Energy Conservation Program: Energy Conservation Standards for General Service Lamps

Federal RegisterMar 17, 2016

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[Docket Number EERE-2013-BT-STD-0051]

RIN 1904-AD09

Energy Conservation Program: Energy Conservation Standards for General Service Lamps

AGENCY:

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

ACTION:

Notice of proposed rulemaking (NOPR) and announcement of public meeting.

SUMMARY:

The Energy Policy and Conservation Act of 1975 (EPCA), as amended, prescribes energy conservation standards for various consumer products and certain commercial and industrial equipment, including general service lamps (GSLs). EPCA also requires the U.S. Department of Energy (DOE) to periodically 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 GSLs, and also announces a public meeting to receive comment on these proposed standards and associated analyses and results.

DATES:

Meeting:

DOE will hold a public meeting on Wednesday, April 20, 2016, from 9:00 a.m. to 4:00 p.m., in Washington, DC. The meeting will also be broadcast as a webinar. See section VIII, “Public Participation,” for webinar registration information, participant instructions, and information about the capabilities available to webinar participants.

Comments:

DOE will accept comments, data, and information regarding this NOPR before and after the public meeting, but no later than May 16, 2016. See section VIII, “Public Participation,” for details.

Comments regarding the likely competitive impact of the proposed standard should be sent to the Department of Justice contact listed in the

ADDRESSES

section before April 18, 2016.

ADDRESSES:

The public meeting will be held at the U.S. Department of Energy, Forrestal Building, Room 6E-069, 1000 Independence Avenue SW., Washington, DC 20585. Any foreign national wishing to participate in the meeting should advise DOE as soon as possible by contacting

regina.washington@ee.doe.gov

to initiate the necessary procedures. Please also note that any person wishing to bring a laptop into the Forrestal Building will be required to obtain a property pass. Visitors should avoid bringing laptops, or allow an extra 45 minutes. Persons may also attend the public meeting via webinar.

Instructions:

Any comments submitted must identify the NOPR on Energy Conservation Standards for GSLs, and provide docket number EERE-2013-BT-STD-0051 and/or regulatory information number (RIN) 1904-AD09. Comments may be submitted using any of the following methods:

Federal eRulemaking Portal:

www.regulations.gov

. Follow the instructions for submitting comments.

Email:

GSL2013STD0051@ee.doe.gov

. Include the docket number and/or RIN in the subject line of the message. Submit electronic comments in WordPerfect, Microsoft Word, PDF, or ASCII file format, and avoid the use of special characters or any form of encryption.

Postal Mail:

Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Office, Mailstop EE-5B, 1000 Independence Avenue SW., Washington, DC 20585-0121. If possible, please submit all items on a compact disc (CD), in which case it is not necessary to include printed copies.

Hand Delivery/Courier:

Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Office, 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

EPCA requires the Attorney General to provide DOE a written determination of whether the proposed standard is likely to lessen competition. The U.S. Department of Justice Antitrust Division invites input from market participants and other interested persons with views on the likely competitive impact of the proposed standard. Interested persons may contact the Division at

energy.standards@usdoj.gov

before April 18, 2016. Please indicate in the “Subject” line of your email the title and Docket Number of this rulemaking notice.

No telefacsimilies (faxes) will be accepted. For detailed instructions on submitting comments and additional information on the rulemaking process, see section VIII 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

www.regulations.gov

. All documents in the docket are listed in the

www.regulations.gov

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

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

http://www1.eere.energy.gov/buildings/appliance_standards/rulemaking.aspx?ruleid=83

. This Web page contains a link to the docket for this notice on the

www.regulations.gov

site. The

www.regulations.gov

Web page contains simple instructions on how to access all documents, including public comments, in the docket. See section VIII, “Public Participation,” for further information on how to submit comments through

www.regulations.gov

FOR FURTHER INFORMATION CONTACT:

Ms. Lucy deButts, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Office, EE-5B, 1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: (202) 287-1604. Email:

gsl@ee.doe.gov

Ms. Celia Sher, U.S. Department of Energy, Office of the General Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: (202) 287-6122. Email:

celia.sher@hq.doe.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

SUPPLEMENTARY INFORMATION:

DOE intends to incorporate by reference the following industry standard into 10 CFR part 430:

Underwriter Laboratories 1598C-2014 (“UL 1598C”), Standard for Light-Emitting Diode Retrofit Luminaire Conversion Kits, First Edition, dated January 16, 2014.

Copies of Underwriter Laboratories' Standard for Light-Emitting Diode Retrofit Luminaire Conversion Kits are available from

http://

ulstandards.ul.com/standards-catalog/

or can be reviewed in person at U.S. Department of Energy, Building Technologies Program, 950 L'Enfant Plaza SW., Suite 600, Washington, DC 20024. See section VII.M for a further discussion of this standard.

Table of Contents

I. Synopsis of the Proposed Rule

A. Benefits and Costs to Consumers

B. Impact on Manufacturers

C. National Benefits and Costs

D. Conclusion

II. Introduction

A. Authority

B. Background

1. Current Standards

2. History of Standards Rulemaking for GSLs

III. General Discussion

A. Product Classes and Scope of Coverage

B. Test Procedure

1. Standby- and Off-Mode Energy Consumption

C. Technological Feasibility

1. General

2. Maximum Technologically Feasible Levels

D. Energy Savings

1. Determination of Savings

2. Significance of Savings

E. Economic Justification

1. Specific Criteria

a. Economic Impact on Manufacturers and Consumers

b. Savings in Operating Costs Compared to Increase in Price (LCC and PBP)

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 Scope of Coverage

A. Appropriations Rider

B. Clarification of General Service Lamp Definition

1. General Lighting Applications

2. Lamps Addressed in Other Rulemakings

3. High-Lumen Lamps (>2,600 Lumens)

4. Lamps Without an ANSI Base

5. Operating Voltage

6. Summary of GSL Interpretation

C. Definitions Supporting GSLs

1. General Service LED Lamps

2. Organic Light-Emitting Diode Lamps

3. Integrated Lamp and Non-integrated Lamp

4. Hybrid Lamps

5. Base Types

6. Light Fixture

7. LED Downlight Retrofit Kits

8. Summary of Definitions

D. Exempted Lamps

1. Exempted Lamp Types

a. Colored Lamp

b. Appliance Lamp

c. Black Light Lamp

d. Bug Lamp

e. Plant Light Lamp

f. Infrared Lamp

g. Sign Service Lamp

h. Showcase Lamp

i. Marine Signal Service Lamp, Mine Service Lamp, Silver Bowl Lamp, and Traffic Signal Lamp

j. Designed and Marketed

2. Non-Exempted Lamp Types

a. Reflector Lamp

b. Rough Service Lamp, Shatter-Resistant Lamp, and Vibration Service Lamp

c. Three-Way Lamp

d. Left-Hand Thread Lamp and Marine Lamp

e. Lamps of Specific Shapes

E. GSLs Under Consideration for Standards

1. Integrated Candelabra and Intermediate-Base Lamps

2. Pin Base Lamps

a. Non-Integrated Pin Base CFLs and LED Lamps

b. GU24 Base Lamps

c. MR16 Lamps

3. Organic Light-Emitting Diode Lamps

4. Summary of GSLs Under Consideration for Standards

F. Scope of Metrics

1. Existing MBCFL Metrics

a. Lumen Maintenance

b. Rapid Cycle Stress Testing

c. Lifetime

2. Additional MBCFL Metrics

a. Color Rendering Index

b. Power Factor

c. Start Time

d. Total Harmonic Distortion, Correlated Color Temperature, Operating Frequency

3. Additional Integrated LED Metric

4. Summary of Metrics

V. Methodology and Discussion of Related Comments

A. Market and Technology Assessment

1. Product Classes

a. Lamp Technology

b. Lamp Component Location

c. Lumen Package

d. Standby Mode

e. Covering

f. Lamp Spectrum

g. Summary of Proposed Product Classes

2. Technology Options

a. CFL Technology Options From the Preliminary Analysis

b. LED Lamp Technology Options From the Preliminary Analysis

c. Summary

B. Screening Analysis

1. CFL Technology Options Screened Out

a. Multi-Photon Phosphors

2. LED Technology Options Screened Out

a. AC LEDs

b. Quantum Dots

c. Improved Emitter Materials

3. Summary

C. Engineering Analysis

1. General Approach

2. Representative Product Classes

3. Baseline Lamps

a. Integrated Lamps

b. Non-Integrated Lamps

4. More Efficacious Substitutes

a. Integrated Lamps

b. Non-Integrated Lamps

5. Efficacy Levels

a. Integrated Lamps

b. Non-Integrated Lamps

6. Scaling to Other Product Classes

D. Product Price Determination

1. Price Weightings

2. CFL Prices in the Integrated Low-Lumen Product Class

3. LED Lamp Prices in the Integrated Low-Lumen Product Class

E. Energy Use Analysis

1. Operating Hours

a. Residential Sector

b. Commercial Sector

2. Input Power

3. Lighting Controls

F. Life-Cycle Cost and Payback Period Analysis

1. Product Cost

2. Installation Cost

3. Lumen Range Distribution

4. Electricity Prices

5. Electricity Price Trends

6. Product Lifetime

7. Residual Value

8. Disposal Cost

9. Discount Rates

10. Efficacy Distributions

11. LCC Savings Calculation

12. Payback Period Analysis

G. Shipments Analysis

1. Shipments Model

a. Lamp Demand Module

b. Price-Learning Module

c. Market-Share Module

2. Rare Earth Oxides

H. National Impact Analysis

1. National Energy Savings

a. Smart Lamps

2. Net Present Value Analysis

I. Consumer Subgroup Analysis

J. 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

4. Manufacturer Interviews

a. Testing Burden

b. Impacts of Technology-Neutral Standards

K. Emissions Analysis

L. Monetizing Carbon Dioxide and Other Emissions Impacts

1. Social Cost of Carbon

a. Monetizing Carbon Dioxide Emissions

b. Development of Social Cost of Carbon Values

c. Current Approach and Key Assumptions

2. Social Cost of Other Air Pollutants

M. Utility Impact Analysis

N. Employment Impact Analysis

VI. Analytical Results and Conclusions

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 Subgroups of Manufacturers

e. Cumulative Regulatory Burden

3. National Impact Analysis

a. Significance of Energy Savings

b. Net Present Value of Consumer Costs and Benefits

c. Indirect Impacts on Employment

4. Impact on Utility or Performance of Products

5. Impact of Any Lessening of Competition

6. Need of the Nation to Conserve Energy

7. Other Factors

8. Summary of National Economic Impacts

C. Conclusion

1. Benefits and Burdens of TSLs Considered for GSL Standards

2. Summary of Annualized Benefits and Costs of the Proposed Standards

VII. Procedural Issues and Regulatory Review

A. Review Under Executive Orders 12866 and 13563

B. Review Under the Regulatory Flexibility Act

1. Description on Estimated Number of Small Entities Regulated

2. Description and Estimate of Compliance Requirements

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

4. Significant Alternatives to the Rule

C. Review Under the Paperwork Reduction Act

D. Review Under the National Environmental Policy Act of 1969

E. Review Under Executive Order 13132

F. Review Under Executive Order 12988

G. Review Under the Unfunded Mandates Reform Act of 1995

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

I. Review Under Executive Order 12630

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

K. Review Under Executive Order 13211

L. Review Under the Information Quality Bulletin for Peer Review

M. Description of Materials Incorporated by Reference

VIII. 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

IX. Approval of the Office of the Secretary

I. Synopsis 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.

These products include general service lamps (GSLs), the subject of this document.

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

All references to EPCA in this document refer to the statute as amended through the the Energy Efficiency Improvement Act of 2015, Public Law 114-11 (Apr. 30, 2015).

Pursuant to EPCA, any new or amended energy conservation standard 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)) EPCA also provides that not later than 6 years after issuance of any final rule establishing or amending a standard, DOE must publish either a notice of determination that standards for the product do not need to be amended, or a notice of proposed rulemaking (NOPR) including new proposed energy conservation standards. (42 U.S.C. 6295(m)(1))

In accordance with these and other statutory provisions discussed in this document, DOE proposes new and amended energy conservation standards for GSLs. The proposed standards, which are expressed in minimum lumen (lm) output per watt (W) of a lamp, are shown in Table I-1. These proposed standards, if adopted, would apply to all GSLs listed in Table I-1 and manufactured in, or imported into, the United States on and after the date three years after the publication of the final rule for this rulemaking. Table I-1 shows the efficacy levels proposed for the Integrated Low-Lumen, Integrated Low-Lumen Standby-Mode Functionality, Integrated High-Lumen, Integrated High-Lumen Standby-Mode Functionality, and Non-Integrated product classes.

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

Product class

Trial standard level

DOE

proposed

efficacy

level

Efficacy * (lm/W)

No standby mode

Capable of operating in standby mode

Integrated ** Low-Lumen (310 ≤ Initial Lumen Output <2,000)

TSL 3

EL 3

101.6−29.42 * 0.9983^Initial Lumen Output

96.0−29.42 * 0.9983^Initial Lumen Output.

Integrated ** High-Lumen (2,000 ≤ Initial Lumen Output ≤2,600)

TSL 3

EL 2

73.4−29.42 * 0.9983^Initial Lumen Output

70.5−29.42 * 0.9983^Initial Lumen Output.

Non-Integrated † (310 ≤ Initial Lumen Output ≤2,600 lumens)

TSL 3

EL 0

N/A

N/A.

* See chapter 5 of the NOPR technical support document for plots of the efficacy curves.

** Integrated lamp means a lamp that contains all components necessary for the starting and stable operation of the lamp, does not include any replaceable or interchangeable parts, and is connected directly to a branch circuit through an ANSI base and corresponding ANSI standard lamp-holder (socket).

† Non-integrated lamp means a lamp that is not an integrated lamp.

A. Benefits and Costs to Consumers

Table I-2 presents DOE's evaluation of the economic impacts of the proposed standards on consumers of GSLs, as measured by the average life-cycle cost (LCC) savings and the simple payback period (PBP).

The average LCC savings are positive for all product classes at all TSL levels analyzed.

The average LCC savings are measured relative to the efficacy distribution in the no-new-standards case, which depicts the market in the compliance year in the absence of standards (see section IV.F.9). The simple PBP, which is designed to compare specific ELs, is measured relative to the baseline model (see section IV.C.1.a).

Table I-2—Impacts of Proposed Energy Conservation Standards on Consumers of General Service Lamps (TSL 3)

Product class

Average LCC savings

(2014$)

Simple

payback

period

(years)

Residential Sector

Integrated Low-Lumen

0.75

2.14

Integrated High-Lumen

0.96

3.86

Commercial Sector

Integrated Low-Lumen

1.32

0.70

Integrated High-Lumen

2.02

1.23

Non-Integrated

—

DOE's analysis of the impacts of the proposed standards on consumers is described in section V.F of this proposed rule.

B. Impact on Manufacturers

The industry net present value (INPV) is the sum of the discounted cash flows to the industry from the reference year through the end of the analysis period (2015 to 2049). Using a real discount rate of 6.1 percent, DOE estimates that the INPV for manufacturers of GSLs in the case without new and amended standards is $911.0 million in 2014$. Under the proposed standards, DOE expects that manufacturers may lose up to 24.3 percent of this INPV, which is approximately $221.0 million. Additionally, based on DOE's interviews with the manufacturers of GSLs, DOE does not expect significant impacts on manufacturing capacity or loss of employment for the industry as a whole to result from the proposed standards for GSLs.

DOE's analysis of the impacts of the proposed standards on manufacturers is described in section V.J of this document.

C. National Benefits and Costs

All monetary values in this section are expressed in 2014 dollars and, where appropriate, are discounted to 2015 unless explicitly stated otherwise. Energy savings in this section refer to the full-fuel-cycle savings (see section IV.H for discussion).

DOE's analyses indicate that the proposed energy conservation standards for GSLs would save a significant amount of energy. Relative to the case where no new or amended energy conservation standard is set (hereinafter referred to as the “no-new-standards case”), the lifetime energy savings for GSLs purchased in the 30-year period that begins in the anticipated year of compliance with the new or amended standards (2020-2049) amount to 0.85 quadrillion Btu (quads).

This represents a savings of 16 percent relative to the energy use of these products in the no-new-standards case.

A quad is equal to 10

British thermal units (Btu). The quantity refers to full-fuel-cycle (FFC) energy savings. FFC energy savings 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. For more information on the FFC metric, see section V.H.1.

The cumulative net present value (NPV) of total consumer costs and savings of the proposed standards for GSLs ranges from $4.4 billion (at a 7-percent discount rate) to $9.1 billion (at a 3-percent discount rate). This NPV expresses the estimated total value of future operating-cost savings minus the estimated increased product and installation costs (only for the commercial sector) for GSLs purchased in 2020-2049.

In addition, the proposed standards for GSLs would have significant environmental benefits. DOE estimates that the proposed standards would result in cumulative emission reductions (over the same period as for energy savings) of 52 million metric tons (Mt)

of carbon dioxide (CO

), 31 thousand tons of sulfur dioxide (SO

), 91.5 thousand tons of nitrogen oxides (NO

), 215 thousand tons of methane (CH

), 0.64 thousand tons of nitrous oxide (N

O), and 0.11 tons of mercury (Hg).

The cumulative reduction in CO

emissions through 2030 amounts to 14.5 Mt, which is equivalent to the emissions resulting from the annual electricity use of 1.3 million homes.

A metric ton is equivalent to 1.1 short tons. Results for emissions other than CO

are presented in short tons.

DOE calculated emissions reductions relative to the no-new-standards case, which reflects key assumptions in the

Annual Energy Outlook 2015

(

AEO 2015

) Reference case.

AEO 2015

generally represents current legislation and environmental regulations for which implementing regulations were available as of October 31, 2014.

The value of the CO

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

(otherwise known as the social cost of carbon, or SCC) developed by a recent federal interagency process.

The derivation of the SCC values is discussed in section V.L. Using discount rates appropriate for each set of SCC values (see Table I-3), DOE estimates the present monetary value of the CO

emissions reduction (not including CO

equivalent emissions of other gases with global warming potential) is between $0.362 billion and $5 billion, with a value of $1.6 billion using the central SCC case represented by $40.0/t in 2015. DOE also estimates the present monetary value of the NO

emissions reduction to be $0.1 billion at a 7-percent discount rate and $0.3 billion at a 3-percent discount rate.

Technical Update of the Social Cost of Carbon for Regulatory Impact Analysis Under Executive Order 12866,

Interagency Working Group on Social Cost of Carbon, United States Government (May 2013; May 2013; revised July 2015) (Available at:

https://www.whitehouse.gov/sites/default/files/omb/inforeg/scc-tsd-final-july-2015.pdf

DOE estimated the monetized value of NO

emissions reductions using benefit per ton estimates from the Regulatory Impact Analysis titled, “Proposed Carbon Pollution Guidelines for Existing Power Plants and Emission Standards for Modified and Reconstructed Power Plants,” published in June 2014 by EPA's Office of Air Quality Planning and Standards. (Available at:

http://www3.epa.gov/ttnecas1/regdata/RIAs/111dproposalRIAfinal0602.pdf

.) See section V.L.2 for further discussion. Note that the agency is presenting a national benefit-per-ton estimate for particulate matter emitted from the Electricity Generating Unit sector based on an estimate of premature mortality derived from the ACS study (Krewski et al., 2009). If the benefit-per-ton estimates were based on the Six Cities study (Lepuele et al., 2011), the values would be nearly two-and-a-half times larger. Because of the sensitivity of the benefit-per-ton estimate to the geographical considerations of sources and receptors of emissions, DOE intends to investigate refinements to the agency's current approach of one national estimate by assessing the regional

approach taken by EPA's Regulatory Impact Analysis for the Clean Power Plan Final Rule. Note that DOE is currently investigating valuation of avoided SO

and Hg emissions.

Table I-3 summarizes the national economic benefits and costs expected to result from the proposed standards for GSLs.

Table I-3—Summary of National Economic Benefits and Costs of Proposed Energy Conservation Standards for General Service Lamps (TSL 3) *

Category

Present value

(Billion 2014$)

Discount rate

(%)

Benefits

Consumer Operating-Cost Savings

3.5

7.6

Reduction Monetized Value ($12.2/t case) **

0.4

Reduction Monetized Value ($40.0/t case) **

1.6

Reduction Monetized Value ($62.3/t case) **

2.6

2.5

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

5.0

Reduction Monetized Value †

0.1

0.3

Total Benefits ††

5.3

9.6

Costs

Consumer Incremental Installed Costs ‡

−0.9

−1.4

Total Net Benefits

Including CO

and NO

Reduction Monetized Value ††

6.2

11.0

* This table presents the costs and benefits associated with GSLs shipped in 2020-2049. These results include benefits to consumers which accrue after 2049 from the products purchased in 2020-2049. The costs 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

values represent global monetized values of the SCC, in 2014$, in 2015 under several scenarios of the updated SCC values. The first three cases use the averages of SCC distributions calculated using 5-percent, 3-percent, and 2.5-percent discount rates, respectively. The fourth case represents the 95th percentile of the SCC distribution calculated using a 3-percent discount rate. The SCC time series incorporate an escalation factor. The value for NO

is the average of high and low values found in the literature.

† The $/ton values used for NO

are described in section V.L. DOE estimated the monetized value of NO

http://www3.epa.gov/ttnecas1/regdata/RIAs/111dproposalRIAfinal0602.pdf.)

See section V.L.2 for further discussion. Note that the agency is presenting a national benefit-per-ton estimate for particulate matter emitted from the Electric Generating Unit sector based on an estimate of premature mortality derived from the ACS study (Krewski et al., 2009). If the benefit-per-ton estimates were based on the Six Cities study (Lepuele et al., 2011), the values would be nearly two-and-a-half times larger. Because of the sensitivity of the benefit-per-ton estimate to the geographical considerations of sources and receptors of emissions, DOE intends to investigate refinements to the agency's current approach of one national estimate by assessing the regional approach taken by EPA's Regulatory Impact Analysis for the Clean Power Plan Final Rule.

†† 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 ($40.0/t case).

‡ This reduction in product costs occurs because (1) more efficacious lamps have longer average lifetimes than less efficacious lamps, resulting in fewer replacement purchases, (2) the purchase price of more efficacious LED lamps is lower than the price of less efficacious LED lamps, and (3) the purchase price of LED lamps declines faster than the price of CFLs during the analysis period, resulting in LED lamps becoming less expensive than CFLs.

The benefits and costs of the proposed standards, for GSLs sold in 2020-2049, can also be expressed in terms of annualized values. The monetary values for the total annualized net benefits are the sum of: (1) The national economic value of the benefits in reduced operating costs, minus (2) the increase in product purchase prices and installation costs, plus (3) the value of the benefits of CO

and NO

emission reductions, all annualized.

To convert the time-series of costs and benefits into annualized values, DOE calculated a present value in 2015, the year used for discounting the NPV of total consumer costs and savings. For the benefits, DOE calculated a present value associated with each year's shipments in the year in which the shipments occur (

e.g.,

2020 or 2030), and then discounted the present value from each year to 2015. The calculation uses discount rates of 3 and 7 percent for all costs and benefits except for the value of CO

reductions, for which DOE used case-specific discount rates, as shown in Table I-3. Using the present value, DOE then calculated the fixed annual payment over a 30-year period, starting in the compliance year, that yields the same present value.

Although DOE believes that the values of operating-cost savings and CO

emission reductions are both important, two issues are relevant. First, the national operating savings are domestic U.S. consumer monetary savings that occur as a result of market transactions, whereas 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 GSLs shipped in 2020-2049. Because CO

emissions have a very long residence time in the atmosphere,

the SCC values in future years reflect future CO

-emissions impacts that continue beyond 2100.

The atmospheric lifetime of CO

is estimated of the order of 30-95 years. Jacobson, MZ (2005), “Correction to `Control of fossil-fuel particulate black carbon and organic matter, possibly the most effective method of slowing global warming,' ”

J. Geophys. Res.

110. pp. D14105.

Estimates of annualized benefits and costs of the proposed standards are

shown in Table I-4. 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 has a value of $40.0/t in 2015),

the estimated cost of the standards proposed in this rule is $−93 million per year in increased equipment costs, while the estimated annual benefits are $373 million in reduced equipment operating costs, $95 million in CO

reductions, and $13.6 million in reduced NO

emissions. In this case, the net benefit amounts to $574 million per year. Using a 3-percent discount rate for all benefits and costs and the average SCC series that has a value of $40.0/t in 2015, the estimated cost of the proposed standards is $−82 million per year in increased equipment costs, while the estimated annual benefits are $438 million in reduced operating costs, $95 million in CO

reductions, and $17.2 million in reduced NO

emissions. In this case, the net benefit amounts to $632 million per year.

DOE used a 3-percent discount rate because the SCC values for the series used in the calculation were derived using a 3-percent discount rate (see section V.L.).

Table I-4—Annualized Benefits and Costs of Proposed Energy Conservation Standards for General Service Lamps (TSL 3)

Discount rate

(Million 2014$/year)

Primary

estimate *

Low net benefits

estimate *

High net benefits

estimate *

Benefits

Consumer Operating-Cost Savings

373

334

404.

438

386

481.

Reduction Value ($12.2/t case) **

31.

Reduction Value ($40.0/t case) **

101.

Reduction Value ($62.3/t case) **

2.5%

138

125

148.

Reduction Value ($117/t case) **

287

262

308.

Reduction Monetized Value†

13.6

12.6

32.2.

17.2

15.8

41.1.

Total Benefits ††

7% plus CO

range

415 to 674

373 to 608

467 to 744.

481

433

537.

3% plus CO

range

483 to 742

428 to 663

552 to 829.

549

488

623.

Costs

Consumer Incremental Installed Product Costs ‡

−93

−81

−105.

−82

−70

−95.

Net Benefits

Total ††

7% plus CO

range

508 to 767

453 to 689

571 to 849.

574

513

642.

3% plus CO

range

566 to 824

498 to 733

647 to 924.

632

558

718.

* This table presents the annualized costs and benefits associated with GSLs shipped in 2020-2049. These results include benefits to consumers which accrue after 2049 from the products purchased in 2020-2049. 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 estimate assumes the reference case electricity prices and floorspace growth projections from the

Annual Energy Outlook (AEO) 2015

and decreasing product prices for both compact fluorescent lamps (CFLs) and LED GSLs, due to price learning. The Low Benefits Estimate uses the Low Economic Growth electricity prices and floorspace growth from

AEO 2015

and a faster decrease in product prices for LED GSLs. The High Benefits Estimate uses the High Economic Growth electricity prices and floorspace growth from

AEO 2015

and a slower decrease in product prices for LED GSLs. The methods used to derive projected price trends are explained in section V.G.1.b.

** The CO

† The $/ton values used for NO

are described in section V.L. DOE estimated the monetized value of NO

http://www3.epa.gov/ttnecas1/regdata/RIAs/111dproposalRIAfinal0602.pdf

.) See section V.L.2 for further discussion. For DOE's Primary Estimate and Low Net Benefits Estimate, the agency is presenting a national benefit-per-ton estimate for particulate matter emitted from the Electric Generating Unit sector based on an estimate of premature mortality derived from the ACS study (Krewski et al., 2009). For DOE's High Net Benefits Estimate, the benefit-per-ton estimates were based on the Six Cities study (Lepuele et al., 2011), which are nearly two-and-a-half times larger than those from the ACS study. Because of the sensitivity of the benefit-per-ton estimate to the geographical considerations of sources and receptors of emission, DOE intends to investigate refinements to the agency's current approach of one national estimate by assessing the regional approach taken by EPA's Regulatory Impact Analysis for the Clean Power Plan Final Rule.

†† Total Benefits for both the 3-percent and 7-percent cases are derived using the series corresponding to the average SCC with a 3-percent discount rate ($40.0/t case). 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.

DOE's analysis of the national impacts of the proposed standards is described in sections V.H, V.J.1 and V.L of this NOPR. In addition to the national impacts described previously in this section, lamps that meet the expanded GSL definition proposed in this rulemaking would be subject to the 45 lm/W efficacy level starting in 2020 as specified by the EISA 2007 backstop provision. It is estimated that the impact of the EISA 2007 backstop on such lamps, excluding those included in the scope of coverage of this rulemaking, would bring about energy savings of approximately 3 quads for lamps sold in 2020-2049 and a carbon reduction of approximately 200 million metric tons by 2030.

Meyers, S., A. Williams, P. Chan, and S. Price.

Energy and Economic Impacts of U.S. Federal Energy and Water Conservation Standards Adopted From 1987 Through 2014.

2015. Lawrence Berkeley National Laboratory: Berkeley, CA. Report No. LBNL-6964E. (Last accessed January 20, 2016.)

http://eetd.lbl.gov/sites/all/files/lbnl-6964e.pdf.

D. Conclusion

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 for all product classes covered by this proposal. 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).

DOE also considered more-stringent and less-stringent energy efficacy levels as potential standards, and is still considering them in this rulemaking. However, DOE has tentatively concluded that the potential burdens of the more-stringent energy efficacy levels would outweigh the projected benefits. 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 efficacy levels presented in this notice that are either higher or lower than 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 this proposed rule, as well as some of the relevant historical background related to the establishment of standards for GSLs.

A. Authority

Title III, Part B of EPCA established the Energy Conservation Program for Consumer Products Other Than Automobiles, a program covering most major household appliances.

Subsequent amendments expanded Title III of EPCA to include additional consumer products, including GSLs—the products that are the focus of this NOPR. In particular, amendments to EPCA in the Energy Independence and Security Act of 2007 (EISA) directed DOE to conduct two rulemaking cycles to evaluate energy conservation standards for GSLs. (42 U.S.C. 6295(i)(6)(A)-(B))

Part B was re-designated Part A on codification in the U.S. Code for editorial reasons.

For the first rulemaking cycle, EPCA, as amended by EISA, directs DOE to initiate a rulemaking no later than January 1, 2014, to evaluate standards for GSLs and determine whether exemptions for certain incandescent lamps should be maintained or discontinued. (42 U.S.C. 6295(i)(6)(A)(i)) The scope of the rulemaking is not limited to incandescent lamp technologies. (42 U.S.C. 6295(i)(6)(A)(ii)) Further, for this first cycle of rulemaking, the EISA amendments provide that DOE must consider a minimum standard of 45 lumens per watt (lm/W). (42 U.S.C. 6295(i)(6)(A)(ii)) If DOE fails to meet the requirements of 42 U.S.C. 6295(i)(6)(A)(i)-(iv) or the final rule from the first rulemaking cycle does not produce savings greater than or equal to the savings from a minimum efficacy standard of 45 lm/W, sales of GSLs that do not meet the minimum 45 lm/W standard beginning on January 1, 2020, will be prohibited. (42 U.S.C. 6295(i)(6)(A)(v))

The EISA-prescribed amendments further directed DOE to initiate a second rulemaking cycle by January 1, 2020, to determine whether standards in effect for general service incandescent lamps (GSILs) should be amended with more-stringent requirements and if the exemptions for certain incandescent lamps should be maintained or discontinued. (42 U.S.C. 6295(i)(6)(B)(i)) For this second review of energy conservation standards, the scope is not limited to incandescent lamp technologies. (42 U.S.C. 6295(i)(6)(B)(ii))

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. 6295(o)(3)(A) and (r)) 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. (42 U.S.C. 6295(s)) The DOE test procedures for GSILs are set forth at title 10 of the Code of Federal Regulations (CFR), part 430, subpart B, appendix R, and test procedures for medium base compact fluorescent lamps (MBCFLs) are set forth at 10 CFR part 430, subpart B, appendix W. The term GSL includes these lamps and others including, compact fluorescent lamps (CFLs), general service light-emitting diode (LED) lamps, organic light-emitting diode (OLED) lamps, and any other lamps that the Secretary determines are used to satisfy lighting applications traditionally served by GSILs. 10 CFR 430.2 DOE has initiated test procedures for integrated LED lamps and compact fluorescent lamps, which includes integrated and non-integrated CFLs. EPCA sets forth generally applicable criteria and procedures for DOE's adoption and amendment of test procedures. (42 U.S.C. 6293)

DOE must follow specific statutory criteria for prescribing new or amended standards for covered products, including GSLs. Any new or amended standard for a covered product must be designed to achieve the maximum improvement in energy efficiency that is technologically feasible and economically justified. (42 U.S.C. 6295(o)(2)(A) and (3)(B)) 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 GSLs, if no test procedure has been established for the product, or (2) if DOE determines by rule that the 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 statutory 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 standard;

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

(4) Any lessening of the utility or the performance of the covered products likely to result from 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 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))

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. (42 U.S.C. 6295(o)(2)(B)(iii))

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 in any covered product type (or class) of performance characteristics (including reliability), features, sizes, capacities, and volumes that are substantially the same as those generally available in the United States. (42 U.S.C. 6295(o)(4))

Additionally, 42 U.S.C. 6295(q)(1) specifies requirements when promulgating an energy conservation standard for a covered product that has two or more subcategories. DOE must specify a different standard level for a type or class of product that has 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. 6295(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)).

Finally, pursuant to the amendments contained in EISA 2007, any final rule for new or amended energy conservation standards promulgated after July 1, 2010, is required to address standby-mode and off-mode energy use. (42 U.S.C. 6295(gg)(3)) Specifically, when DOE adopts a standard for a covered product after that date, it must, if justified by the criteria for adoption of standards under EPCA (42 U.S.C. 6295(o)), incorporate standby-mode and off-mode energy use into a single 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 determined that it is not possible for GSLs included in the scope of this rulemaking to meet the off-mode criteria because there is no condition in which a GSL connected to main power is not already in a mode accounted for in either active or standby mode. DOE notes the existence of a small number of commercially available GSLs that operate in standby mode. DOE discusses GSLs that operate in standby mode in further detail in sections III.B.1 and V.A.1. DOE's test procedures under development for LED lamps and CFLs address standby mode energy use. In this rulemaking, DOE intends to incorporate such energy use into any amended energy conservation standards it adopts in the final rule.

The Natural Resource Defense Council, Appliance Standards Awareness Project, American Council for an Energy-Efficient Economy, Alliance to Save Energy, Consumer Federation of America, National Consumer Law Center, Northeast Energy Efficiency Partnerships, Northwest Energy Efficiency Alliance, and Northwest Power and Conservation Council (hereafter the “Energy Efficiency Advocates” or the “EEAs”) jointly commented that initial test results by DOE's Commercially Available LED Product Evaluation and Reporting (CALiPER) testing program showed instances where manufacturers were exaggerating equivalency claims when making comparisons between more efficacious technologies and conventional incandescent lamps. In order to help consumers make well informed purchasing decisions, EEAs recommended DOE work closely with the FTC to establish minimum equivalency levels in this rulemaking in which manufacturers who claim that a 10 W LED lamp replaces a 60 W incandescent lamp should be required to comply with the corresponding lumen output levels contained in a table established by FTC and DOE. They recommended DOE consider ENERGY STAR®'s lumen equivalency table in its Lamps Specification as a starting point. (EEAs, No. 32 at pp. 13-14)

DOE notes that for these consumer products, the FTC is responsible for implementing and enforcing labeling requirements. (

See

42 U.S.C. 6294) Such requirements are outside the scope of this rulemaking. However, DOE understands concerns regarding potentially incorrect lumen equivalency claims of covered products, and DOE will continue to work with FTC on labeling issues.

A notation in this form provides a reference for information that is in the docket of DOE's rulemaking to develop energy conservation standards for GSLs (Docket No. EERE-2013-BT-STD-0051), which is maintained at

www.regulations.gov

. This notation indicates that the statement preceding the reference was made by EEAs, is from document number 32 in the docket, and appears at pages 13-14 of that document.

B. Background

1. Current Standards

This is the first cycle of energy conservation standards rulemakings for GSLs. Of the lamps covered by this rulemaking, only GSILs, modified spectrum GSILs, intermediate base incandescent lamp, candelabra base incandescent lamp, and MBCFLs have existing standards.

The Consolidated and Further Continuing Appropriations Act, 2015 (Publ. L. 113-235, Dec. 16, 2014; hereafter referred to as the “Appropriations Rider”), in relevant part, restricts the use of appropriated funds in connection with several aspects of DOE's incandescent lamps energy conservation standards program. Specifically, section 313 states that none of the funds made available by the Act may be used to implement or enforce standards for GSILs, intermediate base incandescent lamps, and candelabra base incandescent lamps.

Public Law 113-235, Section 313 provides: “None of the funds made available in this Act may be used—(1) to implement or enforce section 430.32(x) of title 10, Code of Federal Regulations; or (2) to implement or enforce the standards established by the tables contained in section 325(i)(1)(B) of the Energy Policy and Conservation Act (42 U.S.C. 6295(i)(1)(B)) with respect to BPAR incandescent reflector lamps, BR incandescent reflector lamps, and ER incandescent reflector lamps.

The current standards for GSILs are summarized in Table II-1. In addition GSILs are required to have a coloring redering index (CRI) greater than or equal to 80. 10 CFR 430.32(x)(1). These standards for GSILs are currently subject to the Appropriations Rider.

Table II-1—Existing Efficacy Standards for GSILs

Rated lumen ranges

Maximum rate wattage

Minimum rate

lifetime

(hrs)

Effective date

1490-2600

1,000

1/1/2012

1050-1489

1,000

1/1/2013

750-1049

1,000

1/1/2014

310-749

1,000

1/1/2014

The current standards for modified spectrum GSILs are shown in Table II-2. In addition, modified spectrum GSILs are required to have a color rendering index greater than or equal to 75. 10 CFR 430.32(x)(1) These standards for modified spectrum GSILs are currently subject to the Appropriations Rider.

Table II-2—Existing Efficacy Standards for Modified Spectrum GSILs

Rated lumen ranges

Maximum rate wattage

Minimum rate

lifetime

(hrs)

Effective date

1118-1950

1,000

1/1/2012

788-1117

1,000

1/1/2013

563-787

1,000

1/1/2014

232-562

1,000

1/1/2014

Current standards require that candelabra base incandescent lamps not exceed 60 rated watts and intermediate base incandescent lamps not exceed 40 rated watts. 10 CFR 430.32(x)(2)-(3) These standards for candelabra base incandescent lamp and intermediate base incandescent lamp are subject to the Appropriations Rider.

The current standards for MBCFLs are summarized in Table II-3. 10 CFR 430.32(u)

Table II-3—Existing Efficacy Standards for MBCFLs

Lamp configuration

Lamp power

(W)

Minimum efficacy

(lm/W)

Bare lamp

Lamp power <15

45.0.

Lamp power ≥15

60.0.

Covered lamp, no reflector

Lamp power <15

40.0.

15 ≥ lamp power <19

48.0.

19 ≥ lamp power <25

50.0.

Lamp power ≥25

55.0.

Lumen Maintenance at 1,000 Hours

The average of at least 5 lamps must be a minimum 90% of initial (100-hour) lumen output at 1,000 hours of rated life.

Lumen Maintenance at 40% of Rated Lifetime

80% of initial (100-hour) rating (per ANSI C78.5 Clause 4.10).

Rapid Cycle Stress Test

Per ANSI C78.5 and IESNA LM65 (clauses 2,3,5, and 6) exception: cycle times must be 5 minutes on, 5 minutes off. Lamp will be cycled once for every two hours of rated life. At least 5 lamps must meet or exceed the minimum number of cycles.

Lamp Life

≥6,000 hours as declared by the manufacturer on packaging. ≤50% of the tested lamps failed at rated lifetime. At 80% of rated life, statistical methods may be used to confirm lifetime claims based on sample performance.

2. History of Standards Rulemaking for GSLs

DOE published notices in the

Federal Register

announcing the availability of the framework document and preliminary analysis, respectively. 78 FR 73737 (Dec. 9, 2013); 79 FR 73503 (Dec. 11, 2014). This NOPR is the next step of DOE's first cycle of review to evaluate standards for GSLs and whether the standards should apply to additional GSL types. (42 U.S.C. 6295(i)(A)) Additionally, this rulemaking satisfies the requirements under 42 U.S.C 6295(m)(1) for DOE to review the existing standards for MBCFLs, as CFLs are included in the definition of GSL. It also addresses 42 U.S.C. 6295(gg)(3) in which DOE is directed to incorporate standby-mode and off-mode energy use in any amended (or new) standard adopted after July 1, 2010, pursuant to 42 U.S.C. 6295(o).

Additionally, DOE is conducting a rulemaking setting energy conservation standards for ceiling fan light kits (hereafter the “CFLK rulemaking”). The rulemaking published a NOPR proposing an efficacy standard for the lamps packaged with CFLKs. 80 FR 48624 (August 13, 2015). The California Energy Commission (CEC) asked DOE to consider incorporating CFLK standards in this GSL rulemaking because current CFLKs standards are strongly related to GSLs. (CEC, No. 31 at p. 2). While DOE acknowledges that certain GSLs are packaged with CFLKs, EPCA addresses CFLKs as a separate covered product. Moreover, CFLK standards apply to light kits packaged with lamps and GSL standards apply to individual lamps. Because of the statutory treatment of CFLKs and the difference in product type, market structure, and manufacturers, DOE declines to combine the CFLK and GSL rulemakings in this proposal.

III. General Discussion

DOE developed this proposal after considering verbal and written comments, data, and information from interested parties that represent a variety of interests. The following discussion addresses issues raised by these commenters.

A. Product Classes and Scope of Coverage

The term, general service lamp, includes GSILs, CFLs, general service LED lamps, OLED lamps, and any other lamps that the Secretary determines are used to satisfy lighting applications traditionally served by GSILs; however, this definition does not apply to any lighting application or bulb shape excluded from the “general service incandescent lamp” definition, or any general service fluorescent lamp or incandescent reflector lamp. (

See

42 U.S.C. 6291(30)(BB)) section IV covers the comments and discussion on each part of this definition to clearly define the scope of this rulemaking.

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 justify differing standards. In making a determination whether a performance-related feature justifies a different standard, DOE must consider such factors as the utility of the feature to the consumer and other factors DOE determines are appropriate. (42 U.S.C. 6295(q)) For further details on product classes, see section V.A.1 and chapter 3 of the NOPR technical support document (TSD).

B. 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. DOE is developing and amending test procedures for products included in the definition of GSLs. The term GSL includes GSILs, CFLs, general service LED lamps, OLED lamps, and any other lamps that the Secretary determines are used to satisfy lighting applications traditionally served by general service incandescent lamps. 10 CFR 430.2

DOE's test procedures for GSILs are set forth at 10 CFR part 430, subpart B, appendix R. These test procedures provide instructions for measuring GSIL performance largely by incorporating industry standards. These test procedures were updated in a final rule published in January 2012. 77 FR 4203 (January 27, 2012). The rule updated citations and references to the industry standards currently referenced in DOE's test procedures for GSILs and established a new test procedure for determining the rated lifetime of GSILs.

In the preliminary analysis of the general service fluorescent lamp (GSFL) and incandescent reflector lamp (IRL) energy conservation standards rulemaking (hereafter the “GSFL and IRL standards rulemaking”), DOE determined that the term “compact fluorescent lamps” includes both pin base and medium base CFLs.

DOE's current test procedures for MBCFLs are set forth at 10 CFR part 430, subpart B, appendix W. These test procedures provide instructions for measuring MBCFL performance by referencing the August 9, 2001, ENERGY STAR® Program Requirements for CFLs Version 2.0. Currently there is no DOE test procedure for non-integrated CFLs (also referred to as pin base CFLs); however, DOE has initiated a CFL test procedure rulemaking to amend existing test procedures for MBCFLs at appendix W and to include test procedures for additional CFL metrics and CFL types, including non-integrated CFLs (hereafter the “CFL test procedure rulemaking”).

The preliminary analysis technical support document for the GSFL and IRL Standards Rulemaking is available at

www.regulations.gov/#!documentDetail;D=EERE-2011-BT-STD-0006-0022

See

80 FR 45724 (July 31, 2015).

DOE is also currently completing a rulemaking to develop test procedures for LED lamps (hereafter the “LED TP rulemaking”). DOE published a supplemental notice of proposed rulemaking (SNOPR) on July 9, 2015, to propose test procedures for integrated LED lamps. 80 FR 39644.

DOE is not considering establishing one test procedure for all GSLs. While DOE is maintaining a technology-neutral approach to this rulemaking, there are inherent mechanical and electrical differences between lamp types that require separate testing methods. Additionally, DOE test procedures frequently incorporate references to industry-approved test methods. The Illuminating Engineering Society of North America (IES) has developed separate standards for solid-state lighting (SSL) products (

i.e.,

LEDs and OLEDs) and CFLs. However, DOE intends to coordinate the test procedures in development for CFLs and integrated LED lamps and prescribe consistent testing methodologies when possible.

DOE is proposing changes to 10 CFR parts 429 and 430 of subpart B in support of any standards adopted in this GSL rulemaking. In 10 CFR part 429 subpart B, DOE is proposing to add GSLs to the annual certification filing requirements in section 429.12 and to remove the lamp types that are GSLs (

i.e.,

MBCFLs, GSILs, intermediate base incandescent lamps, and candelabra base incandescent lamps) from the filing requirements in § 429.12. As discussed in the proposed test procedure for certain categories of general service lamps published elsewhere in this issue of the

Federal Register

, in 10 CFR part

430 subpart B DOE is proposing to add a new paragraph to § 430.23 for test procedures for GSLs.

1. 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 statutory definition of off mode (42 U.S.C. 6295(gg)(1)), the lamp must not be providing any active mode function (

i.e.,

emitting light) or standby mode function. DOE determined that it is not possible for GSLs included in the scope of this rulemaking to meet the off-mode criteria because there is no condition in which a GSL is connected to main power and is not already in a mode accounted for in either active or standby mode. DOE notes the existence of a small number of commercially available GSLs that operate in standby mode. DOE discusses GSLs that operate in standby mode in further detail in section V.A.1.

C. Technological Feasibility

1. General

In each energy conservation 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 part 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, and service; (2) adverse impacts on product utility or availability; and (3) adverse impacts on health or safety. 10 CFR part 430, subpart C, appendix A, section 4(a)(4)(ii)-(iv). Additionally, it is DOE policy not to include in its analysis any proprietary technology that is a unique pathway to achieving a certain efficacy level. Section V.B of this NOPR discusses the results of the screening analysis for GSLs, particularly the designs DOE considered, those it screened out, and those that are the basis for the standards considered 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 GSLs, using the design parameters for the most efficient products available on the market or in working prototypes. The max-tech levels that DOE determined for this rulemaking are described in section V.C.5 of this proposed rule.

D. Energy Savings

1. Determination of Savings

For each trial standard level (TSL), DOE projected energy savings from application of the TSL to GSLs purchased in the 30-year period that begins in the year of compliance with the proposed standards (2020-2049).

The savings are measured over the entire lifetime of GSLs purchased in the above 30-year period. DOE quantified the energy savings attributable to each TSL as the difference in energy consumption between each standards case and the no-new-standards case. The no-new-standards case represents a projection of energy consumption that reflects how the market for a product would likely evolve in the absence of new or amended energy conservation standards.

Each TSL is comprised of specific efficacy levels for each product class. The TSLs considered for this NOPR are described in section VI.A. DOE conducted a sensitivity analysis that considers impacts for products shipped in a 9-year period.

DOE used its national impact analysis (NIA) spreadsheet model to estimate energy savings from potential new or amended standards for GSLs. The NIA spreadsheet model (described in section V.H of this proposed rule) calculates savings in site energy, which is the energy directly consumed by products at the locations where they are used. Based on the site energy, DOE calculates national energy savings (NES) in terms of primary energy savings at the site or at power plants, and also in terms of full-fuel-cycle (FFC) energy savings. 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 conservation standards.

DOE's approach is based on the calculation of an FFC multiplier for each of the energy types used by covered products or equipment. For more information on FFC energy savings, see section V.H.1 of this proposed rule.

The FFC metric is discussed in DOE's statement of policy and notice of policy amendment. 76 FR 51282 (Aug. 18, 2011), as amended at 77 FR 49701 (Aug. 17, 2012).

2. Significance of Savings

To adopt any new or amended standards for a covered product, DOE must determine that such action would result in “significant” energy savings. (42 U.S.C. 6295(o)(3)(B)) Although the term “significant” is not defined in the Act, the U.S. Court of Appeals for the District of Columbia Circuit, in

Natural Resources Defense Council (NRDC)

Herrington,

768 F.2d 1355, 1373 (D.C. Cir. 1985), opined that Congress intended “significant” energy savings in the context of EPCA to be savings that were not “genuinely trivial.” The energy savings for all of the TSLs considered in this rulemaking, including the proposed standards (presented in section VI.B), are nontrivial, and, therefore, DOE considers them “significant” within the meaning of section 325 of EPCA.

E. Economic Justification

1. Specific Criteria

As noted above, 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)(I)-(VII)) 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 a potential amended standard on manufacturers, DOE conducts a manufacturer impact analysis (MIA), as discussed in section V.J. 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: (1) INPV, which values the industry on the basis of expected future cash flows; (2) cash flows by year; (3) changes in revenue and income; and (4) 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 individual consumers, measures of economic impact include the changes in LCC and payback period (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 (and annualed national NPV) of the consumer costs and benefits expected to result from particular standards. DOE also evaluates the impacts of potential standards on identifiable subgroups of consumers that may be affected disproportionately by a standard.

b. Savings in Operating Costs Compared to Increase in Price (LCC and PBP)

EPCA requires DOE to consider the savings in operating costs throughout the estimated average life of the covered product in the type (or class) compared to any increase in the price of, or in the initial charges for, or maintenance expenses of, the covered product that are likely to result from a 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. The LCC analysis requires a variety of inputs, such as product prices, product energy consumption, energy prices, maintenance and repair costs, product lifetime, and discount rates appropriate for consumers. To account for uncertainty and variability in specific inputs, such as product lifetime and discount rate, DOE uses a distribution of values, with probabilities assigned to each value.

The PBP is the estimated amount of time (in years) it takes consumers to recover the increased purchase cost (including installation) of a more-efficient product through lower operating costs. DOE calculates the PBP by dividing the change in purchase cost due to a more-stringent standard by the change in annual operating cost for the year that standards are assumed to take effect.

For its LCC and PBP analysis, DOE assumes that consumers will purchase the covered products in the first year of compliance with new or amended standards. The LCC savings for the considered efficacy levels (ELs) are calculated relative to the case that reflects projected market trends in the absence of amended standards. DOE's LCC and PBP analysis is discussed in further detail in section V.F.

c. Energy Savings

Although significant conservation of energy is a separate statutory requirement for adopting 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 III.D.1, DOE uses the NIA spreadsheet models to project NES.

d. Lessening of Utility or Performance of Products

In establishing product classes and in evaluating design options and the impact of potential standard levels, DOE evaluates potential standards that would not lessen the utility or performance of the considered products. (42 U.S.C. 6295(o)(2)(B)(i)(IV)) Based on data available to DOE, the standards proposed in this document would 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 a proposed 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 within 60 days of the publication of a proposed rule, 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 this proposed rule to the Attorney General with a request that the Department of Justice (DOJ) provide its determination on this issue. DOE will publish and respond to the Attorney General's determination in the final rule.

f. Need for National Energy Conservation

DOE also considers the need for national energy conservation in determining whether a new or amended standard is economically justified. (42 U.S.C. 6295(o)(2)(B)(i)(VI)) 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, as discussed in section V.M.

The proposed standards also are likely to result in environmental benefits in the form of reduced emissions of air pollutants and greenhouse gases (GHG) associated with energy production and use. DOE conducts an emissions analysis to estimate how potential standards may affect these emissions, as discussed in section V.K; the emissions impacts are reported in section VI.B.6 of this NOPR. DOE also estimates the economic value of emissions reductions resulting from the considered TSLs, as discussed in section V.L.

g. Other Factors

EPCA allows the Secretary of Energy, 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)) To the extent interested parties submit any relevant information regarding economic justification that does not fit into the other categories described above, DOE could consider such information under “other factors.”

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 V.F of this proposed rule.

IV. Issues Affecting Scope of Coverage

This section examines the various issues affecting the scope of coverage of this rulemaking. These issues include: Restrictions of the Appropriations Rider; clarifications to the GSL definition; additional proposed definitions supporting the GSL definition; and lamps that DOE is proposing to exempt from the GSL definition. Additionally, DOE addresses the GSLs for which it is proposing standards. Finally, DOE discusses the proposed scope of metrics in the rulemaking. DOE received many comments on these issues in response to the preliminary analysis and responds to these comments below.

A. Appropriations Rider

GSILs are included in the definition of GSL. Although 42 U.S.C. 6295(i)(6) authorizes DOE to evaluate energy conservation standards for GSLs which, by definition, includes GSILs, the Appropriations Rider, in relevant part, restricts the use of appropriated funds in connection with several aspects of DOE's incandescent lamps energy conservation standards program. Specifically, section 313 of Public Law 113-235 prohibits expenditure of funds appropriated by that law to implement or enforce: (1) 10 CFR 430.32(x), which includes maximum wattage and minimum rated lifetime requirements for GSILs and maximum wattage requirements for candelabra base incandescent lamps and intermediate base incandescent lamps; and (2) standards set forth in section 325(i)(1)(B) of EPCA (42 U.S.C. 6295(i)(1)(B)), which sets minimum lamp efficiency ratings for IRLs. Because of the applicability of the Appropriations Rider to these lamps, DOE is not analyzing GSILs, intermediate-base incandescent lamps, or candelabra base incandescent lamps in this rulemaking. DOE is also directed by 42 U.S.C. 6295(i)(6)(A)(i)(II) to determine whether the exemptions for certain incandescent lamps should be maintained or discontinued based, in part, on exempted lamp sales collected from manufacturers. However, as stated, DOE is prohibited from using appropriated funds to implement or enforce standards for GSILs and thus cannot re-evaluate the existing exemptions for GSILs in the rulemaking. DOE received several comments on the inclusion of GSILs in the scope of this rulemaking.

Earthjustice commented that section 325(i)(6)(A)(i) of EPCA requires DOE to initiate a rulemaking proceeding no later than January 1, 2014, to determine whether the standards in effect for GSLs should be strengthened and whether “the exemptions for certain incandescent lamps should be maintained or discontinued.” To meet these obligations, Earthjustice asserted, DOE must, among other things, analyze standards for GSILs and lamps that have been exempted from the requirements applicable to GSILs. Earthjustice stated that DOE has failed to address these lamps, and is now in violation of its statutory duty to initiate a rulemaking that meets the requirements of section 325(i)(6)(A)(i) no later than January 1, 2014. (Earthjustice, No. 30 at p. 1)

DOE confirms that as the Appropriations Rider contains a congressional directive disallowing the use of appropriated funds to implement or enforce standards on any products in 10 CFR 430.32(x), such lamps are not included in this statutorily prescribed rulemaking at this time. Under 42 U.S.C. 6295(i)(6)(A)(v), if DOE fails to (1) complete a rulemaking in accordance with clauses (i) through (iv), which includes determining whether the exemptions for certain incandescent lamps should be maintained or discontinued, or (2) publish a final rule that will meet or exceed the energy savings associated with the EISA 2007 45 lm/W backstop, then the backstop will be triggered beginning January 1, 2020. Due to the Appropriations Rider, DOE is unable to perform the analysis required in clause (i) of 42 U.S.C. 6295(i)(6)(A). As a result, the backstop in 6296(i)(6)(A)(v) is automatically triggered.

Earthjustice stated that their comments on the previous stages of this rulemaking also explained that the plain language of the Appropriations Rider that currently prohibits DOE from using appropriated funds “to implement or enforce section 430.32(x) of title 10, Code of Federal Regulations,” does not prevent DOE from amending the standards for the lamp types exempted from the GSIL definition. Based on the preliminary TSD's discussion of the Appropriations Rider, Earthjustice stated that DOE may be misinterpreting the status of those 22 types of incandescent lamps exempted from EPCA's definition of “general service incandescent lamp.” The preliminary TSD states that DOE believes it is prohibited by the Appropriations Rider from modifying the existing exemptions for GSILs in this rulemaking. Earthjustice disagreed that the broad interpretation DOE gives the Appropriations Rider is reasonable and urged DOE to reconsider its interpretation. Additionally, if that interpretation remains unchanged, Earthjustice asked DOE to explain how the prohibition in the text of the Appropriations Rider applies to the exempted lamp types. (Earthjustice, No. 30 at pp. 1-2) The Pacific Gas and Electric Company, Southern California Gas Company, San Diego Gas and Electric, and Southern California Edison (hereafter, the “California investor-owned utilities or the “CA IOUs”) agreed in a joint comment that DOE has taken an overly restrictive interpretation of the Appropriations Rider, which specifically prohibits DOE from using appropriated funds “to implement or enforce” 10 CFR 430.32(x), but does not prevent DOE from amending standards for any incandescent lamp. CA IOUs

thought the interpretation of the Appropriations Rider should allow room to close loophole opportunities that allowed inexpensive incandescent general service products to be sold as exempted products. (CA IOUs, No. 33 at pp. 1-2) Earthjustice further specified that nothing in EPCA suggests discontinuing the exemptions for these lamps would make them GSILs. The exemption that DOE must decide whether to maintain or discontinue is an exemption from the GSL standards, not an exemption from the statute's definition of the term “general service incandescent lamp.” Therefore, Earthjustice concluded that while DOE cannot use appropriated funds to implement or enforce standards for GSILs, there is no prohibition on applying standards to any of the 22 types of lamps exempted in EPCA's definition of “general service incandescent lamp.” If DOE regulated the exempted lamps outside the GSIL rubric, the Appropriations Rider does not block the path to energy conservation standards. For example, the preliminary TSD suggests that DOE believes it would be authorized to regulate the subset of exempted incandescent lamps that are subject to tracking requirements under section 325(l). DOE has continued meeting its obligation to collect and analyze shipment data for these lamps, notwithstanding the Appropriations Rider. 79 FR 15058 (Mar. 18, 2014). If the distinction DOE has drawn, that enables the implementation of standards for these lamps, is that they are not GSILs if regulated under section 325(l), DOE needs to consider that they would also not be GSILs if DOE adopts standards for them under section 325(i)(6)(A). (Earthjustice, No. 30 at p. 2)

By definition, GSL does not apply to any lighting application or bulb shape excluded from the “general service incandescent lamp” definition. (42 U.S.C. 6291(30)(BB)) Therefore, based on the GSL definition, the 22 incandescent lamps that are excluded in EPCA from the definition of GSIL would not be GSLs. It is the case, however, that DOE could determine under the authority in 42 U.S.C. 6295(i)(6)(A)(i)(II) to discontinue the exemption for the 22 types of lamps exempted from EPCA's definition of GSIL. If DOE were to do so and agreed with Earthjustice and the CA IOUs that discontinuing the exemptions would not make any of those lamps GSILs, it would be the case that those formerly exempted lamps would also not be GSLs for which DOE could establish standards in the current rulemaking. Rather, the formerly exempted lamp types would have to be considered GSILs in order for DOE to regulate the lamps under its authority to promulgate standards for GSLs. Since the Appropriations Rider prohibits the expenditure of funds to implement or enforce standards for GSILs, DOE would not be able to establish or amend energy conservation standards for any of these lamps. As a result, making a determination about discontinuing the exemption from the GSIL definition for any of the 22 types of lamps would make no difference in the GSL rulemaking, and DOE declines to address the exemptions at the present time.

The National Electrical Manufacturers Association (NEMA) and NRDC commented that they understand the rulemaking is complicated by the existence of the Appropriations Rider. NEMA acknowledged that they appreciated the explanation provided by DOE that the Appropriations Rider (and similar predecessor legislation) makes it difficult to consider the real baseline in this rulemaking and other issues; however, they fundamentally disagreed with DOE's approach to product classes in this rulemaking and the proposal for technology-neutral energy conservation standards. NEMA stated that the Appropriations Rider has influenced DOE's selection of this approach in a manner not intended by Congress in EISA 2007. (NEMA, No. 34 at p. 2; NRDC, Public Meeting Transcript, No. 29 at p. 42)

DOE notes that the definition of general service lamps includes lamps of various technologies including CFLs, LED lamps, and OLED lamps in addition to GSILs, and section 325(i)(6)(A)(ii)(I) explicitly states that the GSL rulemaking is not limited to incandescent lamp technologies. Therefore, as further discussed in section V.A.1, DOE is evaluating standards in a technology-neutral approach in this rulemaking in order to carry out the more expansive analysis of lamps that serve general service lighting applications intended by EPCA. While the Appropriations Rider has vast impacts on the analyses of this rulemaking, such limitations precipitate from the prohibition placed on the implementation or enforcement of standards on GSILs, the Appropriations Rider has not influenced DOE's proposed product class structure. While DOE may not analyze GSILs in this rulemaking, DOE has taken a broad interpretation for what can be considered a GSL, analyzing non-GSIL lamps intended to serve in general lighting applications. See section V.A.1 for the resulting product classes.

B. Clarification of General Service Lamp Definition

The term, general service lamp, includes GSILs, CFLs, general service LEDs, OLEDs, and any other lamps that the Secretary determines are used to satisfy lighting applications traditionally served by GSILs; however, this definition does not apply to any lighting application or bulb shape excluded from the “general service incandescent lamp” definition, or any general service fluorescent lamp or incandescent reflector lamp. (42 U.S.C. 6291(30)(BB)) Pursuant to the definition of GSL, DOE has the authority to consider additional lamps that it determines are used to satisfy lighting applications traditionally served by GSILs. In the preliminary analysis, DOE took a broad interpretation of what lamps can be considered GSLs. DOE determined GSLs are lamps intended to serve in general lighting applications (as defined in 10 CFR 430.2) by providing an interior or exterior area with overall illumination. Thus, DOE considered GSLs as lamps which have a lumen output of 310 lumens or greater, have an ANSI base,

are not a light fixture, operate on any voltage, are not designed and labeled for use in non-general applications, and are not or could not be considered in another rulemaking proceeding. DOE received several comments on this approach.

A lamp base standardized by the American National Standards Institute.

GSL preliminary analysis at 2-25.

Some stakeholders supported DOE's broad interpretation of GSLs. EEAs commented that DOE should include all lamps that provide light between 310 and 2,600 lumens in the GSL standards scope, regardless of the shape of the lamp's cover, or the size of the lamp's base. They urged DOE to limit exemptions to lamps that cannot provide general service illumination due to technical, definable characteristics. For example, limiting covered lamps to a list of conventional shapes creates an incentive for manufacturers to evade the standards by making a slight modification to the shape of the lamp, which does not provide any additional functionality. Therefore, EEAs requested that DOE broaden the scope of coverage to eliminate such loopholes. (EEAs, No. 32 at p. 5) Overall, CA IOUs agreed that some lamps previously excluded from the definition of GSIL can be used to provide general illumination and as replacements for GSLs. They supported DOE's findings that lamps with other

ANSI bases (non-E26

screw bases), directional lamps, high-lumen lamps (>2,600 lumens), and lamps with operating voltage outside the range of 110-130 V could be considered GSLs. (CA IOUs, No. 33 at p. 2)

An E26 base, or medium screw base, means an Edison screw base identified with the prefix E-26 in the “American National Standard for Electric Lamp Bases”, ANSI_IEC C81.61-2003, published by the American National Standards Institute. 10 CFR 430.2

However, some stakeholders disagreed with DOE's interpretation of GSLs. GE stated that DOE is applying an extremely broad scope and should limit it to large potential for energy savings and lamp use. GE determined that the intent of this rulemaking is to look at lamps that provide the highest volume and therefore highest potential for energy savings; namely, the medium screw base lamps that are between 310 and 2,600 lumens where the bulk of the general lighting applications occur. (GE, Public Meeting Transcript, No. 29 at pp. 26-27) Southern Company also agreed that the intent of the legislation was for standard consumer lighting products, and that a scope that is too broad may result in unintended consequences for specialized industrial applications. They also cautioned against setting standards too high on CFLs and LED lamps with the potential of encouraging more people to use incandescent technology. (Southern Company, Public Meeting Transcript, No. 29 at pp. 27, 30-31)

DOE has interpreted the definition of GSLs in order to ensure that products used for general service lighting applications are included. DOE gave careful consideration to each criteria and what lamp types it would cover. DOE determined a lower bound lumen range and ANSI base specification were essential in identifying lamps used in general service lighting applications. DOE also found that voltages higher and lower than line voltage are also being used in general lighting applications and therefore, a voltage specification was not useful. Further DOE's interpretation accounted for exemption of specialty lamps that could not provide overall illumination and confirmation that there is no overlap of coverage among lamp rulemakings. Therefore, DOE finds that its interpretation adequately captures the intention of a general service lamp. DOE is proposing a new definition of “general service lamp” in section 430.2 to capture the criteria and exemptions discussed in more detail in the following sections.

DOE considered lamps' potential for energy savings, including impacts such as shifts to incandescent technologies, when determining which GSLs to establish standards for in this rulemaking (see section IV.E for further details).

DOE received specific comments on several aspects of the interpretation of the GSL definition, as discussed in the following sections.

1. General Lighting Applications

CA IOUs questioned the term general lighting application. They noted that it is defined in 10 CFR 430.2 as “lighting that provides an interior or exterior area with overall illumination,” and yet there is no definition of overall illumination. CA IOUs requested an interpretation from DOE. (CA IOUs, Public Meeting Transcript, No. 29 at p. 28) The definition for general lighting application was added to the CFR upon codifying the Energy Independence and Security Act of 2007 (Public Law 110-140; EISA 2007). DOE considers the term “overall illumination” to be similar in meaning to the term “general lighting” as defined in the industry standard ANSI/IES RP-16-10 (hereafter “RP-16”). RP-16 states that “general lighting” means lighting designed to provide a substantially uniform level of illuminance throughout an area, exclusive of any provision for special local requirements.

2. Lamps Addressed in Other Rulemakings

As discussed previously, DOE has the authority to consider additional lamp types that it determines are used to satisfy lighting applications traditionally served by GSILs. To limit the probability that one lamp type might be subject to two different standards, DOE did not consider adding lamp types that are or could be addressed in a separate rulemaking proceeding. For example, the GSFL and IRL rulemaking considered establishing standards for additional types of fluorescent lamps (such as 2-foot linear fluorescent lamps). 80 FR 4041, 4055 (Jan. 26, 2015). While that rulemaking ultimately concluded that additional lamps should not be subject to standards, DOE did not consider the additional lamps evaluated as GSFLs to be candidates for coverage in the GSL rulemaking.

NEMA agreed with DOE's assessment in the preliminary analysis that SBMV lamps should not be included in this rulemaking as they are high-intensity discharge (HID) lamps, and as such could be covered in another rulemaking. (NEMA, No. 34 at p. 6) Further, Westinghouse acknowledged that they agreed with not considering any products that are covered under another rulemaking due to potential complications. (Westinghouse, Public Meeting Transcript, No. 29 at p. 39) Having received no other feedback on this topic, DOE continues not to propose standards in this rulemaking for products currently covered by other rulemakings. DOE requests comment on this approach.

3. High-Lumen Lamps (>2,600 Lumens)

In the preliminary analysis, DOE considered including lamps with lumen output between 310 and 2,600 lumens.

DOE maintains this lower bound because lamps with lumen output less than 310 lumens do not provide sufficient overall illumination. Regarding lamps with a lumen output greater than 2,600 lumens, DOE believes that these lamps can be used in overall illumination and therefore meet the definition of GSL. However, in the preliminary analysis DOE considered not establishing standards for GSLs with lumens greater than 2,600 due to a potential shift to incandescent technologies. As noted previously, due to the Appropriations Rider, DOE is unable to consider modifying the existing exemption for GSILs with lumen output greater than 2,600 lumens. In the preliminary analysis, DOE reasoned that establishing energy conservation standards for higher lumen lamps in more-efficient technologies (

e.g.,

integrated and non-integrated CFLs), while not also addressing higher lumen incandescent lamps, may ultimately increase national energy consumption due to a shift to lower-cost incandescent technologies.

Id.

at 2-27.

Id.

at 2-28.

EEAs recommended that DOE broaden the scope of coverage considered in the preliminary analysis to include lamps with outputs between 2,601 and 3,300 lumens. EEAs noted that this change would ensure lamps currently exceeding 150 W are also covered and would remove any incentive for manufacturers to introduce slightly brighter bulbs as a means to avoid compliance with standards. Conventional 150 W incandescent lamps produce around 2,500-2,700 lumens, and EEAs had noticed an increased amount of 150 W and 200 W incandescent lamps available in stores. EEAs stated that they also expect LED ELs to continue to increase, leading to new LED lamps that deliver higher light levels on the market by 2020. As DOE may not implement or enforce energy conservation standards on GSILs in this rulemaking, should DOE promulgate standards for CFLs and LED lamps with

outputs between 2,601 and 3,300 lumens, there could be an even more pronounced migration to the 150 W and 200 W incandescent lamps. (EEAs, No. 32 at p. 7)

Earthjustice found that DOE's determination that establishing standards for CFL and LED versions of high-lumen lamps, but not for high-lumen incandescent lamps, could increase national energy consumption fails to consider that including high-lumen lamps as GSLs would trigger the 45 lm/W backstop requirement. While Earthjustice disagreed with DOE's interpretation that the Appropriations Rider prohibits DOE from promulgating standards for high-lumen incandescent lamps, Earthjustice noted that even with DOE's interpretation, the backstop still applies to any lamps DOE determines meet the EPCA criterion for coverage as a general service lamp. Therefore, Earthjustice asserted that all high-lumen lamps, including incandescent high-lumen lamps, will need to meet a standard of 45 lm/W. Earthjustice urged DOE to reconsider its approach to the scope of coverage given the backstop provision's application to all GSLs. (Earthjustice, No. 30 at pp. 3-4)

Southern Company commented that if the backstop goes into effect and the standard is at 45 lm/W, there will most likely need to be exceptions based on available technology. Southern Company stated that there are instances where consumers trying to use higher lumen bulbs are forced to use incandescents because there is no product on the market that fits their size limitations. Southern Company requested DOE consider exceptions for products with space constraints or higher lumen outputs. (Southern Company, Public Meeting Transcript, No. 29 at pp. 131-132)

DOE agrees that the backstop under 42 U.S.C. 6295(i)(6)(A)(v), in all likelihood, will become effective beginning January 1, 2020. In this NOPR analysis, DOE further evaluated products in the high-lumen range and found limited product offerings and concluded that these products have a low market share and therefore, would not result in significant energy savings. (See chapter 3 of the NOPR TSD for further details.) Further, DOE agrees there are technological limitations currently to creating higher efficacy replacements while maintaining form factor for high lumen lamps. Hence, regardless of implications of the backstop, DOE maintains its decision not to establish standards for GSLs greater than 2,600 lumens in this rulemaking. DOE requests comment on the energy savings potential of standards for GSLs greater than 2,600 lumens.

4. Lamps without an ANSI Base

In the preliminary analysis, DOE considered GSLs to have an ANSI base to ensure they can be used in sockets commonly found in residential, commercial, and industrial fixtures.

NRDC asked for clarification on this ANSI base criterion for meeting the GSL definition. NRDC asked for example, if DOE would consider a lamp with a non-ANSI base that uses an adapter to fit a medium screw base socket; although, NRDC noted that this combination is not currently in practice. (NRDC, Public Meeting Transcript, No. 29 at pp. 24-25) Westinghouse commented that they make adapters, but stated that, as per EPAct, they are not permitted to make any adapter that converts a medium screw base socket to any other socket type. (Westinghouse, Public Meeting Transcript, No. 29 at pp. 25-26)

Id.

at 2-28.

DOE is not aware of any lamps on the market relevant to the GSL scope that have a non-ANSI base which can be converted into an ANSI base via an adapter or other device. DOE will continue to monitor the market for such products and requests comments on whether such lamps are commercially available.

5. Operating Voltage

CA IOUs recommended that lamps designed and marketed to be operated at 130 V or higher (often marketed as long-life lamps) be included in the definition of GSL. (CA IOUs, No. 33 at p. 2) In the preliminary analysis, DOE stated that lamps with operating voltage outside the range of 110 to 130 V can be used in general lighting applications and are therefore, GSLs.

Specifically, DOE found that lamps operating on low voltage (

i.e.,

requires the use of a transformer) can provide overall illumination. However, DOE's interpretation of not requiring GSLs to operate on a specific voltage means that lamps operating at 130 V or higher are also within the scope of GSLs.

Id.

at 2-22.

6. Summary of GSL Interpretation

In summary, DOE is proposing to interpret general service lamps as lamps intended to serve in general lighting applications and have the following basic characteristics: (1) An ANSI base with the exclusion of light fixtures; (2) lumen output of 310 lumens or greater; (3) operate at any voltage; (4) are not the subject of other rulemakings; and (5) are not designed and labeled for use in certain non-general applications (see section IV.D for more information).

C. Definitions Supporting GSLs

DOE also considered several definitions to support its interpretation of the GSL definition and received comments on certain definitions, discussed in the sections below.

1. General Service LED Lamps

General service LED lamps are included in the definition of GSL. LED lamps can be integrated or non-integrated. DOE does not currently have a definition for “general service LED lamp,” however “light-emitting diode or LED” is defined at 10 CFR 430.2 as a p-n junction solid-state device of which the radiated output, either in the infrared region, the visible region, or the ultraviolet region, is a function of the physical construction, material used, and exciting current of the device. In the preliminary analysis, DOE considered the following definition for general service LED lamps: “

General service light-emitting diode (LED) lamp

means an integrated or non-integrated LED lamp designed for use in general lighting applications (as defined in 430.2).”

Id.

at 3-5.

NEMA suggested additional wording to clarify the use of LEDs in general service LED lamps and proposed the language “that uses light emitting diodes as the primary source of light” be added to the end of DOE's proposed definition. (NEMA, No. 34 at p. 3) DOE agrees that the additional language may provide clarification by connecting the lamp type with the light source used. DOE therefore proposes the following definition for general service LED lamp and requests comment on whether further modifications are needed: “

General service light-emitting diode (LED) lamp

means an integrated or non-integrated LED lamp designed for use in general lighting applications (as defined in 430.2) and that uses light-emitting diodes as the primary source of light.”

2. Organic Light-Emitting Diode Lamps

OLED lamps are also included in the definition of GSL. DOE does not currently have a definition for OLED lamp; however, OLED is defined at 10 CFR 430.2 as a thin-film light-emitting device that typically consists of a series of organic layers between two electrical contacts (electrodes). In the preliminary analysis, DOE considered defining “

Organic light-emitting diode or OLED lamp

to mean an integrated or non-

integrated lamp that uses OLEDs as the primary source of light.”

A typographical error occurred on p. 3-6 of the preliminary analysis stating “as light” rather than “of light.”

NEMA noted that a typographical error existed in the definition considered for OLED lamp and suggested the following revisions: “Organic light-emitting diode or OLED lamp means an integrated or non-integrated lamp designed for use in general lighting applications that uses OLEDs as the primary source of light.” (NEMA, No. 34 at p. 3) DOE agrees that specifying that OLED lamps are for use in general lighting applications further clarifies the scope of the GSL rulemaking. DOE also appreciates NEMA noting the typographical error and has corrected the error in the proposed definition. Therefore, DOE is proposing the following definition for OLED lamp in this NOPR analysis and requests comment on whether further modifications are needed: “

Organic light-emitting diode or OLED lamp

means an integrated or non-integrated lamp designed for use in general lighting applications that uses OLEDs as the primary source of light.”

3. Integrated Lamp and Non-integrated Lamp

In the preliminary analysis, DOE considered defining integrated lamps and non-integrated lamps for GSLs as: “

Integrated lamp

means a lamp that contains all components necessary for the starting and stable operation of the lamp, does not include any replaceable or interchangeable parts, and is connected directly to a branch circuit through an ANSI base and corresponding ANSI standard lamp-holder (socket)” and “

Non-integrated lamp

means a lamp that is not an integrated lamp.”

GSL preliminary analysis at 3-4.

NEMA disagreed with DOE's proposed definition of integrated lamp stating that the bases on integrated lamps mentioned in the definition should be limited to those bases most commonly used with the lamps covered within the rulemaking's scope. Currently, these bases would be limited to medium screw bases and GU24 bases

for integrated lamps, but those could be adjusted if the scope of the regulation changed in the future. NEMA suggested the following definition: “Integrated lamp means a CFL or LED lamp that contains all components necessary for the starting and stable operation of the lamp, does not include any replaceable or interchangeable parts, and is intended to be connected directly to a branch circuit through a Medium Screw Base or a GU24 base.” (NEMA, No. 34 at pp. 2-3)

Medium screw base is defined in 10 CFR 430.2, and DOE proposes a definition for GU24 base in section IV.C.5.

NEMA also disagreed with the DOE's proposed definition of non-integrated lamps because many of the lamps that would be covered by this broad definition are not within the scope of the rulemaking. (NEMA, No. 34 at p. 7) GE added that the non-integrated lamp definition is too broad and remarked that DOE needs to provide the specifics of what a non-integrated lamp is within the scope of this rulemaking. (GE, Public Meeting Transcript, No. 29 at pp. 52-53) NEMA suggested the following definition: “Non-integrated lamp means a lamp that requires additional external components for starting and stable operation of the lamp, such as a ballast or a driver and has a single-ended 2-pin or 4-pin base.” (NEMA, No. 34 at p. 3)

DOE developed the definitions of “integrated lamp” and “non-integrated lamp” to be technology neutral and broadly encompass any ANSI base in order to cover all lamp types within the GSL scope, and not just those for which standards are being set in this rulemaking. Further, for standards specific to a base type, DOE would clearly state the base type to which standards are applicable. Additionally, lamp designs of GSLs are either integrated (

i.e.,

include within them all components for operation) or are non-integrated (

i.e.,

require an external component for operation). Because all lamps fit in either one or the other configuration, DOE finds that its approach to defining non-integrated lamps as any lamp that is not an integrated lamp to comprehensively include all possible GSLs with the external component configuration. Therefore, DOE proposes to maintain the definitions of “integrated lamp” and “non-integrated lamp” as specified in the preliminary analysis.

4. Hybrid Lamps

In the preliminary analysis, DOE noted that the CFL test procedure rulemaking is proposing the definition of “

Hybrid compact fluorescent lamp

to mean a compact fluorescent lamp that incorporates one or more supplemental light sources of different technology.” 80 FR 45724 (July 31, 2015).

NEMA commented that DOE's proposed definition of hybrid CFLs was vague and suggested the following definition to increase clarity: “Hybrid compact fluorescent lamp means a compact fluorescent lamp that incorporates one or more supplemental light sources of different technology, such as halogen or LED, which are energized and operated independently and may or may not operate simultaneously.” (NEMA, No. 34 at p. 4) Because this definition is being proposed in the CFL test procedure rulemaking, DOE will address NEMA's comment within that rulemaking.

5. Base Types

As NEMA agreed with the preliminary definition of pin base lamps (NEMA, No. 34 at p. 4), and DOE received no other comments, DOE is continuing to propose the definition of “

Pin base lamp

to mean a lamp that uses a base type designated as a single pin base or multiple pin base system in Table 1 of ANSI C81.61, Specifications for Electrics Bases.”

In the preliminary analysis, DOE also considered defining “

GU24 base

to mean the GU24 base standardized in ANSI C81.61.” NEMA agreed with the proposed definition for GU24 base. (NEMA, No. 34 at p. 4) Since DOE received no further comments, DOE is continuing to propose the definition for GU24 base as specified in the preliminary analysis.

In the preliminary analysis, for non-integrated lamps DOE had identified pin bases and screw bases as the only bases that would meet the scope of GSLs. DOE requested comment on this assessment. NEMA confirmed that there are no other base types for non-integrated lamps that meet the definition of GSLs. (NEMA, No. 34 at p. 7)

6. Light Fixture

In the preliminary analysis, DOE considered adding the definition of “light fixture” to the

Federal Register

in order to ensure that complete light fixtures with ANSI bases (

e.g.,

certain retrofit kits) are not included in the scope of this rulemaking. Specifically, DOE considered the definition for “

Light Fixture

to mean a complete lighting unit consisting of lamp(s) and ballast(s) (when applicable) together with the parts designed to distribute the light, to position and protect the lamps, and to connect the lamp(s) to the power supply.”

Id.

at 3-6.

NEMA agreed with the considered light fixture definition. (NEMA, No. 34 at p. 4) DOE is proposing to slightly modify the definition to clarify that a light fixture may contain light sources other than lamps, such as LED modules or arrays, and drivers in addition to ballasts. Therefore, DOE is proposing the following definition for “light fixture” in this NOPR analysis and is requesting comment on this definition:

“

Light Fixture

means a complete lighting unit consisting of light source(s) and ballast(s) or drivers(s) (when applicable) together with the parts designed to distribute the light, to position and protect the light source, and to connect the light source(s) to the power supply.”

7. LED Downlight Retrofit Kits

DOE did not consider a definition for LED downlight retrofit kits in the preliminary analysis; however, DOE conducted a survey of the market and found several LED downlight retrofit kits available at common distribution channels and determined a definition was necessary to clarify whether these kits are considered GSLs. DOE found that LED downlight retrofit kits are designed to directly replace traditional downlights that use technologies such as incandescent or halogen lamps or CFLs. DOE also determined that LED downlight retrofit kits generally use an ANSI lamp base and are certified to the UL 1598C standard for LED Retrofit Luminaire Conversion Kits.

The retrofit kits integrate the light source and trim and therefore require the existing trim and lamp to be removed before installing in the existing fixture housing. DOE does not consider LED downlight retrofit kits to be GSLs because the kits integrate additional components such as the trim and require the existing trim to be removed. In support of the scope of this rulemaking, DOE is proposing a definition for LED downlight retrofit kits which aligns with the definition for SSL Downlight Retrofits in the May 29, 2015, ENERGY STAR Program Requirements for Luminaires (Light Fixtures) Version 2.0 (hereafter “ENERGY STAR Luminaires Specification V2.0”).

The definition proposed for “

LED Downlight Retrofit Kit”

means a product intended to install into an existing downlight, replacing the existing light source and related electrical components, typically employing an ANSI standard lamp base, either integrated or connected to the downlight retrofit by wire leads, and is a retrofit kit classified or certified to UL 1598C . LED downlight retrofit kit does not include integrated lamps or non-integrated lamps.” DOE requests comment on the definition proposed.

Underwriter's Laboratory.

Standard for Light-Emitting Diode (LED) Retrofit Luminaire Conversion Kit.

2014. Underwriter's Laboratory Inc. (Last accessed July 21, 2015.)

http://ulstandards.ul.com/standard/?id=1598C&edition=1&doctype=ulstd

ENERGY STAR.

ENERGY STAR Program Requirements: Product Specification for Luminaires (Light Fixtures): Eligibility Criteria, Version 2.0.

2015. U.S. Environmental Protection Agency: Washington, DC (Last accessed July 7, 2015.)

https://www.energystar.gov/sites/default/files/Luminaires%20V2.0%20Final%20Specification.pdf

8. Summary of Definitions

In the preliminary analysis, DOE developed definitions for the following terms in support of the scope of the rulemaking: “Integrated lamp,” “non-integrated lamp,” “general service LED lamp,” “OLED lamp,” “light fixture,” “pin base lamp,” and “GU24 base.” In the NOPR analysis, DOE is continuing to propose the definitions considered in the preliminary analysis for these terms except for the edits to “general service LED lamp,” “OLED lamp,” and “light fixture,” as specified in previous sections. DOE is also proposing a new definition for “LED downlight retrofit kits.” The proposed definitions are detailed in chapter 3 of this NOPR TSD.

D. Exempted Lamps

DOE considered whether lamps designed or labeled for specific applications could provide overall illumination and therefore meet the definition of general service lamp. DOE determined that the exemptions for specialty applications listed in 42 U.S.C. 6291(30)(D)(ii) are only applicable to GSILs.

Although the GSIL exemptions do not automatically apply to other lamp technologies, DOE considered whether these exemptions should be continued for GSLs. The definition of “general service incandescent lamp” includes the following list of exempted incandescent lamps:

GSL preliminary analysis at 3-7.

(1) An appliance lamp;

(2) A black light lamp;

(3) A bug lamp;

(4) A colored lamp;

(5) An infrared lamp;

(6) A left-hand thread lamp;

(7) A marine lamp;

(8) A marine signal service lamp;

(9) A mine service lamp;

(10) A plant light lamp;

(11) A reflector lamp;

(12) A rough service lamp;

(13) A shatter-resistant lamp (including a shatter-proof lamp and a shatter-protected lamp);

(14) A sign service lamp;

(15) A silver bowl lamp;

(16) A showcase lamp;

(17) A 3-way incandescent lamp;

(18) A traffic signal lamp;

(19) A vibration service lamp;

(20) A G shape lamp (as defined in ANSI C78.20) and ANSI C79.1-2002 with a diameter of 5 inches or more;

(21) A T shape lamp (as defined in ANSI C78.20) and ANSI C79.1-2002 and that uses not more than 40 watts or has a length of more than 10 inches; and

(22) A B, BA, CA, F, G16-1/2, G-25, G30, S, or M-14 lamp (as defined in ANSI C79.1-2002) and ANSI C78.20 of 40 watts or less.

10 CFR 430.2

In the preliminary analysis, DOE assessed whether each specified lamp type provides overall illumination and therefore can be used in general lighting applications.

DOE found the lumen output of some of these lamps was insufficient to provide overall illumination. Thus, DOE considered not establishing standards for appliance lamps, black lights, bug lamps, colored lamps, infrared lamps, marine signal lamps, mine service lamps, plant lights, sign service lamps, silver bowl lamps, showcase lamps, and traffic signal lamps under the GSL rulemaking because the lamps are intended for use in non-general applications. DOE preliminarily determined that left-hand thread lamps, marine lamps, reflector lamps, rough service lamps, shatter-resistant lamps, 3-way lamps, vibration service lamps, and lamps of several specific shapes could provide overall illumination and therefore do not require exemption for standards. DOE received comments regarding these potential exemptions and definitions for these lamp types. Therefore, in this NOPR analysis, DOE is proposing definitions for each of the specified lamp types to better delineate the GSL definition, especially in regards to determining the possible GSLs that use technologies other than incandescent and operate in applications equivalent to those of the lamps exempted from the GSIL definition. DOE requests comment on the definitions proposed. In addition, DOE requests comment on if there are any other lamp types that do not serve in general lighting applications and should be exempted from general service lamp standards.

Id.

1. Exempted Lamp Types

NEMA agreed that colored lamps, appliance lamps, black light lamps, bug lamps, plant lamps, infrared lamps, sign service lamps, showcase lamps, marine signal lamps, mine service lamps, silver bowl lamps, and traffic signal lamps should be exempted from standards since these are low volume lamps designed for specialty applications and do not provide overall illumination. (NEMA, No. 34 at pp. 4-5) CA IOUs and EEAs also recommended that DOE look closely at plant light lamps, bug lamps, silver bowl lamps, colored lamps, and appliance lamps to ensure that adequate legal definitions are in place to prevent lamps that could easily be used in general lighting applications from being

manufactured and marketed under these exemptions. (CA IOUs, No. 33 at p. 2; EEAs, No. 32 at pp. 6-7) DOE discusses these lamp types and others that it is proposing to exempt, as well as the relevant definitions, in the sections that follow.

a. Colored Lamp

In the preliminary analysis, DOE considered the definition for “

Colored lamp

to mean a colored fluorescent lamp, a colored incandescent lamp, or a lamp designed and marketed as a colored lamp and not designed or marketed for general lighting applications with either of the following characteristics (if multiple modes of operation are possible [such as variable CCT], either of the below characteristics must be maintained throughout all modes of operation): (1) A CRI less than 40, as determined according to the method set forth in CIE Publication 13.3; or (2) A correlated color temperature less than 2,200 K or greater than 7,000 K as determined according to the method set forth in IES LM-66 or IES LM-79 as appropriate.”

Id.

at 3-8.

NEMA agreed with the considered definition of colored lamps. (NEMA, No. 34 at p. 3) GE commented that this definition has been used successfully for linear fluorescent lamp technology for years and tends to push lamps into areas that define the colored space. Therefore, GE found it logical for this definition to also to work for CFLs or LED lamps. However, GE also noted that a definition for colored lamps needs to be further reviewed within the industry. (GE, Public Meeting Transcript, No. 29 at pp. 42-43) EEAs urged DOE to develop clear legal definitions for each exempted lamp type in order to prevent a manufacturer from simply applying an inexpensive removable cover to an incandescent lamp that could be used in general service applications if the cover was removed. They recommended that DOE include language in its definition that would not exempt such lamps that are operable once one or more components are removed. Additionally, EEAs noted that the definition of colored incandescent lamp includes lamps with a correlated color temperature (CCT) below 2,500 K, which might also represent a potential loophole as it is not far from the 2,700 K of conventional lamps. EEAs asked that DOE eliminate this language in its regulations. (EEAs, No. 32 at p. 6) In interviews, some manufacturers noted that colored lamps are evaluated based on perceived color, and as such would be better defined by the wavelength of the light emitted, rather than the CRI or CCT. However, given the different possible colors of colored lamps, manufactuers noted it would be problematic to include distinct wavelengths in the definition, especially given the definition's application to developing LED technologies. Given that CRI and CCT may be the best descriptors of the lamp type overall, DOE received feedback from manufacturers interviewed that the lower CCT limit should be raised to 2,500 K to accommodate the demand for 2,200-2,450 K atmospheric mood lighting in hospitality applications. Accordingly, DOE continues to propose defining this lamp type with CRI and CCT, but broadens the lower CCT range to less than 2,500 K as: “

Colored lamp

means a colored fluorescent lamp, a colored incandescent lamp, or a lamp designed and marketed as a colored lamp and not designed and marketed for general lighting applications with either of the following characteristics (if multiple modes of operation are possible [such as variable CCT], either of the below characteristics must be maintained throughout all modes of operation): (1) A CRI less than 40, as determined according to the method set forth in CIE Publication 13.3; or (2) A correlated color temperature less than 2,500 K or greater than 7,000 K as determined according to the method set forth in IES LM-66 or IES LM-79 as appropriate.”

b. Appliance Lamp

CA IOUs and EEAs recommended that DOE establish a maximum allowable light output for appliance lamps to prevent the lamps from being used in general service applications. EEAs specified that DOE should establish this maximum allowable light output level at approximately 400 lumens. CA IOUs and EEAs noted that these lamps often utilize thicker glass in order to withstand higher temperatures, but they could potentially be made to look and operate like a conventional GSIL. EEAs added that a manufacturer could simply alter a current 43 W halogen incandescent, add a thicker glass enclosure, and market it as an equivalent of a GSL, only identifying it as an appliance lamp in smaller print on the front of the package. EEAs stated that the 400-lumen limit, a light output just below conventional 40 W incandescent lamps, would be sufficient to illuminate the small oven spaces for which appliance lamps are intended and prevent them from being used as a loophole to compliance with standards. (CA IOUs, No. 33 at p. 2; EEAs, No. 32 at pp. 6-7)

A statutory definition of appliance lamp currently exists at 42 U.S.C. 6291(30)(T). Appliance lamp is defined as: “

Appliance lamp

means any lamp that— (1) Is specifically designed to operate in a household appliance, has a maximum wattage of 40 watts, is sold at retail (including an oven lamp, refrigerator lamp, and vacuum cleaner lamp); and (2) 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 for appliance use.” 10 CFR 430.2.

DOE acknowledges that the 40 W limit currently included in the statutory definition of appliance lamp is intended for incandescent technology; however, DOE is unable to modify this wattage limit as it is part of a statutory definition. Per the definition, appliance lamps are required to be designated and marketed as such on both the lamp packaging and marketing materials. Further, DOE clarified the term “designed and marketed” in the GSFL and IRL standard rulemaking to ensure that the marketing materials explicitly stated the intended application of the exempted lamp. DOE defined “designated and marketed” to mean that the intended application of the lamp is clearly stated in all publicly available documents (

e.g.,

product literature, catalogs, and packaging labels). 80 FR 4053-4054 (Jan. 26, 2015). Therefore, DOE believes the specialty application of appliance lamps will be sufficiently clear, thus preventing consumers from using appliance lamps in general service lighting applications.

c. Black Light Lamp

In interviews, DOE presented a preliminary definition of “

Black light lamp

to mean a lamp that is designed and marketed as a black light lamp and is an ultraviolet lamp that emits a significant portion of its radiative power in the UV-A band (315 to 400 nm).”

Manufacturers agreed with this preliminary definition of black light lamps based on the definition of black light lamp in the industry standard RP-16. RP-16 defines black light lamp as an ultraviolet lamp that emits a significant portion of its radiative power in the UV-A band (315 to 400 nm). However, DOE determined that additional specificity was necessary for the definition of black light lamp to clearly describe the exemption. Therefore, DOE proposes to exempt black light lamps defined as: “

Black light lamp

means a lamp that is designed and marketed as a black light lamp and is an ultraviolet lamp with the highest radiant power

peaks in the UV-A band (315 to 400 nm) of the electromagnetic spectrum.”

d. Bug Lamp

In manufacturer interviews, DOE presented a preliminary definition of bug lamp “

Bug lamp

to mean a lamp that emits a significant portion of its radiative power in the UV-A band (315 to 400 nm) and the visible spectrum (380 to 770 nm).”

Manufacturers disagreed with this definition, noting that bug lamps are not those lamps made to attract insects, but rather those designed to emit light outside the typical perception of night-flying insects. Such lamps emit light only in the red or yellow part of the spectrum and are marketed as a bug lamp. Therefore, in this NOPR DOE proposes to exempt bug lamps defined as: “

Bug lamp

means a lamp that is designed and marketed as a bug lamp, has radiant power peaks above 550 nm on the electromagnetic spectrum, and has a visible yellow coating.”

e. Plant Light Lamp

In manufacturer interviews, DOE received feedback on the following preliminary definition for plant light lamps: “

Plant light lamp

means a lamp that contains a filter to suppress the yellow and green portion of the spectrum. Plant light lamps must be specifically designed and marketed for plant growing applications.”

Some manufacturers noted that the definition applies only to incandescent lamps, as other lighting technologies are not constrained to use filters. Manufacturers pointed out that the main purpose of such lamps is to mimic sunlight for growing plants indoors. The light output of the lamp may be more tailored to the needs of the specific plants being cultivated. Therefore, DOE amends the preliminary definition and instead proposes to exempt plant light lamps defined as: “

Plant light lamp

means a lamp that is designed to promote plant growth by emitting its highest radiant power peaks in the regions of the electromagnetic spectrum that promote photosynthesis: blue (440 nm to 490 nm) and/or red (620 to 740 nm). Plant light lamps must be designed and marketed for plant growing applications.”

f. Infrared Lamp

In manufacturer interviews, DOE received feedback on the following preliminary definition for infrared lamp: “

Infrared lamp

means a lamp that radiates predominately in the infrared spectrum (770 nm to 1 mm).”

Manufacturers commented that DOE should align the definition with that used in the RP-16. Further, manufacturers specifically requested that DOE remove the wavelength range and add a clause that the visible radiation is not of principle interest. RP-16 defines “infrared lamp” as a lamp that radiates predominately in the infrared; the visible radiation is not of principal interest. DOE finds the wavelength range necessary for clearly describing the exemption and also believes that describing the primary application of infrared lamps (

i.e.,

to provide heat) is more straightforward. Therefore, DOE proposes defining infrared lamp to align with the RP-16 definition with slight modifications as: “

Infrared lamp

means a lamp that is designed and marketed as an infrared lamp, has its highest radiant power peaks in the infrared region of the electromagnetic spectrum (770 nm and 1 mm), and which has a primary purpose of providing heat.”

g. Sign Service Lamp

In interviews, DOE received feedback from manufacturers generally agreeing with a preliminary definition of sign service lamps, proposed below. DOE received some feedback regarding additional technology-specific features that should be incorporated in the definition. However, DOE is proposing technology-neutral definitions to support the scope of the rulemaking. Therefore, DOE proposes to define sign service lamps as: “

Sign service lamp

means a vacuum type or gas-filled lamp that has sufficiently low bulb temperature to permit exposed outdoor use on high-speed flashing circuits, is designed and marketed as a sign service lamp, and has a maximum rated wattage 15 watts.”

h. Showcase Lamp

In manufacturer interviews, DOE received feedback on the following preliminary definition for showcase lamp: “

Showcase lamp

means a lamp that has a T-shape as specified in ANSI C78.20 and ANSI C79.1 and a length exceeding 25 cm [centimeters] and is marketed as a showcase lamp.”

The majority of manufacturers agreed with a preliminary definition of showcase lamps, however DOE received some feedback to remove the length requirement, as there was concern that showcase lamps varied in length. DOE agrees the definition is sufficiently narrow without the length requirement and therefore proposes to define showcase lamps as: “

Showcase lamp

means a lamp that has a T-shape as specified in ANSI C78.20 and ANSI C79.1, is designed and marketed as a showcase lamp, and has a maximum rated wattage of 75 watts.”

i. Marine Signal Service Lamp, Mine Service Lamp, Silver Bowl Lamp, and Traffic Signal Lamp

In interviews, DOE received feedback from manufacturers agreeing with several preliminary definitions of exempted lamp types including marine signal service lamps, mine service lamps, silver bowl lamps, and traffic signal lamps. DOE did not receive any negative feedback or suggested changes. Therefore, DOE proposes to define these terms as: “

Marine signal service lamp

means a lamp that is designed and marketed for marine signal service applications”; “

Mine service lamp

means a lamp that is designed and marketed for mine service applications”; “

Silver bowl lamp

means a lamp that has a reflective coating applied directly to part of the bulb surface that reflects light toward the lamp base and that is designed and marketed as a silver bowl lamp”; and “

Traffic signal lamp

means a lamp that is designed and marketed for traffic signal applications.”

j. Designed and Marketed

In the recent final rule for general service fluorescent lamps and incandescent reflector lamps, DOE adopted a definition for the term “designed and marketed” to ensure that the intended application of the lamp is clearly stated in all publicly available documents (

e.g.,

product literature, catalogs, and packaging labels). DOE believes that it is important that all public disclosures be consistent about the intended use or application of the lamp. 80 FR 4042, 4053-4054 (January 26, 2015).

DOE is proposing a revised definition of “designed and marketed” to clarify that the term means that a lamp is specifically designed for a specialty application and that, when distributed in commerce, the packaging and all publicly available documents indicate the intended application. This will help ensure that lamps that are exempt from the definition of general service lamp do not have packaging or marketing materials that imply they are for use in general lighting applications. DOE proposes to revise the definition of “designed and marketed” to read: “

Designed and marketed

means that the product is specifically designed to fulfill the indicated application and, when distributed in commerce, is designated and marketed for the intended application, with the designation on the packaging and all publicly available documents (

e.g.,

product literature,

catalogs, and packaging labels) indicating the intended application. This definition is applicable to terms related to the following covered lighting products: Fluorescent lamp ballasts; fluorescent lamps; general service fluorescent lamps; general service incandescent lamps; general service lamps; incandescent lamps; incandescent reflector lamps; medium base compact fluorescent lamps; and specialty application mercury vapor lamp ballasts.”

2. Non-Exempted Lamp Types

In the preliminary analysis, DOE determined that several of the specified lamp types were able to provide overall illumination and therefore could serve in general lighting applications and did not require an exemption from standards. NRDC and CEC expressed their support of the determination that many of the currently exempt lamps do provide overall illumination and therefore do not need to be exempted. (NRDC, Public Meeting Transcript, No. 29 at p. 12; CEC, No. 31 at p. 2) DOE discusses these lamp types in the following sections.

a. Reflector Lamp

In the preliminary analysis, DOE considered defining the term “reflector lamp” in support of the scope of coverage and presented the definition for “

Reflector lamp

to mean a lamp that has an R, PAR, BPAR, BR, ER, MR, or similar bulb shape as defined in ANSI C78.20 and ANSI C79.1 and is used to direct light.”

Id.

at 3-9.

NEMA agreed with the proposed definition of reflector lamps. (NEMA, No. 34 at p. 4) However, NEMA did not think it was appropriate to include reflector lamps as covered products in this rulemaking because they are designed for specific applications and offer unique performance and efficiency features. (NEMA, No. 34 at p. 6) DOE observes that reflector lamps provide overall illumination and serve in general lighting applications. DOE finds no evidence that reflector lamps would be prohibited from use in general service applications, and therefore proposes the definition of reflector lamp considered in the preliminary analysis. DOE welcomes comment on including non-IRLs in the definition of GSLs.

DOE also considered the following definition for “non-reflector lamp” in the preliminary analysis to further define the scope: “

Non-reflector lamp

means a lamp that is not a reflector lamp.”

NEMA commented that the definition of non-reflector lamp was vague and suggested modifying the definition to mean “an integrated or non-integrated lamp that is not a reflector lamp.” (NEMA, No. 34 at p. 4) DOE notes that the definitions for reflector and non-reflector are intended to describe the shapes of the lamps specifically. DOE is therefore maintaining the definition for non-reflector lamp. DOE proposes definitions for integrated and non-integrated lamp in section IV.C.3.

Id.

b. Rough Service Lamp, Shatter-Resistant Lamp, and Vibration Service Lamp

In the preliminary analysis, DOE noted that rough service lamps and vibration service lamps are defined specifically in the context of incandescent or halogen technology. However, DOE determined that the utility of rough service, vibration service, and shatter-resistant lamps is their service in applications where vibrations occur or in applications where broken glass due to shattering would be a safety hazard and therefore must be contained. DOE believes that LED lamps are inherently durable and thus can provide the necessary utility to serve in these applications.

NRDC and CA IOUs commented that special treatment lamps such as shatter-resistant and vibration service lamps can be used in general applications. (NRDC, Public Meeting Transcript, No. 29 at pp. 12-13; CA IOUs, No. 33 at p. 2) EEAs agreed that energy-efficient CFLs and LED lamps already exist on the market to meet the needs of each of these lamp types, and in some cases provide superior functionality. As LED lamps are not filament based, they are more robust than vibration service incandescent lamps. (EEAs, No. 32 at pp. 5-7) NEMA commented that the rough service lamp definition and vibration service lamp definition are unique to incandescent technology and are not applicable to CFL or LED lamp technology as those lamps are more shock resistant by design. NEMA further noted that shatter-resistant lamps normally contain a coating that absorbs a small portion of the light output; and therefore, light absorption factors would have to be considered when setting efficacy regulations covering this technology. (NEMA, No. 34 at p. 5) However, as LED lamps capable of operating in shatter-resistant applications exist at the highest ELs, DOE finds there is no technological reason to separate them into their own product class, let alone exempt them from standards. Because DOE found that the utilities offered by these lamp types are available at higher levels of efficacy, DOE is proposing not to exempt non-incandescent lamps for use in rough service, shatter-resistant, and vibration service applications in this GSL rulemaking.

c. Three-Way Lamp

In the preliminary analysis, DOE determined that 3-way lamps are able to provide overall illumination, and therefore can be used in general lighting applications. Further, DOE found that 3-way CFLs and LED lamps are available, and one of the most-efficacious GSLs currently available on the market is a 3-way LED lamp. Therefore, DOE found no technological reason not to include non-incandescent 3-way lamps in this GSL rulemaking.

Id.

at 3-8.

NRDC and CA IOUs agreed that 3-way lamps can be used in general applications. (NRDC, Public Meeting Transcript, No. 29 at pp. 12-13; CA IOUs, No. 33 at p. 2) EEAs agreed that 3-way CFLs and LED lamps already exist on the market designed to replace conventional 3-way incandescent lamps. (EEAs, No. 32 at pp. 6-7) NEMA commented that if 3-way CFL or LED lamps are regulated, the efficiency requirements should be evaluated based on the highest, most energy consuming setting, as is done in other current standards (

e.g.,

ENERGY STAR) for these products. NEMA explained that 3-way CFLs will operate at different efficacies at different light levels and it is important that DOE base compliance with standards at the most-efficacious or highest light output level. Forcing the lower light output settings to meet high ELs would be very problematic for industry and may remove this product utility from the market. (NEMA, No. 34 at p. 5) DOE agrees with NEMA that the unique utility of 3-way lamps needs to be retained and that 3-way lamps performance varies depending on the light output setting. Therefore, in both the CFL TP NOPR and the LED TP SNOPR, DOE proposed to operate CFLs and LED lamps at the maximum input power. 80 FR 45724 (July 31, 2015); 80 FR 39644 (July 9, 2015). Further, when tested at the highest output level, DOE finds that 3-way lamps are available at the highest ELs and therefore proposes not to exempt 3-way lamps from this rulemaking.

d. Left-Hand Thread Lamp and Marine Lamp

DOE did not consider providing exemptions for left-hand thread lamps or marine lamps in the preliminary analysis. NEMA and EEAs agreed that

the left-hand thread lamp and marine lamp exemptions are not necessary for CFL or LED lamp technology. (NEMA, No. 34 at p. 6; EEAs, No. 32 at pp. 6-7) DOE agrees that these lamp types provides overall illumination and can serve in general lighting applications, and therefore continues not to propose an exemption for left-hand thread lamps or marine lamps from GSL standards.

e. Lamps of Specific Shapes

In the preliminary analysis, DOE determined that lamps of several specific shapes (such as G, T, B, BA, CA, F, G16.5, G25, G30, S, and M14, as defined in ANSI C79.1-2002 and ANSI C78.20) provide overall illumination, and therefore can serve in general lighting applications and do not require an exemption from standards.

EEAs agreed with DOE's determination that lamps of these shapes provide overall illumination and can serve in general lighting applications and as such would no longer warrant an exemption. (EEAs, No. 32 at pp. 6-7) NEMA commented that specific lamp shapes exempted in the current incandescent rule primarily provide decorative illumination and are not wholly functional in all general service applications. NEMA stated that decorative lamp shapes provide unique technical challenges for both CFL and LED lamp technology, and they cannot be assumed to be capable of reaching similar efficacy levels. NEMA noted that the technical effort necessary to mimic the consumer-demanded performance attributes of some decorative products would come with corresponding trade-offs in efficacy. NEMA added that because manufacturers are only beginning to develop these types of lamps, the size of this impact on efficacy is not well-known. NEMA commented that regulating this emerging product category at this time would slow product innovation, as well as development and consumer acceptance, as standards inhibit the flexibility of the manufacturer to experiment with product specifications that may relate to the utility of the product. NEMA suggested DOE regulate these products in a future rulemaking. (NEMA, No. 34 at p. 6)

Id.

DOE recognizes the rapid development of LED lamps, and notes that products with certain lamp shapes are part of emerging product lines at this time. As stated previously, DOE determined that these lamps could serve in general lighting applications because they emit a minimum of 310 lumens, thus providing overall illumination. However, based on comments received and feedback from manufacturer interviews, DOE considered whether lamps of these certain shapes were able to achieve the same level of efficacy as the more common 60 W A-shape equivalent replacements. DOE also considered whether lamps of these shapes could achieve those higher levels of efficacy in their existing form factors.

DOE found that in general the lamps of these certain shapes were not able to achieve the highest levels of efficacy under consideration in the NOPR analysis while maintaining their form factors. (See section V.C.5 for more information on the ELs.) DOE compared the size of the CFL and LED lamps that were available in these certain shapes to more efficacious 60 W A-shape equivalent replacements to determine if the form factors were smaller, which could indicate that space constraints were preventing the lamps from achieving comparable efficacies. DOE found that B-shape lamps (including blunt shape), C- and CA-shape lamps (including candle shape), F-shape lamps (including flame or flame tip shape), S-shape lamps, and torpedo or torpedo tip shape lamps were considerably smaller in size than the 60 W A-shape equivalent replacements. Therefore, DOE is proposing to exempt from the standards proposed in this rulemaking lamps of these shapes that have a diameter of less than or equal to 1.875 inches when measured at the widest point. DOE also determined that the G-shape lamps (including globe shape) with lamp diameter when measured at the widest point of less than or equal to 2.0625 inches and A15 lamps with diameter when measured at the widest point of less than or equal to 2.185 inches were also notably smaller in size than the 60 W A-shape equivalent replacements. DOE is therefore also proposing to exempt these lamp types from the standards proposed in this rulemaking. In summary, DOE is proposing to exempt B-, blunt, C-, CA-, candle, F-, flame, flame tip, S-, torpedo, and torpedo tip shape lamps with a diameter of less than or equal to 1.875 inches; G- and globe shape lamps with a diameter of less than or equal to 2.0625 inches; and A15 lamps with a diameter of less than or equal to 2.185 inches. DOE notes that these lamps are general service lamps but is not proposing standards for these lamps in this NOPR analysis. DOE will reconsider these exemptions from GSL standards as the market continues to evolve. DOE welcomes comment on the exemptions proposed for non-incandescent lamps of certain shapes, in particular on the proposed diameters.

E. GSLs Under Consideration for Standards

In the preliminary analysis, DOE did not consider establishing standards for all GSLs. Specifically, DOE considered establishing standards in this rulemaking for the following GSLs: (1) Integrated, non-reflector, medium screw base lamps with a lumen output between 310 and 2,600 lumens; (2) integrated and non-integrated, non-reflector GU24 base lamps with a lumen output between 310 and 2,600 lumens; and (3) non-integrated, non-reflector, pin base, CFLs with a lumen output between 310 and 2,600 lumens.

EEAs stated that their support for including a lamp type as a covered lamp is contingent on DOE ultimately setting a standard for that lamp type. EEAs stated they do not support DOE covering a lamp type, and thereby preempting state standards, without also establishing standards. (EEAs, No. 32 at p. 5)

In the preliminary analysis, DOE did not consider establishing standards for GSLs for which it determined that there would be low potential for energy savings; it would not be technologically feasible to establish standards; and/or restrictions from the Appropriations Rider prevented consideration of standards. DOE notes that for GSLs, state preemption requirements are specified for California and Nevada under 42 U.S.C. 6295(i)(6)(A)(vi). Namely, beginning, January 1, 2018, no provision of law could preclude these states from adopting: (1) A final rule adopted in accordance with 42 U.S.C. 6295(i)(6)(A)(i)-(iv); (2) the minimum efficacy standard of the backstop requirement (45 lm/W) if no final rule was adopted; or (3) for the state of California, any California regulations related to the covered products adopted pursuant to state statute in effect as of the date of enactment of EISA 2007. 42 U.S.C. 6295(i)(6)(A)(vi). Other than these narrow exceptions, EPCA's statutory pre-emption provision would prohibit any state from adopting energy conservation standards for any type of GSL regardless of whether DOE sets standards for that type of GSL.

CA IOUs and Earthjustice commented that any lamp type determined to be a general service lamp in this rulemaking also becomes subject to the backstop requirement. These commenters stated that EPCA's definition of “general service lamp” incorporates a few specific types of lamps, including GSILs, CFLs, and LED lamps, but it also authorizes DOE to determine that a lamp is a general service lamp if it is “used to satisfy lighting applications

traditionally served by general service incandescent lamps.” 42 U.S.C. 6291(30)(BB)(i). Therefore, commenters asserted that if DOE determines that a type of lamp meets this criterion, it automatically becomes subject to the backstop requirement. CA IOUs noted that setting standards for CFL and LED lamp technologies should not be problematic as the backstop would stop market migration to incandescent technologies. (CA IOUs, Public Meeting Transcript, No. 29 at p. 32; Earthjustice, No. 30 at p. 3) DOE agrees that if the backstop goes into effect on January 1, 2020, per statutory requirement, any lamp that DOE determines is a GSL would be subject to the backstop.

NRDC stated that should the Appropriations Rider be lifted, DOE should review the coverage of other base types, lumen outputs above 2,600, and other such lamps in this rulemaking. (NEMA, No. 34 at p. 2; NRDC, Public Meeting Transcript, No. 29 at p. 42) As noted in the preliminary analysis, DOE's evaluation of GSLs for which to establish standards considered the restrictions based on the Appropriations Rider. If the limitation on DOE's use of appropriated funds per the Appropriations Rider is removed during the course of this rulemaking, DOE will consider revising the scope of the rulemaking.

DOE also received several specific comments on its assessment of GSLs considered for standards in this rulemaking.

1. Integrated Candelabra and Intermediate-Base Lamps

In the preliminary analysis DOE determined that while these lamp types are within the scope, it would not set standards for GSLs with candelabra and intermediate bases in this rulemaking due to the Appropriations Rider.

Earthjustice stated that as of March 2015, DOE will be in violation of its obligation to review and amend the energy conservation standards for intermediate-base incandescent lamps and candelabra base incandescent lamps under 42 U.S.C. 6295(m)(1). (Earthjustice, No. 30 at p. 1) EEAs urged DOE to cover lamps with candelabra and intermediate bases as equivalent, given that GSIL versions of these lamps currently are subject to wattage limits only and there is nothing inherently unique about these lamps besides the size of the screw base. EEAs stated that candelabra and intermediate-base lamps are available using incandescent, CFL, and LED technology. (EEAs, No. 32 at p. 5)

Id.

at 3-11.

DOE evaluated integrated GSLs with intermediate and candelabra bases. DOE identified one incandescent/halogen reflector candelabra base integrated lamp and a limited number of incandescent/halogen reflector intermediate-base integrated lamps. However, as stated previously DOE is not considering these lamp types due to the Appropriations Rider. DOE identified very few reflector candelabra base or intermediate base integrated lamps in CFL or LED technology. Due to this low market share and thereby low energy savings potential, DOE continues to maintain its decision not to establish standards for reflector candelabra and intermediate-base integrated lamps.

Regarding non-reflector lamps, DOE found that there are fewer candelabra and intermediate bases offered in CFL and LED lamp technology compared to the number offered with incandescent/halogen technology; the latter technology cannot be considered due to the Appropriations Rider (see section IV.A for further details). Due to this low market share and thereby low energy savings potential, DOE continues to maintain its decision not to establish standards for non-reflector candelabra and intermediate base integrated lamps.

2. Pin Base Lamps

DOE considered several types of integrated and non-integrated pin base lamps in the preliminary analysis including non-integrated pin base CFLs, non-integrated pin LED lamps, pin base lamps with GU24 bases, and MR16 pin base lamps.

DOE received comments on its assessment of whether standards should be established for these lamp types.

Id.

at 3-12.

a. Non-Integrated Pin Base CFLs and LED Lamps

In the preliminary analysis, DOE considered establishing standards for non-integrated pin base CFLs. NEMA, GE, and Philips commented that non-integrated pin base lamps that go in dedicated fixtures and have dedicated ballasts are mostly commercial products and consumers have not been buying them for many years. Because such lamps are not an acceptable replacement for traditional GSILs, NEMA, GE, and Philips did not support including them in the scope. (NEMA, No. 34 at p. 16; GE, Public Meeting Transcript, No. 29 at pp. 40-41; Philips, Public Meeting Transcript, No. 29 at p. 41) GE commented that they do not believe there are significant opportunities to save energy with pin base lamps and do not think that pin base lamps should be included in an analysis aimed at medium screw base lamps as they are not replacements for such lamps. (GE, Public Meeting Transcript, No. 29 at pp.39-40, 79) NEMA explained that non-integrated pin base CFLs are rarely used in residential applications and cannot directly replace medium screw base GSLs without replacing the entire fixture. Fixtures using these lamp types are nearly all designed for commercial applications. (NEMA, No. 34 at p. 7, 11-12) Due to the complexity, the limited energy savings potential, and the maturity of this product line, NEMA suggested that DOE remove the product category from the scope of this rulemaking. (NEMA, No. 34 at p. 16)

Although non-reflector pin base non-integrated lamps are available in incandescent/halogen, CFL, and LED technologies, CFLs are by far the most common type. DOE determined that the term compact fluorescent includes both integrated and non-integrated CFLs and therefore DOE considered non-integrated, or pin base, CFLs in the scope of this rulemaking. DOE notes that the market share of pin base CFLs is not insignificant given the vast number of product offerings and common use in commercial applications. Further, DOE's analysis of non-integrated pin base lamps within the non-integrated product class has shown that there are levels of efficacy as well as reduced wattage options and therefore, a standard for these lamps is technologically feasible. DOE's analysis showed that the proposed efficacy levels for these lamp types would retain almost all the different base type options for non-integrated pin-base base CFLs. See section V.C for further details regarding the engineering analysis for the non-integrated product class. For these reasons, DOE continues to consider standards for non-integrated pin base lamps.

DOE also received comments on non-integrated pin base LED lamps. Regarding LED replacements for non-integrated pin base CFLs, NEMA acknowledged that there are some LED lamp replacements being developed at this time but noted that they do not create energy savings as they generally have an identical wattage to non-integrated pin base CFLs and represent a loss of utility as they do not work with some types of controls and dimming systems. Lamp and ballast pairings that NEMA has investigated do not have Underwriters Laboratories (UL) listing, which they considered significant. They stated that if one is going to retrofit pin base CFLs, there are more efficacious

choices than the non-reflector pin base non-integrated LED lamps. Additionally, compatibility problems with reduced wattage lamps are not well understood in the DOE analysis, and could result in field issues if pursued. Finally, NEMA asked DOE to afford the same recognition of the implications of a lamp rule on non-integrated ballast systems as they did in the GSFL and IRL standards rulemaking. (NEMA, No. 34 at p. 7, 11-12)

DOE agrees with NEMA regarding the issues with non-integrated pin base LEDs currently available on the market. DOE evaluated the non-integrated pin base LED lamps and found they are still in the development stage and currently do not maintain the same utility (

e.g.,

lumen output, system compatibility) of the pin base CFLs they are designed to replace. DOE therefore is not proposing to establish standards for these lamp types in this rulemaking.

b. GU24 Base Lamps

In the preliminary analysis, DOE considered including integrated and non-integrated GSLs with GU24 bases. NEMA commented that they believe the market share for integrated CFLs with GU24 bases is insignificant (less than 4 percent), and that GU24 base CFL products should be excluded from scope. Additionally, NEMA commented that currently there are no additional bases besides medium screw base used for GSLs that have a significant market share. (NEMA, No. 34 at p. 7) As stated previously, DOE has taken a broad interpretation of GSL and considers lamps with base types other than medium screw bases to be general service lamps because lamps with other base types, including GU24, are frequently used in general lighting applications. Further, DOE found that of the integrated pin bases considered, lamps

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