline in efficacy. Feedback from manufacturers varied regarding the exact efficacy reduction correlated with CCT and whether it was consistent across GSFL types. DOE's evaluation of catalog and compliance efficacies for similar lamp types at different CCTs for various manufacturers has shown that in general, there is a reduction in the range of 2-6 percent going from a CCT of 4,500 K or less to a CCT greater than 4,500 K. (See section VI.D.2.h and chapter 5 of the NOPR TSD for scaling to higher CCT product classes.)

Therefore, because consumers are afforded a different perception of light at different CCTs and efficacy is impacted with varying CCTs, DOE proposes to maintain CCT as a product class division factor. Specifically DOE is proposing to establish a product class of lamps with CCTs less than or equal to 4,500 K and a product class with CCTs greater than 4,500 K.

Dimming Utility

NEMA noted that DOE may not set standards that would eliminate full wattage GSFLs because the Secretary may not prescribe standards “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 at the time of the Secretary's finding.” (42 U.S.C. 6295(o)(4)) NEMA emphasized that as dimmability and uniformity of light (absence of flicker or striation) are all performance characteristics highly desirable in the marketplace, they must be maintained. (NEMA, No. 36 at p. 4) Further, NEMA stated that potential energy savings from dimming will be reduced or lost if DOE eliminates full wattage 32 W GSFLs from the market. (NEMA, No. 36 at p. 15) Lutron agreed that elimination of full wattage lamps that are argon-filled would also get rid of dimming. (Lutron, Public Meeting Transcript, No. 30 at pp. 25)

EEI noted that the increase of lighting controls requirements in building codes such as those put out by American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE) and International Energy Conservation Code (IECC) means that dimmability is a performance characteristic necessary for operation in commercial buildings. (EEI, Public Meeting Transcript, No. 30 at p. 79-80) The CA IOUs reiterated the importance of not eliminating dimming products from the market. They suggested that if there are two sets of products, one with dimming capability and one with higher efficacy, there may be grounds to create separate product classes so that covered products will comply with standards either by having higher efficacy or by dimming. (CA IOUs, Public Meeting Transcript, No. 30 at pp. 135)

DOE acknowledges that there are issues with dimming reduced wattage lamps that do not typically manifest in full wattage lamps. DOE is aware that unreliable dimming is in part due to the use of krypton as the fill gas in reduced wattage lamps as well as other factors. (See the discussion on higher efficiency lamp fill gas composition

in VI.A.1.) Therefore, DOE is ensuring that any proposed level can be met by full wattage lamps. Because the utility of dimming is being preserved in the existing product class structure and for the analyzed standard levels, DOE is not proposing fill gas that allows for reliable dimming as a product class setting factor. (See section VI.D.2.g and chapter 5 of the NOPR TSD for the GSFL engineering analysis.)

Summary of GSFL Product Classes

In this NOPR analysis, DOE is proposing the product classes for GSFLs summarized in Table VI.3. See chapter 3 of the NOPR TSD for further details on each GSFL product class.

Table VI.3—GSFL Product Classes in NOPR Anal

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